Document:

Exhibit 4.6

 

FORM OF SUBORDINATED NOTE INDENTURE TO BE ENTERED INTO

BETWEEN LIN TELEVISION CORPORATION AND THE BANK OF NEW YORK MELLON TRUST

COMPANY, N.A.

 

 

LIN TELEVISION CORPORATION

 

INDENTURE

 

Dated as of

 

 

THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A.

 

as Trustee

 

 

 

TABLE OF CONTENTS

 

	
 
    	
Page
    
	
 
    	
 
    
	
ARTICLE I.     DEFINITIONS   AND INCORPORATION BY REFERENCE
    	
1
    
	
 
    	
 
    
	
 
    	
Section 1.1.
    	
Definitions
    	
1
    
	
 
    	
Section 1.2.
    	
Other   Definitions
    	
5
    
	
 
    	
Section 1.3.
    	
Incorporation   by Reference of Trust Indenture Act
    	
5
    
	
 
    	
Section 1.4.
    	
Rules of   Construction
    	
5
    
	
 
    	
 
    	
 
    	
 
    
	
ARTICLE II.     THE   SECURITIES
    	
6
    
	
 
    	
 
    
	
 
    	
Section 2.1.
    	
Issuable   in Series
    	
6
    
	
 
    	
Section 2.2.
    	
Establishment   of Terms of Series of Securities
    	
6
    
	
 
    	
Section 2.3.
    	
Execution   and Authentication
    	
7
    
	
 
    	
Section 2.4.
    	
Registrar   and Paying Agent
    	
8
    
	
 
    	
Section 2.5.
    	
Paying   Agent to Hold Money in Trust
    	
9
    
	
 
    	
Section 2.6.
    	
Securityholder   Lists
    	
9
    
	
 
    	
Section 2.7.
    	
Transfer   and Exchange
    	
9
    
	
 
    	
Section 2.8.
    	
Mutilated,   Destroyed, Lost and Stolen Securities
    	
9
    
	
 
    	
Section 2.9.
    	
Outstanding   Securities
    	
10
    
	
 
    	
Section 2.10.
    	
Treasury   Securities
    	
10
    
	
 
    	
Section 2.11.
    	
Temporary   Securities
    	
10
    
	
 
    	
Section 2.12.
    	
Cancellation
    	
10
    
	
 
    	
Section 2.13.
    	
Defaulted   Interest
    	
10
    
	
 
    	
Section 2.14.
    	
Global   Securities
    	
11
    
	
 
    	
Section 2.15.
    	
CUSIP   Numbers
    	
12
    
	
 
    	
 
    	
 
    	
 
    
	
ARTICLE III.     REDEMPTION
    	
12
    
	
 
    	
 
    
	
 
    	
Section 3.1.
    	
Notice   to Trustee
    	
12
    
	
 
    	
Section 3.2.
    	
Selection   of Securities to be Redeemed
    	
12
    
	
 
    	
Section 3.3.
    	
Notice   of Redemption
    	
13
    

 

i

 

	
 
    	
Section 3.4.
    	
Effect   of Notice of Redemption
    	
13
    
	
 
    	
Section 3.5.
    	
Deposit   of Redemption Price
    	
13
    
	
 
    	
Section 3.6.
    	
Securities   Redeemed in Part
    	
13
    
	
 
    	
 
    	
 
    	
 
    
	
ARTICLE IV.     COVENANTS
    	
13
    
	
 
    	
 
    
	
 
    	
Section 4.1.
    	
Payment   of Principal and Interest
    	
13
    
	
 
    	
Section 4.2.
    	
SEC   Reports
    	
13
    
	
 
    	
Section 4.3.
    	
Compliance   Certificate
    	
14
    
	
 
    	
Section 4.4.
    	
Stay,   Extension and Usury Laws
    	
14
    
	
 
    	
Section 4.5.
    	
Corporate   Existence
    	
14
    
	
 
    	
Section 4.6.
    	
Taxes
    	
14
    
	
 
    	
 
    	
 
    	
 
    
	
ARTICLE V.     SUCCESSORS
    	
14
    
	
 
    	
 
    
	
 
    	
Section 5.1.
    	
When   Company May Merge, Etc.
    	
14
    
	
 
    	
Section 5.2.
    	
Successor   Corporation Substituted
    	
15
    
	
 
    	
 
    	
 
    	
 
    
	
ARTICLE VI.     DEFAULTS   AND REMEDIES
    	
15
    
	
 
    	
 
    
	
 
    	
Section 6.1.
    	
Events   of Default
    	
15
    
	
 
    	
Section 6.2.
    	
Acceleration   of Maturity; Rescission and Annulment
    	
16
    
	
 
    	
Section 6.3.
    	
Collection   of Indebtedness and Suits for Enforcement by Trustee
    	
17
    
	
 
    	
Section 6.4.
    	
Trustee   May File Proofs of Claim
    	
17
    
	
 
    	
Section 6.5.
    	
Trustee   May Enforse Claims Without possesion of Securities
    	
18
    
	
 
    	
Section 6.6.
    	
Application   of Money Collected
    	
18
    
	
 
    	
Section 6.7.
    	
Limitation   on Suits
    	
18
    
	
 
    	
Section 6.8.
    	
Unconditional   Right of Holders to Receive Principal and Interest
    	
18
    
	
 
    	
Section 6.9.
    	
Restoration   of Rights and Remedies
    	
19
    
	
 
    	
Section 6.10.
    	
Rights   and Remedies Cumulative
    	
19
    
	
 
    	
Section 6.11.
    	
Delay   or Omission Not Waiver
    	
19
    
	
 
    	
Section 6.12.
    	
Control   by Holders
    	
19
    
	
 
    	
Section 6.13.
    	
Waiver   of Past Defaults
    	
19
    
	
 
    	
Section 6.14.
    	
Undertaking   for Costs
    	
19
    

 

ii

 

	
ARTICLE VII.     TRUSTEE
    	
20
    
	
 
    	
 
    
	
 
    	
Section 7.1.
    	
Duties   of Trustee
    	
20
    
	
 
    	
Section 7.2.
    	
Rights   of Trustee
    	
21
    
	
 
    	
Section 7.3.
    	
Individual   Rights of Trustee
    	
22
    
	
 
    	
Section 7.4.
    	
Trustee’s   Disclaimer
    	
22
    
	
 
    	
Section 7.5.
    	
Notice   of Defaults
    	
22
    
	
 
    	
Section 7.6.
    	
Reports   by Trustee to Holders
    	
22
    
	
 
    	
Section 7.7.
    	
Compensation   and Indemnity
    	
22
    
	
 
    	
Section 7.8.
    	
Replacement   of Trustee
    	
23
    
	
 
    	
Section 7.9.
    	
Successor   Trustee by Merger, Etc.
    	
24
    
	
 
    	
Section 7.10.
    	
Eligibility;   Disqualification
    	
24
    
	
 
    	
Section 7.11.
    	
Preferential   Collection of Claims Against Company
    	
24
    
	
 
    	
 
    	
 
    	
 
    
	
ARTICLE VIII.     SATISFACTION   AND DISCHARGE; DEFEASANCE
    	
24
    
	
 
    	
 
    
	
 
    	
Section 8.1.
    	
Satisfaction   and Discharge of Indenture
    	
24
    
	
 
    	
Section 8.2.
    	
Application   of Trust Funds; Indemnification
    	
25
    
	
 
    	
Section 8.3.
    	
Legal   Defeasance of Securities of any Series
    	
25
    
	
 
    	
Section 8.4.
    	
Covenant   Defeasance
    	
26
    
	
 
    	
Section 8.5.
    	
Repayment   to Company
    	
27
    
	
 
    	
Section 8.6.
    	
Reinstatement
    	
27
    
	
 
    	
 
    	
 
    	
 
    
	
ARTICLE IX.     AMENDMENTS   AND WAIVERS
    	
28
    
	
 
    	
 
    
	
 
    	
Section 9.1.
    	
Without   Consent of Holders
    	
28
    
	
 
    	
Section 9.2.
    	
With   Consent of Holders
    	
28
    
	
 
    	
Section 9.3.
    	
Limitations
    	
28
    
	
 
    	
Section 9.4.
    	
Compliance   with Trust Indenture Act
    	
29
    
	
 
    	
Section 9.5.
    	
Revocation   and Effect of Consents
    	
29
    
	
 
    	
Section 9.6.
    	
Notation   on or Exchange of Securities
    	
29
    
	
 
    	
Section 9.7.
    	
Trustee   Protected
    	
29
    

 

iii

 

	
ARTICLE X.     MISCELLANEOUS
    	
30
    
	
 
    	
 
    
	
 
    	
Section 10.1.
    	
Trust   Indenture Act Controls
    	
30
    
	
 
    	
Section 10.2.
    	
Notices
    	
30
    
	
 
    	
Section 10.3.
    	
Communication   by Holders with Other Holders
    	
31
    
	
 
    	
Section 10.4.
    	
Certificate   and Opinion as to Conditions Precedent
    	
31
    
	
 
    	
Section 10.5.
    	
Statements   Required in Certificate or Opinion
    	
31
    
	
 
    	
Section 10.6.
    	
Rules by   Trustee and Agents
    	
31
    
	
 
    	
Section 10.7.
    	
Legal   Holidays
    	
31
    
	
 
    	
Section 10.8.
    	
No   Recourse Against Others
    	
31
    
	
 
    	
Section 10.9.
    	
Counterparts
    	
31
    
	
 
    	
Section 10.10.
    	
Governing   Law; Waiver of Jury Trial
    	
31
    
	
 
    	
Section 10.11.
    	
No   Adverse Interpretation of Other Agreements
    	
32
    
	
 
    	
Section 10.12.
    	
Successors
    	
32
    
	
 
    	
Section 10.13.
    	
Severability
    	
32
    
	
 
    	
Section 10.14.
    	
Table   of Contents, Headings, Etc.
    	
32
    
	
 
    	
Section 10.15.
    	
Securities   in a Foreign Currency
    	
32
    
	
 
    	
Section 10.16.
    	
Judgment   Currency
    	
32
    
	
 
    	
Section 10.17.
    	
Benefits   of Indenture
    	
33
    
	
 
    	
 
    	
 
    	
 
    
	
ARTICLE XI.     SINKING   FUNDS
    	
33
    
	
 
    	
 
    
	
 
    	
Section 11.1.
    	
Applicability   of Article
    	
33
    
	
 
    	
Section 11.2.
    	
Satisfaction   of Sinking Fund Payments with Securities
    	
33
    
	
 
    	
Section 11.3.
    	
Redemption   of Securities for Sinking Fund
    	
34
    
	
 
    	
 
    	
 
    	
 
    
	
ARTICLE XII.     SUBORDINATION   OF SECURITIES
    	
34
    
	
 
    	
 
    
	
 
    	
Section 12.1.
    	
Agreement   of Subordination
    	
34
    
	
 
    	
Section 12.2.
    	
Payments   to Holders
    	
34
    
	
 
    	
Section 12.3.
    	
Subrogation   of Securities
    	
36
    
	
 
    	
Section 12.4.
    	
Authorization   to Effect Subordination
    	
36
    
	
 
    	
Section 12.5.
    	
Notice   to Trustee
    	
37
    
	
 
    	
Section 12.6.
    	
Trustee’s   Relation to Senior Indebtedness
    	
37
    
	
 
    	
Section 12.7.
    	
No   Impairment of Subordination
    	
37
    

 

iv

 

	
 
    	
Section 12.8.
    	
Article Applicable   to Paying Agents
    	
38
    
	
 
    	
Section 12.9.
    	
Senior   Indebtedness Entitled to Rely
    	
38
    

 

v

 

LIN TELEVISION CORPORATION

 

Reconciliation and tie between Trust Indenture Act of 1939, as amended,

 

Indenture, dated as of              

 

	
Section 310(a)(1)
    	
 
    	
7.10
    
	
(a)(2)
    	
 
    	
7.10
    
	
(a)(3)
    	
 
    	
Not   Applicable
    
	
(a)(4)
    	
 
    	
Not   Applicable
    
	
(a)5
    	
 
    	
7.10
    
	
(b)
    	
 
    	
7.10
    
	
Section 311(a)
    	
 
    	
7.11
    
	
(b)
    	
 
    	
7.11
    
	
(c)
    	
 
    	
Not   Applicable
    
	
Section 312(a)
    	
 
    	
2.6
    
	
(b)
    	
 
    	
10.3
    
	
(c)
    	
 
    	
10.3
    
	
Section 313(a)
    	
 
    	
7.6
    
	
(b)(1)
    	
 
    	
7.6
    
	
(b)(2)
    	
 
    	
7.6
    
	
(c)(1)
    	
 
    	
7.6
    
	
(d)
    	
 
    	
7.6
    
	
Section 314(a)(1)
    	
 
    	
4.2
    
	
(a)(2)
    	
 
    	
4.2
    
	
(a)(3)
    	
 
    	
4.2
    
	
(a)(4)
    	
 
    	
4.2,   10.5
    
	
(b)
    	
 
    	
Not   Applicable
    
	
(c)
    	
 
    	
Not   Applicable
    
	
(d)
    	
 
    	
Not   Applicable
    
	
(e)
    	
 
    	
10.5
    
	
(f)
    	
 
    	
Not   Applicable
    

 

Note: This reconciliation and tie shall not, for any purpose, be deemed to be part of the Indenture.

 

vi

 

Indenture dated as of  ,       , between LIN TELEVISION CORPORATION, a Delaware corporation (“Company”), and THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A., a national banking association (“Trustee”).

 

Each party agrees as follows for the benefit of the other party and for the equal and ratable benefit of the Holders of the Securities issued under this Indenture.

 

ARTICLE I.

DEFINITIONS AND INCORPORATION BY REFERENCE

 

Section 1.1. Definitions.

 

“Additional Amounts” means any additional amounts which are required hereby or by any Security, under circumstances specified herein or therein, to be paid by the Company in respect of certain taxes imposed on Holders specified therein and which are owing to such Holders.

 

“Affiliate” of any specified person means any other person directly or indirectly controlling or controlled by or under direct or indirect common control with such specified person. For the purposes of this definition, “control” (including, with correlative meanings, the terms “controlled by” and “under common control with”), as used with respect to any person, shall mean the possession, directly or indirectly, of the power to direct or cause the direction of the management or policies of such person, whether through the ownership of voting securities or by agreement or otherwise.

 

“Agent” means any Registrar, Paying Agent, Service Agent or authenticating agent.

 

“Authorized Newspaper” means a newspaper in an official language of the country of publication customarily published at least once a day for at least five days in each calendar week and of general circulation in the place in connection with which the term is used. If it shall be impractical to make any publication of any notice required hereby in an Authorized Newspaper, any publication or other notice in lieu thereof that is made or given by the Trustee shall constitute a sufficient publication of such notice.

 

“Bearer” means anyone in possession from time to time of a Bearer Security.

 

“Bearer Security” means any Security, including any interest coupon appertaining thereto, that does not provide for the identification of the Holder thereof.

 

“Board of Directors” means the Board of Directors of the Company or any duly authorized committee thereof.

 

“Board Resolution” means a copy of a resolution certified by the Secretary or an Assistant Secretary of the Company to have been duly adopted by the Board of Directors or pursuant to authorization of the Board of Directors and to be in full force and effect on the date of the certification, and delivered to the Trustee.

 

“Business Day” means with respect to any Place of Payment (or unless otherwise provided by Board Resolution, Officers’ Certificate or supplemental indenture hereto for a particular Series), any day except a Saturday, Sunday or any day on which banking institutions or trust companies in the Place of Payment or the place in which Corporate Trust Office is located are authorized or required by law, regulation or executive order to close.

 

“Company” means the party named as such above until a successor replaces it pursuant to the applicable provisions hereof and thereafter means the successor.

 

“Company Order” means a written order signed in the name of the Company by two Officers, one of whom must be the Company’s chief executive officer, chief financial officer, principal accounting officer or any Vice President.

 

“Company Request” means a written request signed in the name of the Company by its Chairman of the

 

1

 

Board, a President or a Vice President, and by its Treasurer, an Assistant Treasurer, its Secretary or an Assistant Secretary, and delivered to the Trustee.

 

“Corporate Trust Office” means the office of the Trustee at which at any particular time its corporate trust business in Pittsburgh, Pennsylvania shall be principally administered, which office as of the date of this instrument is located at 525 William Penn Place, 38th Floor, Pittsburgh, PA 15259, except that with respect to presentation of Notes for payment or for registration of transfer or exchange, such term shall mean the office or agency of the Trustee at which at any particular time its corporate agency business shall be conducted, which office at the date of this instrument is located at 101 Barclay Street, New York, New York 10286; Attention: Corporate Trust Division - Corporate Finance Unit, or, in the case of any such offices or agency, such other address as the Trustee may designate from time to time by notice to the Holders and the Company.

 

“debt” of any person as of any date means, without duplication, all indebtedness of such person in respect of borrowed money, including all interest, fees and expenses owed in respect thereto (whether or not the recourse of the lender is to the whole of the assets of such person or only to a portion thereof), or evidenced by bonds, notes, debentures or similar instruments.

 

“Default” means any event which is, or after notice or passage of time would be, an Event of Default.

 

“Depositary” means, with respect to the Securities of any Series issuable or issued in whole or in part in the form of one or more Global Securities, the person designated as Depositary for such Series by the Company, which Depositary shall be a clearing agency registered under the Exchange Act; and if at any time there is more than one such person, “Depositary” as used with respect to the Securities of any Series shall mean the Depositary with respect to the Securities of such Series.

 

“Designated Senior Indebtedness” means any of our senior indebtedness that expressly provides that it is “designated senior indebtedness” for purposes of this Indenture (provided that the instrument, agreement or other document creating or evidencing such Senior Indebtedness may place limitations and conditions on the right of such Senior Indebtedness to exercise the rights of Designated Senior Indebtedness).

 

“Discount Security” means any Security that provides for an amount less than the stated principal amount thereof to be due and payable upon declaration of acceleration of the maturity thereof pursuant to Section 6.2.

 

“Dollars” means the currency of the United States of America.

 

“Exchange Act” means the Securities Exchange Act of 1934, as amended.

 

“Foreign Currency” means any currency or currency unit issued by a government other than the government of The United States of America.

 

“Foreign Government Obligations” means with respect to Securities of any Series that are denominated in a Foreign Currency, (i) direct obligations of the government that issued or caused to be issued such currency for the payment of which obligations its full faith and credit is pledged or (ii) obligations of a person controlled or supervised by or acting as an agency or instrumentality of such government the timely payment of which is unconditionally guaranteed as a full faith and credit obligation by such government, which, in either case under clauses (i) or (ii), are not callable or redeemable at the option of the issuer thereof.

 

“Global Security” or “Global Securities” means a Security or Securities, as the case may be, in the form established pursuant to Section 2.2 evidencing all or part of a Series of Securities, issued to the Depositary for such Series or its nominee, and registered in the name of such Depositary or nominee.

 

“Holder” or “Securityholder” means a person in whose name a Security is registered or the holder of a Bearer Security.

 

“indebtedness” means, with respect to any person, and without duplication, (a) all indebtedness, obligations and other liabilities (contingent or otherwise) of such person for borrowed money (including obligations of the Company in respect of overdrafts, foreign exchange contracts, currency exchange agreements, interest rate protection agreements, and any

 

2

 

loans or advances from banks, whether or not evidenced by notes or similar instruments) or evidenced by bonds, debentures, notes or similar instruments (whether or not the recourse of the lender is to the whole of the assets of such person or to only a portion thereof) (other than any account payable or other accrued current liability or obligation incurred in the ordinary course of business in connection with the obtaining of materials or services), (b) all reimbursement obligations and other liabilities (contingent or otherwise) of such person with respect to letters of credit, bank guarantees or bankers’ acceptances, (c) all obligations and liabilities (contingent or otherwise) in respect of leases of such person required, in conformity with generally accepted accounting principles, to be accounted for as capitalized lease obligations on the balance sheet of such person and all obligations and other liabilities (contingent or otherwise) under any lease or related document (including a purchase agreement) in connection with the lease of real property which provides that such person is contractually obligated to purchase or cause a third party to purchase the leased property and thereby guarantee a minimum residual value of the leased property to the lessor and the obligations of such person under such lease or related document to purchase or to cause a third party to purchase such leased property, (d) all obligations of such person (contingent or otherwise) with respect to an interest rate or other swap, cap or collar agreement or other similar instrument or agreement or foreign currency hedge, exchange, purchase or similar instrument or agreement, (e) all direct or indirect guaranties or similar agreements by such person in respect of, and obligations or liabilities (contingent or otherwise) of such person to purchase or otherwise acquire or otherwise assure a creditor against loss in respect of indebtedness, obligations or liabilities of another person of the kind described in clauses (a) through (d), (f) any indebtedness or other obligations described in clauses (a) through (e) secured by any mortgage, pledge, lien or other encumbrance existing on property which is owned or held by such person, regardless of whether the indebtedness or other obligation secured thereby shall have been assumed by such person and (g) any and all refinancings, replacements, deferrals, renewals, extensions and refundings of, or amendments, modifications or supplements to, any indebtedness, obligation or liability of the kind described in clauses (a) through (f).

 

“Indenture” means this instrument as amended from time to time, in accordance with its terms and shall include the form and terms of particular Series of Securities established as contemplated hereunder.

 

“interest” with respect to any Discount Security which by its terms bears interest only after Maturity, means interest payable after Maturity.

 

“Maturity,” when used with respect to any Security or installment of principal thereof, means the date on which the principal of such Security or such installment of principal becomes due and payable as therein or herein provided, whether at the Stated Maturity or by declaration of acceleration, call for redemption, notice of option to elect repayment or otherwise.

 

“Officer” means the Chairman of the Board, any President, any Vice-President, the Treasurer, the Secretary, any Assistant Treasurer or any Assistant Secretary of the Company.

 

“Officers’ Certificate” means a certificate signed by two Officers, one of whom must be the Company’s principal executive officer, principal financial officer or principal accounting officer.

 

“Opinion of Counsel” means a written opinion of legal counsel who may be an employee of or counsel to the Company and is acceptable to the Trustee.

 

“person” means any individual, corporation, partnership, joint venture, association, limited liability company, joint-stock company, trust, unincorporated organization or government or any agency or political subdivision thereof.

 

“Place of Payment” when used with respect to the Securities of any series, means the place or places where the principal of and any premium or interest on the Securities of that series are payable specified as required by Section 2.2.6.

 

“principal” of a Security means the principal of the Security plus, when appropriate, the premium, if any, on, and any Additional Amounts in respect of, the Security.

 

“Representative” means the (a) indenture trustee or other trustee, agent or representative for any Senior Indebtedness or (b) with respect to any Senior Indebtedness that does not have any such trustee, agent or other representative, (i) in the case of such Senior Indebtedness issued pursuant to an agreement providing for voting arrangements as among the holders or owners of such Senior Indebtedness, any holder or owner of such Senior Indebtedness acting with the consent of the required persons necessary to bind such holders or owners of such Senior Indebtedness and (ii) in the case of all other

 

3

 

such Senior Indebtedness, the holder or owner of such Senior Indebtedness.

 

“Responsible Officer” when used with respect to the Trustee, means any officer assigned to the Corporate Trust Division - Corporate Finance Unit (or any successor division or unit) of the Trustee located at the Corporate Trust Office of the Trustee, who shall have direct responsibility for the administration of this Indenture, and for purposes of the penultimate paragraph of Section 2.3, Section 7.1(c)(ii) and the second sentence of Section 7.5 shall also include any officer of the Trustee to whom any corporate trust matter is referred because of such person’s knowledge of and familiarity with the particular subject.

 

“SEC” means the Securities and Exchange Commission.

 

“Securities” means the debentures, notes or other debt instruments of the Company of any Series authenticated and delivered under this Indenture.

 

“Senior Indebtedness” means the principal, premium, if any, interest, including any interest accruing after bankruptcy, and rent or termination payment on or other amounts due on our current or future Indebtedness, whether created, incurred, assumed, guaranteed or in effect guaranteed by us, including any deferrals, renewals, extensions, refundings, amendments, modifications or supplements to the above. However, Senior Indebtedness does not include: (i) Indebtedness that expressly provides that it shall not be senior in right of payment to the Securities or expressly provides that it is on the same basis or junior to the Securities; (ii) our indebtedness to any of our majority-owned subsidiaries; and (iii) the Securities.

 

“Series” or “Series of Securities” means each series of debentures, notes or other debt instruments of the Company created pursuant to Sections 2.1 and 2.2 hereof.

 

“Significant Subsidiary” means any direct or indirect Subsidiary of the Company that would be a “significant subsidiary” as defined in Article 1, Rule 1-02 of Regulation S-X, promulgated pursuant to the Securities Act of 1933, as amended, as such regulation is in effect on the date hereof.

 

“Stated Maturity” when used with respect to any Security or any installment of principal thereof or interest thereon, means the date specified in such Security as the fixed date on which the principal of such Security or such installment of principal or interest is due and payable.

 

“Subsidiary” of any specified person means any corporation of which at least a majority of the outstanding stock having by the terms thereof ordinary voting power for the election of directors of such corporation (irrespective of whether or not at the time stock of any other class or classes of such corporation shall have or might have voting power by reason of the happening of any contingency) is at the time directly or indirectly owned by such person, or by one or more other Subsidiaries, or by such person and one or more other Subsidiaries.

 

“TIA” means the Trust Indenture Act of 1939 (15 U.S. Code Sections 77aaa-77bbbb) as in effect on the date of this Indenture; provided, however, that in the event the Trust Indenture Act of 1939 is amended after such date, “TIA” means, to the extent required by any such amendment, the Trust Indenture Act as so amended.

 

“Trustee” means the person named as the “Trustee” in the first paragraph of this instrument until a successor Trustee shall have become such pursuant to the applicable provisions of this Indenture, and thereafter “Trustee” shall mean or include each person who is then a Trustee hereunder, and if at any time there is more than one such person, “Trustee” as used with respect to the Securities of any Series shall mean the Trustee with respect to Securities of that Series.

 

“U.S. Government Obligations” means securities which are (i) direct obligations of The United States of America for the payment of which its full faith and credit is pledged or (ii) obligations of a person controlled or supervised by and acting as an agency or instrumentality of The United States of America the payment of which is unconditionally guaranteed as a full faith and credit obligation by The United States of America, and which in the case of (i) and (ii) are not callable or redeemable at the option of the issuer thereof, and shall also include a depository receipt issued by a bank or trust company as custodian with respect to any such U.S. Government Obligation or a specific payment of interest on or principal of any such U.S. Government Obligation held by such custodian for the account of the holder of a depository receipt, provided that (except as required by law) such custodian is not authorized to make any deduction from the amount payable to the holder of such depository receipt from any amount received by the custodian in respect of the U.S. Government Obligation evidenced by such depository receipt.

 

4

 

Section 1.2. Other Definitions.

 

	
TERM
    	
 
    	
DEFINED IN SECTION
    
	
“Bankruptcy   Law”
    	
 
    	
6.1
    
	
“Custodian”
    	
 
    	
6.1
    
	
“Event   of Default”
    	
 
    	
6.1
    
	
“Exchange   Rate Agent”
    	
 
    	
10.15
    
	
“Journal”
    	
 
    	
10.15
    
	
“Judgment   Currency”
    	
 
    	
10.16
    
	
“Legal   Holiday”
    	
 
    	
10.7
    
	
“mandatory   sinking fund payment”
    	
 
    	
11.1
    
	
“Market   Exchange Rate”
    	
 
    	
10.15
    
	
“New   York Banking Day”
    	
 
    	
10.16
    
	
“optional   sinking fund payment”
    	
 
    	
11.1
    
	
“Paying   Agent”
    	
 
    	
2.4
    
	
“Payment   Blockage Notice”
    	
 
    	
12.2
    
	
“Registrar”
    	
 
    	
2.4
    
	
“Required   Currency”
    	
 
    	
10.16
    
	
“Service   Agent”
    	
 
    	
2.4
    
	
“successor   person”
    	
 
    	
5.1
    

 

Section 1.3.  Incorporation by Reference of Trust Indenture Act.

 

Whenever this Indenture refers to a provision of the TIA, the provision is incorporated by reference in and made a part of this Indenture. The following TIA terms used in this Indenture have the following meanings:

 

“Commission” means the SEC.

 

“indenture securities” means the Securities.

 

“indenture security holder” means a Securityholder.

 

“indenture to be qualified” means this Indenture.

 

“indenture trustee” or “institutional trustee” means the Trustee.

 

“obligor” on the indenture securities means the Company and any successor obligor upon the Securities.

 

All other terms used in this Indenture that are defined by the TIA, defined by TIA reference to another statute or defined by SEC rule under the TIA and not otherwise defined herein are used herein as so defined.

 

Section 1.4.  Rules of Construction.

 

Unless the context otherwise requires:

 

(a) a term has the meaning assigned to it;

 

(b) an accounting term not otherwise defined has the meaning assigned to it in accordance with generally accepted accounting principles;

 

(c) references to “generally accepted accounting principles” shall mean generally accepted accounting principles in effect as of the time when and for the period as to which such accounting principles are to be applied;

 

(d) “or” is not exclusive;

 

(e) words in the singular include the plural, and in the plural include the singular;

 

(f)  provisions apply to successive events and transactions.

 

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(g) “herein,” “hereof” and other words of similar import refer to this Indenture as a whole and not to any particular Article, Section or other subdivision;

 

(h) “including” means including without limitation; and

 

(i) references herein to Articles, Sections or other subdivisions are references to Articles, Sections or such other subdivisions of this Indenture.

 

ARTICLE II.

THE SECURITIES

 

Section 2.1.  Issuable in Series.

 

The aggregate principal amount of Securities that may be authenticated and delivered under this Indenture is unlimited. The Securities may be issued in one or more Series. All Securities of a Series shall be identical except as may be set forth in a Board Resolution, a supplemental indenture or an Officers’ Certificate detailing the adoption of the terms thereof pursuant to the authority granted under a Board Resolution. In the case of Securities of a Series to be issued from time to time, the Board Resolution, Officers’ Certificate or supplemental indenture may provide for the method by which specified terms (such as interest rate, maturity date, record date or date from which interest shall accrue) are to be determined. Securities may differ between Series in respect of any matters, provided that all Series of Securities shall be equally and ratably entitled to the benefits of the Indenture but all Securities issued hereunder shall be subordinate and junior in right of payment, to the extent and in the manner set forth in Article XII, to all Senior Indebtedness of the Company.

 

Section 2.2. Establishment of Terms of Series of Securities.

 

At or prior to the issuance of any Securities within a Series, the following shall be established (as to the Series generally, in the case of Subsection 2.2.1 and either as to such Securities within the Series or as to the Series generally in the case of Subsections 2.2.2 through 2.2.22) by a Board Resolution, a supplemental indenture or an Officers’ Certificate pursuant to authority granted under a Board Resolution:

 

2.2.1. the title of the Series (which shall distinguish the Securities of that particular Series from the Securities of any other Series);

 

2.2.2. the price or prices (expressed as a percentage of the principal amount thereof) at which the Securities of the Series will be issued;

 

2.2.3. any limit upon the aggregate principal amount of the Securities of the Series which may be authenticated and delivered under this Indenture (except for Securities authenticated and delivered upon registration of transfer of, or in exchange for, or in lieu of, other Securities of the Series pursuant to Section 2.7, 2.8, 2.11, 3.6 or 9.6);

 

2.2.4. the date or dates on which the principal of the Securities of the Series is payable;

 

2.2.5.  the rate or rates (which may be fixed or variable) per annum or, if applicable, the method used to determine such rate or rates (including, but not limited to, any commodity, commodity index, stock exchange index or financial index) at which the Securities of the Series shall bear interest, if any, the date or dates from which such interest, if any, shall accrue, the date or dates on which such interest, if any, shall commence and be payable and any regular record date for the interest payable on any interest payment date;

 

2.2.6. the place or places where the principal of and interest, if any, on the Securities of the Series shall be payable, or the method of such payment, if by wire transfer, mail or other means;

 

2.2.7. if applicable, the period or periods within which, the price or prices at which and the terms and conditions upon which the Securities of the Series may be redeemed, in whole or in part, at the option of the Company;

 

2.2.8. the obligation, if any, of the Company to redeem or purchase the Securities of the Series pursuant to any sinking fund or analogous provisions or at the option of a Holder thereof and the period or periods within which, the price or prices at which and the terms and conditions upon which Securities of the Series shall be redeemed or purchased, in whole or in part, pursuant to such obligation;

 

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2.2.9. the dates, if any, on which and the price or prices at which the Securities of the Series will be repurchased by the Company at the option of the Holders thereof and other detailed terms and provisions of such repurchase obligations;

 

2.2.10. if other than denominations of $1,000 and any integral multiple thereof, the denominations in which the Securities of the Series shall be issuable;

 

2.2.11. the forms of the Securities of the Series in bearer or fully registered form (and, if in fully registered form, whether the Securities will be issuable as Global Securities);

 

2.2.12. if other than the principal amount thereof, the portion of the principal amount of the Securities of the Series that shall be payable upon declaration of acceleration of the maturity thereof pursuant to Section 6.2;

 

2.2.13. the currency of denomination of the Securities of the Series, which may be Dollars or any Foreign Currency, and if such currency of denomination is a composite currency, the agency or organization, if any, responsible for overseeing such composite currency;

 

2.2.14. the designation of the currency, currencies or currency units in which payment of the principal of and interest, if any, on the Securities of the Series will be made;

 

2.2.15. if payments of principal of or interest, if any, on the Securities of the Series are to be made in one or more currencies or currency units other than that or those in which such Securities are denominated, the manner in which the exchange rate with respect to such payments will be determined;

 

2.2.16. the manner in which the amounts of payment of principal of or interest, if any, on the Securities of the Series will be determined, if such amounts may be determined by reference to an index based on a currency or currencies or by reference to a commodity, commodity index, stock exchange index or financial index;

 

2.2.17.  the provisions, if any, relating to any security provided for the Securities of the Series;

 

2.2.18. if the holders of Securities of the Series may convert or exchange the Securities into or for securities of the Issuer or of other entities or other property, the period or periods within which, the rate or rates at which and the terms and conditions upon which Securities of the Series may be converted or exchanged, in whole or in part;

 

2.2.19. any addition to or change in the Events of Default which applies to any Securities of the Series and any change in the right of the Trustee or the requisite Holders of such Securities to declare the principal amount thereof due and payable pursuant to Section 6.2;

 

2.2.20. any addition to or change in the covenants set forth in Articles IV or V which applies to Securities of the Series;

 

2.2.21. any other terms of the Securities of the Series (which terms shall not be inconsistent with the provisions of this Indenture, except as permitted by Section 9.1, but which may modify or delete any provision of this Indenture insofar as it applies to such Series); and

 

2.2.22. any depositories, interest rate calculation agents, exchange rate calculation agents or other agents with respect to Securities of such Series if other than those appointed herein.

 

All Securities of any one Series need not be issued at the same time and may be issued from time to time, consistent with the terms of this Indenture, if so provided by or pursuant to the Board Resolution, supplemental indenture or Officers’ Certificate referred to above, and the authorized principal amount of any Series may not be increased to provide for issuances of additional Securities of such Series, unless otherwise provided in such Board Resolution, supplemental indenture or Officers’ Certificate.

 

Section 2.3. Execution and Authentication.

 

Two Officers shall sign the Securities for the Company by manual or facsimile signature.

 

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If an Officer whose signature is on a Security no longer holds that office at the time the Security is authenticated, the Security shall nevertheless be valid.

 

A Security shall not be valid until authenticated by the manual signature of the Trustee or an authenticating agent. The signature shall be conclusive evidence that the Security has been authenticated under this Indenture.

 

The Trustee shall at any time, and from time to time, authenticate Securities for original issue in the principal amount provided in the Board Resolution, supplemental indenture hereto or Officers’ Certificate, upon receipt by the Trustee of a Company Order. Such Company Order may authorize authentication and delivery pursuant to electronic instructions from the Company or its duly authorized agent or agents. Each Security shall be dated the date of its authentication unless otherwise provided by a Board Resolution, a supplemental indenture hereto or an Officers’ Certificate.

 

The aggregate principal amount of Securities of any Series outstanding at any time may not exceed any limit upon the maximum principal amount for such Series set forth in the Board Resolution, supplemental indenture hereto or Officers’ Certificate delivered pursuant to Section 2.2, except as provided in Section 2.8.

 

Prior to the issuance of Securities of any Series, the Trustee shall have received and (subject to Section 7.2) shall be fully protected in relying on: (a) the Board Resolution, supplemental indenture hereto or Officers’ Certificate establishing the form of the Securities of that Series or of Securities within that Series and the terms of the Securities of that Series or of Securities within that Series, (b) an Officers’ Certificate complying with Section 10.4, and (c) an Opinion of Counsel complying with Section 10.4.

 

The Trustee shall have the right to decline to authenticate and deliver any Securities of such Series: (a) if the Trustee, being advised by counsel, determines that such action may not lawfully be taken; or (b) if the Trustee in good faith by its board of directors or trustees, executive committee or a trust committee of Responsible Officers shall determine that such action would expose the Trustee to personal liability to Holders of any then outstanding Series of Securities.

 

The Trustee may appoint an authenticating agent acceptable to the Company to authenticate Securities. An authenticating agent may authenticate Securities whenever the Trustee may do so. Each reference in this Indenture to authentication by the Trustee includes authentication by such agent. An authenticating agent has the same rights as an Agent to deal with the Company or an Affiliate.

 

Section 2.4.  Registrar and Paying Agent.

 

The Company shall maintain, with respect to each Series of Securities, at the place or places specified with respect to such Series pursuant to Section 2.2, an office or agency where Securities of such Series may be presented or surrendered for payment (“Paying Agent”), where Securities of such Series may be surrendered for registration of transfer or exchange (“Registrar”) and where notices and demands to or upon the Company in respect of the Securities of such Series and this Indenture may be served (“Service Agent”). The Registrar shall keep a register with respect to each Series of Securities and to their transfer and exchange. The Company will give prompt written notice to the Trustee of the name and address, and any change in the name or address, of each Registrar, Paying Agent or Service Agent. If at any time the Company shall fail to maintain any such required Registrar, Paying Agent or Service Agent or shall fail to furnish the Trustee with the name and address thereof, such presentations, surrenders, notices and demands may be made or served at the Corporate Trust Office of the Trustee, and the Company hereby appoints the Trustee as its agent to receive all such presentations, surrenders, notices and demands.

 

The Company may also from time to time designate one or more co-registrars, additional paying agents or additional service agents and may from time to time rescind such designations; provided, however, that no such designation or rescission shall in any manner relieve the Company of its obligations to maintain a Registrar, Paying Agent and Service Agent in each place so specified pursuant to Section 2.2 for Securities of any Series for such purposes. The Company will give prompt written notice to the Trustee of any such designation or rescission and of any change in the name or address of any such co-registrar, additional paying agent or additional service agent. The term “Registrar” includes any co-registrar; the term “Paying Agent” includes any additional paying agent; and the term “Service Agent” includes any additional service agent.

 

The Company hereby appoints the Trustee the initial Registrar, Paying Agent and Service Agent for each Series unless another Registrar, Paying Agent or Service Agent, as the case may be, is appointed prior to the time Securities

 

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of that Series are first issued.

 

Section 2.5. Paying Agent to Hold Money in Trust.

 

The Company shall require each Paying Agent other than the Trustee to agree in writing that the Paying Agent will hold in trust, for the benefit of Securityholders of any Series of Securities, or the Trustee, all money held by the Paying Agent for the payment of principal of or interest on the Series of Securities, and will notify the Trustee of any default by the Company in making any such payment. While any such default continues, the Trustee may require a Paying Agent to pay all money held by it to the Trustee. The Company at any time may require a Paying Agent to pay all money held by it to the Trustee. Upon payment over to the Trustee, the Paying Agent (if other than the Company or a Subsidiary) shall have no further liability for the money. If the Company or a Subsidiary acts as Paying Agent, it shall segregate and hold in a separate trust fund for the benefit of Securityholders of any Series of Securities all money held by it as Paying Agent.

 

Section 2.6. Securityholder Lists.

 

The Trustee shall preserve in as current a form as is reasonably practicable the most recent list available to it of the names and addresses of Securityholders of each Series of Securities and shall otherwise comply with TIA Section 312(a). If the Trustee is not the Registrar, the Company shall furnish to the Trustee at least ten days before each interest payment date and at such other times as the Trustee may request in writing a list, in such form and as of such date as the Trustee may reasonably require, of the names and addresses of Securityholders of each Series of Securities.

 

Section 2.7. Transfer and Exchange.

 

Where Securities of a Series are presented to the Registrar or a co-registrar with a request to register a transfer or to exchange them for an equal principal amount of Securities of the same Series, the Registrar shall register the transfer or make the exchange if its requirements for such transactions are met. To permit registrations of transfers and exchanges, the Trustee shall authenticate Securities at the Registrar’s request. No service charge shall be made for any registration of transfer or exchange (except as otherwise expressly permitted herein), but the Company may require payment of a sum sufficient to cover any transfer tax or similar governmental charge payable in connection therewith (other than any such transfer tax or similar governmental charge payable upon exchanges pursuant to Sections 2.11, 3.6 or 9.6).

 

Neither the Company nor the Registrar shall be required (a) to issue, register the transfer of, or exchange Securities of any Series for the period beginning at the opening of business fifteen days immediately preceding the mailing of a notice of redemption of Securities of that Series selected for redemption and ending at the close of business on the day of such mailing, or (b) to register the transfer of or exchange Securities of any Series selected, called or being called for redemption as a whole or the portion being redeemed of any such Securities selected, called or being called for redemption in part.

 

Section 2.8.  Mutilated, Destroyed, Lost and Stolen Securities.

 

If any mutilated Security is surrendered to the Trustee, the Company shall execute and the Trustee shall authenticate and deliver in exchange therefor a new Security of the same Series and of like tenor and principal amount and bearing a number not contemporaneously outstanding.

 

If there shall be delivered to the Company and the Trustee (i) evidence to their satisfaction of the destruction, loss or theft of any Security and (ii) such security or indemnity as may be required by them to save each of them and any agent of either of them harmless, then, in the absence of notice to the Company or the Trustee that such Security has been acquired by a bona fide purchaser, the Company shall execute and upon its request the Trustee shall authenticate and make available for delivery, in lieu of any such destroyed, lost or stolen Security, a new Security of the same Series and of like tenor and principal amount and bearing a number not contemporaneously outstanding.

 

In case any such mutilated, destroyed, lost or stolen Security has become or is about to become due and payable, the Company in its discretion may, instead of issuing a new Security, pay such Security.

 

Upon the issuance of any new Security under this Section, the Company may require the payment of a sum sufficient to cover any tax or other governmental charge that may be imposed in relation thereto and any other expenses (including the fees and expenses of the Trustee) connected therewith.

 

9

 

Every new Security of any Series issued pursuant to this Section in lieu of any destroyed, lost or stolen Security shall constitute an original additional contractual obligation of the Company, whether or not the destroyed, lost or stolen Security shall be at any time enforceable by anyone, and shall be entitled to all the benefits of this Indenture equally and proportionately with any and all other Securities of that Series duly issued hereunder.

 

The provisions of this Section are exclusive and shall preclude (to the extent lawful) all other rights and remedies with respect to the replacement or payment of mutilated, destroyed, lost or stolen Securities.

 

Section 2.9. Outstanding Securities.

 

The Securities outstanding at any time are all the Securities authenticated by the Trustee except for those canceled by it, those delivered to it for cancellation, those reductions in the interest on a Global Security effected by the Trustee in accordance with the provisions hereof and those described in this Section as not outstanding.

 

If a Security is replaced pursuant to Section 2.8, it ceases to be outstanding until the Trustee receives proof satisfactory to it that the replaced Security is held by a bona fide purchaser.

 

If the Paying Agent (other than the Company, a Subsidiary or an Affiliate of any thereof) holds on the Maturity of Securities of a Series money sufficient to pay such Securities payable on that date, then on and after that date such Securities of the Series cease to be outstanding and interest on them ceases to accrue.

 

A Security does not cease to be outstanding because the Company or an Affiliate holds the Security.

 

In determining whether the Holders of the requisite principal amount of outstanding Securities have given any request, demand, authorization, direction, notice, consent or waiver hereunder, the principal amount of a Discount Security that shall be deemed to be outstanding for such purposes shall be the amount of the principal thereof that would be due and payable as of the date of such determination upon a declaration of acceleration of the Maturity thereof pursuant to Section 6.2.

 

Section 2.10. Treasury Securities.

 

In determining whether the Holders of the required principal amount of Securities of a Series have concurred in any request, demand, authorization, direction, notice, consent or waiver Securities of a Series owned by the Company or an Affiliate shall be disregarded, except that for the purposes of determining whether the Trustee shall be protected in relying on any such request, demand, authorization, direction, notice, consent or waiver only Securities of a Series that a Responsible officer of the Trustee actually knows are so owned shall be so disregarded.

 

Section 2.11. Temporary Securities.

 

Until definitive Securities are ready for delivery, the Company may prepare and the Trustee shall authenticate temporary Securities upon a Company Order. Temporary Securities shall be substantially in the form of definitive Securities but may have variations that the Company considers appropriate for temporary Securities. Without unreasonable delay, the Company shall prepare and the Trustee upon request shall authenticate definitive Securities of the same Series and date of maturity in exchange for temporary Securities. Until so exchanged, temporary Securities shall have the same rights under this Indenture as the definitive Securities.

 

Section 2.12.  Cancellation.

 

The Company at any time may deliver Securities to the Trustee for cancellation. The Registrar and the Paying Agent shall forward to the Trustee any Securities surrendered to them for registration of transfer, exchange or payment. The Trustee shall cancel all Securities surrendered for transfer, exchange, payment or cancellation and shall dispose of such canceled Securities (subject to the record retention requirement of the Exchange Act) in accordance with its then customary procedures and deliver a certificate of such disposition to the Company, unless the Company otherwise directs. The Company may not issue new Securities to replace Securities that it has paid or delivered to the Trustee for cancellation.

 

Section 2.13. Defaulted Interest.

 

If the Company defaults in a payment of interest on a Series of Securities, it shall pay the defaulted interest,

 

10

 

plus, to the extent permitted by law, any interest payable on the defaulted interest, to the persons who are Securityholders of the Series on a subsequent special record date. The Company shall fix the record date and payment date. At least 30 days before the record date, the Company shall mail to the Trustee and to each Securityholder of the Series a notice that states the record date, the payment date and the amount of interest to be paid. The Company may pay defaulted interest in any other lawful manner.

 

Section 2.14.  Global Securities.

 

2.14.1. Terms of Securities. A Board Resolution, a supplemental indenture hereto or an Officers’ Certificate shall establish whether the Securities of a Series shall be issued in whole or in part in the form of one or more Global Securities and the Depositary for such Global Security or Securities.

 

2.14.2. Transfer and Exchange. Notwithstanding any provisions to the contrary contained in Section 2.7 of the Indenture and in addition thereto, any Global Security shall be exchangeable pursuant to Section 2.7 of the Indenture for Securities registered in the names of Holders other than the Depositary for such Security or its nominee only if (i) such Depositary notifies the Company that it is unwilling or unable to continue as Depositary for such Global Security or if at any time such Depositary ceases to be a clearing agency registered under the Exchange Act, and, in either case, the Company fails to appoint a successor Depositary within 90 days of such event, (ii) the Company executes and delivers to the Trustee an Officers’ Certificate to the effect that such Global Security shall be so exchangeable or (iii) an Event of Default with respect to the Securities represented by such Global Security shall have happened and be continuing. Any Global Security that is exchangeable pursuant to the preceding sentence shall be exchangeable for Securities registered in such names as the Depositary shall direct in writing in an aggregate principal amount equal to the principal amount of the Global Security with like tenor and terms.

 

Except as provided in this Section 2.14.2, a Global Security may not be transferred except as a whole by the Depositary with respect to such Global Security to a nominee of such Depositary, by a nominee of such Depositary to such Depositary or another nominee of such Depositary or by the Depositary or any such nominee to a successor Depositary or a nominee of such a successor Depositary.

 

2.14.3. Legend. Unless otherwise provided pursuant to Section 2.2, any Global Security issued hereunder shall bear a legend in substantially the following form:

 

“This Security is a Global Security within the meaning of the Indenture hereinafter referred to and is registered in the name of the Depositary or a nominee of the Depositary. This Security is exchangeable for Securities registered in the name of a person other than the Depositary or its nominee only in the limited circumstances described in the Indenture, and may not be transferred except as a whole by the Depositary to a nominee of the Depositary, by a nominee of the Depositary to the Depositary or another nominee of the Depositary or by the Depositary or any such nominee to a successor Depositary or a nominee of such a successor Depositary.”

 

2.14.4. Acts of Holders. The Depositary, as a Holder, may appoint agents and otherwise authorize participants to give or take any request, demand, authorization, direction, notice, consent, waiver or other action which a Holder is entitled to give or take under the Indenture.

 

2.14.5. Payments. Notwithstanding the other provisions of this Indenture, unless otherwise specified as contemplated by Section 2.2, payment of the principal of, premium, if any, and interest, if any, on any Global Security shall be made to the Holder thereof.

 

2.14.6. Consents, Declaration and Directions. Except as provided in Section 2.14.5, the Company, the Trustee and any Agent shall treat a person as the Holder of such principal amount of outstanding Securities of such Series represented by a Global Security as shall be specified in a written statement of the Depositary with respect to such Global Security, for purposes of obtaining any consents, declarations, waivers or directions required to be given by the Holders pursuant to this Indenture.

 

None of the Trustee, the Paying Agent or the Registrar shall have any responsibility or obligation to any beneficial owner in a Global Security, an agent member of the Depositary or other Person with respect to the accuracy of the records of the Depositary or its nominee or of any agent member of the Depositary, with respect to any ownership interest in the Securities or with respect to the delivery to any agent member of the Depositary, beneficial owner or other Person (other than the Depositary) of any notice (including any notice of redemption) or the payment of any amount, under or with respect

 

11

 

to such Securities. All notices and communications to be given to the Securityholders and all payments to be made to Securityholders under the Securities and this Indenture shall be given or made only to or upon the order of the registered holders (which shall be the Depositary or its nominee in the case of the Global Security). The rights of beneficial owners in the Global Security shall be exercised only through the Depositary subject to the applicable procedures. The Trustee, the Paying Agent and the Registrar shall be entitled to rely and shall be fully protected in relying upon information furnished by the Depositary with respect to its members, participants and any beneficial owners. The Trustee, the Paying Agent and the Registrar shall be entitled to deal with the Depositary, and any nominee thereof, that is the registered holder of any Global Security for all purposes of this Indenture relating to such Global Security (including the payment of principal, premium, if any, and interest and additional amounts, if any, and the giving of instructions or directions by or to the owner or holder of a beneficial ownership interest in such Global Security) as the sole holder of such Global Security and shall have no obligations to the beneficial owners thereof. None of the Trustee, the Paying Agent or the Registrar shall have any responsibility or liability for any acts or omissions of the Depositary with respect to such Global Security, for the records of any such Depositary, including records in respect of beneficial ownership interests in respect of any such Global Security, for any transactions between the Depositary and any agent member of the Depositary or between or among the Depositary, any such agent member of the Depositary and/or any holder or owner of a beneficial interest in such Global Security, or for any transfers of beneficial interests in any such Global Security.

 

Notwithstanding the foregoing, with respect to any Global Security, nothing herein shall prevent the Company, the Trustee, or any agent of the Company or the Trustee from giving effect to any written certification, proxy or other authorization furnished by any Depositary (or its nominee), as a Holder, with respect to such Global Security or shall impair, as between such Depositary and owners of beneficial interests in such Global Security, the operation of customary practices governing the exercise of the rights of such Depositary (or its nominee) as Holder of such Global Security.

 

Section 2.15. CUSIP Numbers.

 

The Company in issuing the Securities may use “CUSIP”, “ISIN” or other numbers (if then generally in use), and, if so, the Trustee shall use “CUSIP”, “ISIN”, or other numbers in notices of redemption as a convenience to Holders; provided that any such notice may state that no representation is made as to the correctness of such numbers either as printed on the Securities or as contained in any notice of a redemption and that reliance may be placed only on the other elements of identification printed on the Securities, and any such redemption shall not be affected by any defect in or omission of such numbers.

 

ARTICLE III.

REDEMPTION

 

Section 3.1. Notice to Trustee.

 

The Company may, with respect to any Series of Securities, reserve the right to redeem and pay the Series of Securities or may covenant to redeem and pay the Series of Securities or any part thereof prior to the Stated Maturity thereof at such time and on such terms as provided for in such Securities. If a Series of Securities is redeemable and the Company wants or is obligated to redeem prior to the Stated Maturity thereof all or part of the Series of Securities pursuant to the terms of such Securities, it shall notify the Trustee of the redemption date and the principal amount of Series of Securities to be redeemed. The Company shall give the notice at least 45 days before the redemption date (or such shorter notice as may be acceptable to the Trustee).

 

Section 3.2. Selection of Securities to be Redeemed.

 

Unless otherwise indicated for a particular Series by a Board Resolution, a supplemental indenture or an Officers’ Certificate, if less than all the Securities of a Series are to be redeemed, the Trustee shall select the Securities of the Series to be redeemed in any manner that the Trustee deems fair and appropriate. The Trustee shall make the selection from Securities of the Series outstanding not previously called for redemption. The Trustee may select for redemption portions of the principal of Securities of the Series that have denominations larger than $1,000. Securities of the Series and portions of them it selects shall be in amounts of $1,000 or whole multiples of $1,000 or, with respect to Securities of any Series issuable in other denominations pursuant to Section 2.2.10, the minimum principal denomination for each Series and integral multiples thereof. Provisions of this Indenture that apply to Securities of a Series called for redemption also apply to portions of Securities of that Series called for redemption.  Notwithstanding the foregoing, to the extent Securities of a Series to be redeemed are represented by a Global Security, the Securities of such Series to be redeemed shall be selected in the accordance with the procedures of the Depositary.

 

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Section 3.3. Notice of Redemption.

 

Unless otherwise indicated for a particular Series by a Board Resolution, a supplemental indenture hereto or an Officers’ Certificate, at least 30 days but not more than 60 days before a redemption date, the Company shall mail a notice of redemption by first-class mail to each Holder whose Securities are to be redeemed and if any Bearer Securities are outstanding, publish on one occasion a notice in an Authorized Newspaper.

 

The notice shall identify the Securities of the Series to be redeemed and shall state:

 

(a) the redemption date;

 

(b) the redemption price;

 

(c) the name and address of the Paying Agent;

 

(d) that Securities of the Series called for redemption must be surrendered to the Paying Agent to collect the redemption price;

 

(e) that interest on Securities of the Series called for redemption ceases to accrue on and after the redemption date; and

 

(f) any other information as may be required by the terms of the particular Series or the Securities of a Series being redeemed.

 

At the Company’s request, the Trustee shall give the notice of redemption in the Company’s name and at its expense.

 

Section 3.4.  Effect of Notice of Redemption.

 

Once notice of redemption is mailed or published as provided in Section 3.3, Securities of a Series called for redemption become due and payable on the redemption date and at the redemption price. A notice of redemption may not be conditional. Upon surrender to the Paying Agent, such Securities shall be paid at the redemption price plus accrued interest to the redemption date.

 

Section 3.5. Deposit of Redemption Price.

 

On or before the redemption date, the Company shall deposit with the Paying Agent money sufficient to pay the redemption price of and accrued interest, if any, on all Securities to be redeemed on that date.

 

Section 3.6. Securities Redeemed in Part.

 

Upon surrender of a Security that is redeemed in part, the Trustee shall authenticate for the Holder a new Security of the same Series and the same Maturity equal in principal amount to the unredeemed portion of the Security surrendered.

 

ARTICLE IV.

COVENANTS

 

Section 4.1.  Payment of Principal and Interest.

 

The Company covenants and agrees for the benefit of the Holders of each Series of Securities that it will duly and punctually pay the principal of and interest, if any, on the Securities of that Series in accordance with the terms of such Securities and this Indenture.

 

Section 4.2. SEC Reports.

 

The Company shall deliver to the Trustee within 15 days after it files them with the SEC copies of the annual reports and of the information, documents, and other reports (or copies of such portions of any of the foregoing as the SEC may by rules and regulations prescribe) which the Company is required to file with the SEC pursuant to Section 13 or

 

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15(d) of the Exchange Act. The Company also shall comply with the other provisions of TIA Section 314(a).

 

Delivery of such reports, information and documents to the Trustee is for informational purposes only and the Trustee’s receipt of such shall not constitute notice or constructive notice of any information contained therein or determinable from information contained therein including the Company’s compliance with any of its covenants hereunder (as to which the Trustee is entitled to rely exclusively on Officers’ Certificates).

 

Section 4.3. Compliance Certificate.

 

The Company shall deliver to the Trustee, within 90 days after the end of each fiscal year of the Company, an Officers’ Certificate stating that a review of the activities of the Company and its Subsidiaries during the preceding fiscal year has been made under the supervision of the signing Officers with a view to determining whether the Company has kept, observed, performed and fulfilled its obligations under this Indenture, and further stating, as to each such Officer signing such certificate, that to the best of his knowledge the Company has kept, observed, performed and fulfilled each and every covenant contained in this Indenture and is not in default in the performance or observance of any of the terms, provisions and conditions hereof (or, if a Default or Event of Default shall have occurred, describing all such Defaults or Events of Default of which he may have knowledge).

 

The Company will, so long as any of the Securities are outstanding, deliver to the Trustee, forthwith upon becoming aware of any Default or Event of Default, an Officers’ Certificate specifying such Default or Event of Default and what action the Company is taking or proposes to take with respect thereto.

 

Section 4.4.  Stay, Extension and Usury Laws.

 

The Company covenants (to the extent that it may lawfully do so) that it will not at any time insist upon, plead, or in any manner whatsoever claim or take the benefit or advantage of, any stay, extension or usury law wherever enacted, now or at any time hereafter in force, which may affect the covenants or the performance of this Indenture or the Securities; and the Company (to the extent it may lawfully do so) hereby expressly waives all benefit or advantage of any such law and covenants that it will not, by resort to any such law, hinder, delay or impede the execution of any power herein granted to the Trustee, but will suffer and permit the execution of every such power as though no such law has been enacted.

 

Section 4.5. Corporate Existence.

 

Subject to Article V, the Company will do or cause to be done all things necessary to preserve and keep in full force and effect its corporate existence and the corporate, partnership or other existence of each Significant Subsidiary in accordance with the respective organizational documents of each Significant Subsidiary and the rights (charter and statutory), licenses and franchises of the Company and its Significant Subsidiaries; provided, however, that the Company shall not be required to preserve any such right, license or franchise, or the corporate, partnership or other existence of any Significant Subsidiary, if the Board of Directors shall determine that the preservation thereof is no longer desirable in the conduct of the business of the Company and its Subsidiaries taken as a whole and that the loss thereof is not adverse in any material respect to the Holders

 

Section 4.6. Taxes.

 

The Company shall, and shall cause each of its Significant Subsidiaries to, pay prior to delinquency all taxes, assessments and governmental levies, except as contested in good faith and by appropriate proceedings.

 

ARTICLE V.

SUCCESSORS

 

Section 5.1. When Company May Merge, Etc.

 

The Company shall not consolidate with or merge into, or sell, convey, transfer or lease all or substantially all of its properties and assets to, any person (a “successor person”), and may not permit any person to merge into, or convey, transfer or lease its properties and assets substantially as an entirety to, the Company, unless:

 

(a) the successor person (if any) or consolidated entity (if any) is a corporation, partnership, trust or other

 

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entity organized and validly existing under the laws of any U.S. domestic jurisdiction and expressly assumes, by an indenture supplemental hereto executed and delivered to the Trustee, all of the Company’s obligations on the Securities and under this Indenture and

 

(b) immediately after giving effect to the transaction, no Default or Event of Default, shall have occurred and be continuing.

 

The Company shall deliver to the Trustee prior to the consummation of the proposed transaction an Officers’ Certificate and an Opinion of Counsel each of which shall state such consolidation, merger, transfer or lease and such supplemental indenture (if required) comply with this Article V and that all conditions precedent herin provided for relating to such transaction have been complied with.

 

Section 5.2. Successor Corporation Substituted.

 

Upon any consolidation or merger, or any sale, lease, conveyance or other disposition of all or substantially all of the assets of the Company in accordance with Section 5.1, the successor corporation, partnership, trust or other entity organized and validly existing under the laws of any U.S. domestic jurisdiction formed by such consolidation or into or with which the Company is merged or to which such sale, lease, conveyance or other disposition is made shall succeed to, and be substituted for, and may exercise every right and power of, the Company under this Indenture with the same effect as if such successor person has been named as the Company herein; provided, however, that the predecessor Company in the case of a sale, lease, conveyance or other disposition shall not be released from the obligation to pay the principal of and interest, if any, on the Securities or obligation to the Trustee under Section 7.7 hereof.

 

ARTICLE VI.

DEFAULTS AND REMEDIES

 

Section 6.1. Events of Default.

 

“Event of Default,” wherever used herein with respect to Securities of any Series, means any one of the following events, unless in the establishing Board Resolution, supplemental indenture or Officers’ Certificate, it is provided that such Series shall not have the benefit of said Event of Default:

 

(a) default in the payment of any interest on any Security of that Series when it becomes due and payable, and continuance of such default for a period of 30 days (unless the entire amount of such payment is deposited by the Company with the Trustee or with a Paying Agent prior to the expiration of such period of 30 days); or

 

(b) default in the payment of the principal of any Security of that Series at its Maturity; or

 

(c) default in the deposit of any sinking fund payment, when and as due in respect of any Security of that Series; or

 

(d) default in the performance or breach of any covenant or warranty of the Company in this Indenture (other than a covenant or warranty that has been included in this Indenture solely for the benefit of Series of Securities other than that Series), which default continues uncured for a period of 60 days after there has been given, by registered or certified mail, to the Company by the Trustee or to the Company and the Trustee by the Holders of at least 25% in principal amount of the outstanding Securities of that Series a written notice specifying such default or breach and requiring it to be remedied and stating that such notice is a “Notice of Default” hereunder; or

 

(e) the Company or any of its Significant Subsidiaries pursuant to or within the meaning of any Bankruptcy Law:

 

(i) commences a voluntary case,

 

(ii) consents to the entry of an order for relief against it in an involuntary case,

 

(iii) consents to the appointment of a Custodian of it or for all or substantially all of its property,

 

(iv) makes a general assignment for the benefit of its creditors, or

 

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(v) generally is unable to pay its debts as the same become due; or

 

(f) a court of competent jurisdiction enters an order or decree under any Bankruptcy Law that:

 

(i) is for relief against the Company or any of its Significant Subsidiaries in an involuntary case,

 

(ii) appoints a Custodian of the Company or any of its Significant Subsidiaries or for all or substantially all of its property, or

 

(iii) orders the liquidation of the Company or any of its Significant Subsidiaries,

 

and the order or decree remains unstayed and in effect for 60 days; or

 

(g) any other Event of Default provided with respect to Securities of that Series, which is specified in a Board Resolution, a supplemental indenture hereto or an Officers’ Certificate, in accordance with Section 2.2.19.

 

The term “Bankruptcy Law” means title 11, U.S. Code or any similar Federal or State law for the relief of debtors. The term “Custodian” means any receiver, trustee, assignee, liquidator or similar official under any Bankruptcy Law.

 

Section 6.2. Acceleration of Maturity; Rescission and Annulment.

 

If an Event of Default with respect to Securities of any Series at the time outstanding occurs and is continuing (other than an Event of Default referred to in Section 6.1(e) or (f)) then in every such case the Trustee or the Holders of not less than 25% in principal amount of the outstanding Securities of that Series may declare the principal amount (or, if any Securities of that Series are Discount Securities, such portion of the principal amount as may be specified in the terms of such Securities) of and accrued and unpaid interest, if any, on all of the Securities of that Series to be due and payable immediately, by a notice in writing to the Company (and to the Trustee if given by Holders), and upon any such declaration such principal amount (or specified amount) and accrued and unpaid interest, if any, shall become immediately due and payable. If an Event of Default specified in Section 6.1(e) or (f) shall occur, the principal amount (or specified amount) of and accrued and unpaid interest, if any, on all outstanding Securities shall ipso facto become and be immediately due and payable without any declaration or other act on the part of the Trustee or any Holder.

 

At any time after such a declaration of acceleration with respect to any Series has been made and before a judgment or decree for payment of the money due has been obtained by the Trustee as hereinafter in this Article provided, the Holders of a majority in principal amount of the outstanding Securities of that Series, by written notice to the Company and the Trustee, may rescind and annul such declaration and its consequences if:

 

(a) the Company has paid or deposited with the Trustee a sum sufficient to pay

 

(i) all overdue interest, if any, on all Securities of that Series,

 

(ii) the principal of any Securities of that Series which have become due otherwise than by such declaration of acceleration and interest thereon at the rate or rates prescribed therefor in such Securities,

 

(iii) to the extent that payment of such interest is lawful, interest upon any overdue principal and overdue interest at the rate or rates prescribed therefor in such Securities, and

 

(iv) all sums paid or advanced by the Trustee hereunder and the reasonable compensation, expenses, disbursements and advances of the Trustee, its agents and counsel;

 

and

 

(b) all Events of Default with respect to Securities of that Series, other than the non-payment of the principal of Securities of that Series which have become due solely by such declaration of acceleration, have been cured or waived as provided in Section 6.13.

 

No such rescission shall affect any subsequent Default or impair any right consequent thereon.

 

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Section 6.3. Collection of Indebtedness and Suits for Enforcement by Trustee.

 

The Company covenants that if

 

(a) default is made in the payment of any interest on any Security when such interest becomes due and payable and such default continues for a period of 30 days, or

 

(b) default is made in the payment of principal of any Security at the Maturity thereof, or

 

(c) default is made in the deposit of any sinking fund payment when and as due by the terms of a Security,

 

then, the Company will, upon demand of the Trustee, pay to it, for the benefit of the Holders of such Securities, the whole amount then due and payable on such Securities for principal and interest and, to the extent that payment of such interest shall be legally enforceable, interest on any overdue principal or any overdue interest, at the rate or rates prescribed therefor in such Securities, and, in addition thereto, such further amount as shall be sufficient to cover the costs and expenses of collection, including the reasonable compensation, expenses, disbursements and advances of the Trustee, its agents and counsel.

 

If the Company fails to pay such amounts forthwith upon such demand, the Trustee, in its own name and as trustee of an express trust, may institute a judicial proceeding for the collection of the sums so due and unpaid, may prosecute such proceeding to judgment or final decree and may enforce the same against the Company or any other obligor upon such Securities and collect the moneys adjudged or deemed to be payable in the manner provided by law out of the property of the Company or any other obligor upon such Securities, wherever situated.

 

If an Event of Default with respect to any Securities of any Series occurs and is continuing, the Trustee may in its discretion proceed to protect and enforce its rights and the rights of the Holders of Securities of such Series by such appropriate judicial proceedings as the Trustee shall deem most effectual to protect and enforce any such rights, whether for the specific enforcement of any covenant or agreement in this Indenture or in aid of the exercise of any power granted herein, or to enforce any other proper remedy.

 

Section 6.4. Trustee May File Proofs of Claim.

 

In case of the pendency of any receivership, insolvency, liquidation, bankruptcy, reorganization, arrangement, adjustment, composition or other judicial proceeding relative to the Company or any other obligor upon the Securities or the property of the Company or of such other obligor or their creditors, the Trustee (irrespective of whether the principal of the Securities shall then be due and payable as therein expressed or by declaration or otherwise and irrespective of whether the Trustee shall have made any demand on the Company for the payment of overdue principal or interest) shall be entitled and empowered, by intervention in such proceeding or otherwise,

 

(a) to file and prove a claim for the whole amount of principal and interest owing and unpaid in respect of the Securities and to file such other papers or documents as may be necessary or advisable in order to have the claims of the Trustee (including any claim for the reasonable compensation, expenses, disbursements and advances of the Trustee, its agents and counsel) and of the Holders allowed in such judicial proceeding, and

 

(b) to collect and receive any moneys or other property payable or deliverable on any such claims and to distribute the same, and any custodian, receiver, assignee, trustee, liquidator, sequestrator or other similar official in any such judicial proceeding is hereby authorized by each Holder to make such payments to the Trustee and, in the event that the Trustee shall consent to the making of such payments directly to the Holders, to pay to the Trustee any amount due it for the reasonable compensation, expenses, disbursements and advances of the Trustee, its agents and counsel, and any other amounts due the Trustee under Section 7.7.

 

Nothing herein contained shall be deemed to authorize the Trustee to authorize or consent to or accept or adopt on behalf of any Holder any plan of reorganization, arrangement, adjustment or composition affecting the Securities or the rights of any Holder thereof or to authorize the Trustee to vote in respect of the claim of any Holder in any such proceeding.

 

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Section 6.5.  Trustee May Enforce Claims Without Possession of Securities.

 

All rights of action and claims under this Indenture or the Securities may be prosecuted and enforced by the Trustee without the possession of any of the Securities or the production thereof in any proceeding relating thereto, and any such proceeding instituted by the Trustee shall be brought in its own name as trustee of an express trust, and any recovery of judgment shall, after provision for the payment of the reasonable compensation, expenses, disbursements and advances of the Trustee, its agents and counsel, be for the ratable benefit of the Holders of the Securities in respect of which such judgment has been recovered.

 

Section 6.6. Application of Money Collected.

 

Any money collected by the Trustee pursuant to this Article, and after an Event of Default any money or other property distributable in respect of the Company’s obligations under this Indenture, shall be applied in the following order, at the date or dates fixed by the Trustee and, in case of the distribution of such money on account of principal or interest, upon presentation of the Securities and the notation thereon of the payment if only partially paid and upon surrender thereof if fully paid:

 

First: To the payment of all amounts due the Trustee (including any predecessor trustee) under Section 7.7; and

 

Second: To the payment of the amounts then due and unpaid for principal of and interest on the Securities in respect of which or for the benefit of which such money has been collected, ratably, without preference or priority of any kind, according to the amounts due and payable on such Securities for principal and interest, respectively; and

 

Third: To the Company.

 

The Trustee may fix a record date and payment date for any payment to Securityholders.

 

Section 6.7.  Limitation on Suits.

 

No Holder of any Security of any Series shall have any right to institute any proceeding, judicial or otherwise, with respect to this Indenture, or for the appointment of a receiver or trustee, or for any other remedy hereunder, unless

 

(a) such Holder has previously given written notice to the Trustee of a continuing Event of Default with respect to the Securities of that Series;

 

(b) the Holders of not less than 25% in principal amount of the outstanding Securities of that Series shall have made written request to the Trustee to institute proceedings in respect of such Event of Default in its own name as Trustee hereunder;

 

(c) such Holder or Holders have offered to the Trustee indemnity satisfactory to the Trustee against the costs, expenses and liabilities to be incurred in compliance with such request;

 

(d) the Trustee for 60 days after its receipt of such notice, request and offer of indemnity has failed to institute any such proceeding; and

 

(e) no direction inconsistent with such written request has been given to the Trustee during such 60-day period by the Holders of a majority in principal amount of the outstanding Securities of that Series;

 

it being understood and intended that no one or more of such Holders shall have any right in any manner whatever by virtue of, or by availing of, any provision of this Indenture to affect, disturb or prejudice the rights of any other of such Holders, or to obtain or to seek to obtain priority or preference over any other of such Holders or to enforce any right under this Indenture, except in the manner herein provided and for the equal and ratable benefit of all such Holders.

 

Section 6.8.  Unconditional Right of Holders to Receive Principal and Interest.

 

Notwithstanding any other provision in this Indenture, the Holder of any Security shall have the right, which is absolute and unconditional, to receive payment of the principal of and interest, if any, on such Security on the Stated Maturity or Stated Maturities expressed in such Security (or, in the case of redemption, on the redemption date) and to institute suit for the enforcement of any such payment, and such rights shall not be impaired without the consent of such

 

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Holder.

 

Section 6.9.  Restoration of Rights and Remedies.

 

If the Trustee or any Holder has instituted any proceeding to enforce any right or remedy under this Indenture and such proceeding has been discontinued or abandoned for any reason, or has been determined adversely to the Trustee or to such Holder, then and in every such case, subject to any determination in such proceeding, the Company, the Trustee and the Holders shall be restored severally and respectively to their former positions hereunder and thereafter all rights and remedies of the Trustee and the Holders shall continue as though no such proceeding had been instituted.

 

Section 6.10.  Rights and Remedies Cumulative.

 

Except as otherwise provided with respect to the replacement or payment of mutilated, destroyed, lost or stolen Securities in Section 2.8, no right or remedy herein conferred upon or reserved to the Trustee or to the Holders is intended to be exclusive of any other right or remedy, and every right and remedy shall, to the extent permitted by law, be cumulative and in addition to every other right and remedy given hereunder or now or hereafter existing at law or in equity or otherwise. The assertion or employment of any right or remedy hereunder, or otherwise, shall not prevent the concurrent assertion or employment of any other appropriate right or remedy.

 

Section 6.11. Delay or Omission Not Waiver.

 

No delay or omission of the Trustee or of any Holder of any Securities to exercise any right or remedy accruing upon any Event of Default shall impair any such right or remedy or constitute a waiver of any such Event of Default or an acquiescence therein. Every right and remedy given by this Article or by law to the Trustee or to the Holders may be exercised from time to time, and as often as may be deemed expedient, by the Trustee or by the Holders, as the case may be.

 

Section 6.12. Control by Holders.

 

The Holders of a majority in principal amount of the outstanding Securities of any Series shall have the right to direct the time, method and place of conducting any proceeding for any remedy available to the Trustee, or exercising any trust or power conferred on the Trustee, with respect to the Securities of such Series, provided that

 

(a) such direction shall not be in conflict with any rule of law or with this Indenture,

 

(b) the Trustee may take any other action deemed proper by the Trustee which is not inconsistent with such direction, and

 

(c) subject to the provisions of Section 6.1, the Trustee shall have the right to decline to follow any such direction if the Trustee in good faith shall, by a Responsible Officer of the Trustee, determine that the proceeding so directed would involve the Trustee in personal liability.

 

Section 6.13.  Waiver of Past Defaults.

 

Subject to Section 6.2, the Holders of not less than a majority in principal amount of the outstanding Securities of any Series may on behalf of the Holders of all the Securities of such Series waive any past Default hereunder with respect to such Series and its consequences, except a Default in the payment of the principal of or interest on any Security of such Series (provided, however, that the Holders of a majority in principal amount of the outstanding Securities of any Series may rescind an acceleration and its consequences, including any related payment default that resulted from such acceleration). Upon any such waiver, such Default shall cease to exist, and any Event of Default arising therefrom shall be deemed to have been cured, for every purpose of this Indenture; but no such waiver shall extend to any subsequent or other Default or impair any right consequent thereon.

 

Section 6.14.  Undertaking for Costs.

 

All parties to this Indenture agree, and each Holder of any Security by his acceptance thereof shall be deemed to have agreed, that any court may in its discretion require, in any suit for the enforcement of any right or remedy under this Indenture, or in any suit against the Trustee for any action taken, suffered or omitted by it as Trustee, the filing by

 

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any party litigant in such suit of an undertaking to pay the costs of such suit, and that such court may in its discretion assess reasonable costs, including reasonable attorneys’ fees, against any party litigant in such suit, having due regard to the merits and good faith of the claims or defenses made by such party litigant; but the provisions of this Section shall not apply to any suit instituted by the Company, to any suit instituted by the Trustee, to any suit instituted by any Holder, or group of Holders, holding in the aggregate more than 10% in principal amount of the outstanding Securities of any Series, or to any suit instituted by any Holder for the enforcement of the payment of the principal of or interest on any Security on or after the Stated Maturity or Stated Maturities expressed in such Security (or, in the case of redemption, on the redemption date).

 

ARTICLE VII.

TRUSTEE

 

Section 7.1.  Duties of Trustee.

 

(a) If an Event of Default has occurred and is continuing, the Trustee shall exercise such of the rights and powers vested in it by this Indenture and use the same degree of care and skill in their exercise as a prudent person would exercise or use under the circumstances in the conduct of his or her own affairs.

 

(b)  Except during the continuance of an Event of Default:

 

(i) the Trustee need perform those duties and only those duties that are specifically set forth in this Indenture and no others, and no implied covenants or obligations shall be read into this Indenture against the Trustee; and

 

(ii) in the absence of bad faith on its part, the Trustee may conclusively rely, as to the truth of the statements and the correctness of the opinions expressed therein, upon certificates or opinions furnished to the Trustee and conforming to the requirements of this Indenture; however, in the case of any such certificates or opinions which by any provisions hereof are specifically required to be furnished to the Trustee, the Trustee shall be under a duty to examine such certificates and opinions to determine whether or not they conform to the requirements of this Indenture (but need not confirm or investigate the accuracy of mathematical calculations or other facts, statements, opinions or conclusions stated therein).

 

(c) No provision of this indenture shall be construed to releive the Trustee from liability for its own negligent action, its own negligent failure to act, or its own willful misconduct, except that

 

(i) this paragraph does not limit the effect of paragraphs (b) or (g) of this Section;

 

(ii) the Trustee shall not be liable for any error of judgment made in good faith by a Responsible Officer, unless it shall be proved that the Trustee was negligent in ascertaining the pertinent facts; and

 

(iii) the Trustee shall not be liable with respect to any action taken, suffered or omitted to be taken by it with respect to Securities of any Series in good faith in accordance with the direction of the Holders of a majority in principal amount of the outstanding Securities of any Series, determined as provided herein, relating to the time, method and place of conducting any proceeding for any remedy available to the Trustee, or exercising any trust or power conferred upon the Trustee, under this Indenture with respect to the Securities of such Series.

 

(d) Every provision of this Indenture that in any way relates to the Trustee is subject to this Section.

 

(e) The Trustee may refuse to perform any duty or exercise any right or power unless it receives indemnity satisfactory to it against any loss, liability or expense.

 

(f) The Trustee shall not be liable for interest on, or for investing, any money received by it except as the Trustee may agree in writing with the Company. Money held in trust by the Trustee need not be segregated from other funds except to the extent required by law.

 

(g) No provision of this Indenture shall require the Trustee to expend or risk its own funds or otherwise incur any financial liability in the performance of any of its duties hereunder, or in the exercise of any of its rights or powers, if it shall have reasonable grounds for believing that repayment of such funds or adequate indemnity against such risk or liability is not reasonably assured to it.

 

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(h) Whether or not therein expressly so provided, every provision of this Indenture relating to the conduct or affecting the liability of or affording protection to the Trustee shall be subject to the provisions of this Section.

 

Section 7.2. Rights of Trustee.

 

Subject to the provisions of Section 7.1:

 

(a) the Trustee may conclusively rely on and shall be fully protected in acting or refraining from acting upon any resolution, certificate, statement, instrument, opinion, report, notice, request, direction, consent, order, bond, debenture, note, other evidence of indebtedness or other paper or document believed by it to be genuine and to have been signed or presented by the proper party or parties;

 

(b) any request or direction of the Company mentioned herein shall be sufficiently evidenced by a Company Request or Company Order and any resolution of the Board of Directors may be sufficiently evidenced by a Board Resolution;

 

(c) whenever in the administration of this Indenture the Trustee shall deem it desirable that a matter be proved or established prior to taking, suffering or omitting any action hereunder, the Trustee (unless other evidence be herein specifically prescribed) may, in the absence of bad faith on its part, conclusively rely upon an Officers’ Certificate;

 

(d) the Trustee may consult with counsel and the advice of such counsel or any Opinion of Counsel shall be full and complete authorization and protection in respect of any action taken, suffered or omitted by it hereunder in good faith and in reliance thereon;

 

(e) the Trustee shall be under no obligation to exercise any of the rights or powers vested in it by this Indenture at the request or direction of any of the Holders pursuant to this Indenture, unless such Holders shall have offered to the Trustee security or indemnity satisfactory to the Trustee against the costs, expenses and liabilities which might be incurred by it in compliance with such request or direction;

 

(f) the Trustee shall not be bound to make any investigation into the facts or matters stated in any resolution, certificate, statement, instrument, opinion, report, notice, request, direction, consent, order, bond, debenture, note, other evidence of indebtedness or other paper or document, but the Trustee, in its discretion, may make such further inquiry or investigation into such facts or matters as it may see fit, and, if the Trustee shall determine to make such further inquiry or investigation, it shall be entitled to examine the books, records and premises of the Company, personally or by agent or attorney at the sole cost of the Company and shall incur no liability or additional liability of any kind by reason of such inquiry or investigation.

 

(g) the Trustee may execute any of the trusts or powers hereunder or perform any duties hereunder either directly or by or through agents or attorneys and the Trustee shall not be responsible for any misconduct or negligence on the part of any agent or attorney appointed with due care by it hereunder and no Depositary shall be deemed an agent of the Trustee and the Trustee shall not be responsible for any act or omission by any Depositary;

 

(h) the Trustee shall not be liable for any action taken, suffered, or omitted to be taken by it in good faith and believed by it to be authorized or within the discretion or rights or powers conferred upon it by this Indenture;

 

(i) the Trustee shall not be deemed to have notice or be charged with knowledge of any Default or Event of Default unless written notice of such Default or Event of Default from the Company or any Holder is received by the Trustee at the Corporate Trust Office of the Trustee, and such notice references the Securities and this Indenture;

 

(j)  the rights, privileges, protections, immunities and benefits given to the Trustee, including, without limitation, its right to be indemnified, are extended to, and shall be enforceable by, the Trustee in each of its capacities hereunder, and each agent, custodian and other person employed to act hereunder;

 

(k) the Trustee may request that the Company deliver an Officers’ Certificate setting forth the names of individuals and/or titles of officers authorized at such time to take specified actions pursuant to this Indenture, which Officers’ Certificate may be signed by any person authorized to sign an Officers’ Certificate, including any person specified or so authorized in any such certificate previously delivered and not superseded;

 

(l) anything in this Indenture notwithstanding, in no event shall the Trustee be liable for special, indirect,

 

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punitive or consequential loss or damage of any kind whatsoever (including but not limited to loss of profit), even if the Trustee has been advised as to the likelihood of such loss or damage and regardless of the form of action; and

 

(m) the Trustee shall not be responsible or liable for any failure or delay in the performance of its obligations under this Indenture arising out of or caused, directly or indirectly, by circumstances beyond its control, including, without limitation, any provision of any law or regulation or any act of any governmental authority, acts of God, earthquakes, fire, flood, terrorism, wars and other military disturbances, sabotage, epidemics, riots, interruptions, loss or malfunctions of utilities, computer (hardware or software) or communication services, accidents, labor disputes, acts of civil or military authority and governmental action.

 

Section 7.3. Individual Rights of Trustee.

 

The Trustee in its individual or any other capacity may become the owner or pledgee of Securities and may otherwise deal with the Company or an Affiliate with the same rights it would have if it were not Trustee. Any Agent may do the same with like rights. The Trustee is also subject to Sections 7.10 and 7.11.

 

Section 7.4. Trustee’s Disclaimer.

 

The recitals contained herein and in the Securities, except the Trustee’s certificates of authentication, shall be taken as the statements of the Company, and the Trustee or any Authenticating Agent assumes no responsibility for their correctness. The Trustee makes no representations as to the validity or sufficiency of this Indenture or of the Securities. The Trustee or any Authenticating Agent shall not be accountable for the use or application by the Company of Securities or the proceeds thereof. The Trustee shall not be responsible to make any calculation with respect to any matter under this Indenture. The Trustee shall have no duty to monitor or investigate the Issuers’ compliance with or the breach of, or cause to be performed or observed, any representation, warranty or covenant made in this Indenture. The Trustee shall not be responsible for any statement in the Securities other than its certificate of authentication.

 

Section 7.5. Notice of Defaults.

 

If a Default or Event of Default occurs and is continuing with respect to the Securities of any Series and if it is actually known to a Responsible Officer of the Trustee, the Trustee shall transmit first-class by mail, postage prepaid, to each Securityholder of the Securities of that Series and, if any Bearer Securities are outstanding, publish on one occasion in an Authorized Newspaper, notice of a Default or Event of Default within 90 days after it occurs or, if later, after a Responsible Officer of the Trustee has knowledge of such Default or Event of Default, unless such default shall have been cured or waived. Except in the case of a Default or Event of Default in payment of principal of (or premium, if any) or interest on any Security of such Series or in the payment of any sinking fund installment with respect to Securities of such Series, the Trustee shall be protected in withholding such notice if and so long as the board of directors, the executive committee or a trust committee of directors or Responsible Officers of the Trustee in good faith determines that withholding the notice is in the interests of Securityholders of that Series.

 

Section 7.6.  Reports by Trustee to Holders.

 

Within 60 days after May 15 in each year, the Trustee shall transmit by mail to all Securityholders, as their names and addresses appear on the register kept by the Registrar and, if any Bearer Securities are outstanding, publish in an Authorized Newspaper, a brief report dated as of such May 15, in accordance with, and to the extent required under, TIA Section 313.

 

A copy of each report at the time of its mailing to Securityholders of any Series shall be filed with the SEC and each stock exchange on which the Securities of that Series are listed. The Company shall promptly notify the Trustee when Securities of any Series are listed on any stock exchange and of any delisting thereof.

 

Section 7.7. Compensation and Indemnity.

 

The Company shall pay to the Trustee from time to time such compensation as the Company and the Trustee shall from time to time agree in writing for all services rendered by it hereunder. The Trustee’s compensation shall not be limited by any provision of law in regard to the compensation of a trustee of an express trust. Except as otherwise expressly provided herein, the Company shall reimburse the Trustee upon its request for all reasonable out-of-pocket expenses, disbursements and advances incurred or made by the Trustee in accordance with any provision of this Indenture

 

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(including the compensation and the expenses and disbursements of its agents and counsel and of all Persons not regularly in its employ).

 

The Company shall indemnify each of the Trustee or any predecessor Trustee and their officers, directors, employees, shareholders or agents for, and to hold them harmless against any and all loss, liability, damage, claims or expense arising out of or in connection with the acceptance or administration of the trust or trusts hereunder, including the costs and expenses of defending itself against any claim (whether asserted by the Company, or any Holder or any other person) or liability in connection with the exercise or performance of any of its powers or duties hereunder, or in connection with enforcing the provisions of this Section, except as set forth in the next paragraph in the performance of its duties under this Indenture as Trustee or Agent.

 

The Trustee shall notify the Company promptly of any claim for which it may seek indemnity, however, the Trustee’s failure to notify the Company promptly shall not in any way eliminate the Company’s requirement to indemnify the Trustee. The Company shall defend the claim and the Trustee shall cooperate in the defense. The Trustee may have separate counsel and the Company shall pay the reasonable fees and expenses of such counsel. The Company need not pay for any settlement made without its consent, which consent shall not be unreasonably withheld. This indemnification shall apply to officers, directors, employees, shareholders and agents of the Trustee.

 

The Company need not reimburse any expense or indemnify against any loss, liability, damage, claim or expense incurred by the Trustee or by any officer, director, employee, shareholder or agent of the Trustee through negligence or willful misconduct.

 

To secure the Company’s payment obligations in this Section, the Trustee shall have a lien prior to the Securities of any Series on all money or property held or collected by the Trustee, except funds held in trust to pay principal of (and premium, if any) or interest on particular Securities of that Series.

 

In addition to, but without prejudice to its other rights under this Indenture, when the Trustee incurs expenses or renders services after an Event of Default specified in Section 6.1(e) or (f) occurs, the expenses (including the reasonable charges and expenses of its counsel) and the compensation for the services are intended to constitute expenses of administration under any Bankruptcy Law.

 

“Trustee” for purposes of this Section shall include any predecessor Trustee; provided, however, that the negligence, willful misconduct or bad faith of any Trustee hereunder shall not affect the rights of any other Trustee hereunder.

 

The provisions of this Section shall survive the satisfaction and discharge of the Securities, the termination for any reason of this Indenture, and the resignation or removal of the Trustee.

 

Section 7.8. Replacement of Trustee.

 

A resignation or removal of the Trustee and appointment of a successor Trustee shall become effective only upon the successor Trustee’s acceptance of appointment as provided in this Section.

 

The Trustee may resign with respect to the Securities of one or more Series by so notifying the Company. The Holders of a majority in principal amount of the Securities of any Series may remove the Trustee with respect to that Series by so notifying the Trustee and the Company. The Company may remove the Trustee with respect to Securities of one or more Series if:

 

(a) the Trustee fails to comply with Section 7.10;

 

(b) the Trustee is adjudged a bankrupt or an insolvent or an order for relief is entered with respect to the Trustee under any Bankruptcy Law;

 

(c) a Custodian or public officer takes charge of the Trustee or its property; or

 

(d) the Trustee becomes incapable of acting.

 

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If the Trustee resigns or is removed or if a vacancy exists in the office of Trustee for any reason, the Company shall promptly appoint a successor Trustee. Within one year after the successor Trustee takes office, the Holders of a majority in principal amount of the then outstanding Securities may appoint a successor Trustee to replace the successor Trustee appointed by the Company.

 

If a successor Trustee with respect to the Securities of any one or more Series does not take office within 60 days after the retiring Trustee resigns or is removed, the retiring Trustee, the Company or the Holders of at least 10% in principal amount of the Securities of the applicable Series may petition any court of competent jurisdiction for the appointment of a successor Trustee.

 

If the Trustee with respect to the Securities of any one or more Series fails to comply with Section 7.10, any Securityholder of the applicable Series may petition any court of competent jurisdiction for the removal of the Trustee and the appointment of a successor Trustee.

 

A successor Trustee shall deliver a written acceptance of its appointment to the retiring Trustee and to the Company. Immediately after that, the retiring Trustee shall, upon payment of its charges and all other amounts payable to it hereunder, execute and deliver an instrument transferring to such successor trustee all the rights, powers and trusts of the retiring Trustee and shall duly assign, transfer and deliver to such successor Trustee all property and money held by such retiring Trustee hereunder to the success Trustee, subject to the lien provided for in Section 7.7, the resignation or removal of the retiring Trustee shall become effective, and the successor Trustee shall have all the rights, powers and duties of the Trustee with respect to each Series of Securities for which it is acting as Trustee under this Indenture. The Company shall mail a notice of its succession to each Securityholder of each such Series and, if any Bearer Securities are outstanding, publish such notice on one occasion in an Authorized Newspaper. Notwithstanding replacement of the Trustee pursuant to this Section 7.8, the Company’s obligations under Section 7.7 hereof shall continue for the benefit of the retiring trustee with respect to expenses and liabilities incurred by it prior to such replacement.

 

At any time there shall be only one Trustee with the respect to the Securities.

 

Section 7.9. Successor Trustee by Merger, Etc.

 

If the Trustee consolidates with, merges or converts into, or transfers all or substantially all of its corporate trust business to, another person, the successor person without any further act shall be the successor Trustee.

 

Section 7.10.  Eligibility; Disqualification.

 

This Indenture shall always have a Trustee who satisfies the requirements of TIA Section 310(a)(1), (2) and (5). The Trustee shall always have a combined capital and surplus of at least $25,000,000 as set forth in its most recent published annual report of condition. The Trustee shall comply with TIA Section 310(b); provided, however, that there shall be excluded from the operation of TIA Section 310(b)(1) any indenture or indentures under which other securities or certificates of interest or participation in other securities of the Company are outstanding if the requirements for such exclusion set forth in TIA Section 310(b)(1) are met.

 

Section 7.11. Preferential Collection of Claims Against Company.

 

The Trustee is subject to TIA Section 311(a), excluding any creditor relationship listed in TIA Section 311(b). A Trustee who has resigned or been removed shall be subject to TIA Section 311(a) to the extent indicated.

 

ARTICLE VIII.

SATISFACTION AND DISCHARGE; DEFEASANCE

 

Section 8.1. Satisfaction and Discharge of Indenture.

 

This Indenture shall upon Company Order cease to be of further effect (except as hereinafter provided in this Section 8.1), and the Trustee, at the expense of the Company, shall execute proper instruments acknowledging satisfaction and discharge of this Indenture, when

 

(a) either

 

(i) all Securities theretofore authenticated and delivered (other than Securities that have been destroyed, lost

 

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or stolen and that have been replaced or paid) have been delivered to the Trustee for cancellation; or

 

(ii) all such Securities not theretofore delivered to the Trustee for cancellation

 

(1) have become due and payable, or

 

(2)  will become due and payable at their Stated Maturity within one year, or

 

(3) are to be called for redemption within one year under arrangements satisfactory to the Trustee for the giving of notice of redemption by the Trustee in the name, and at the expense, of the Company, or

 

(4) are deemed paid and discharged pursuant to Section 8.3, as applicable;

 

and the Company, in the case of (1), (2) or (3) above, has deposited or caused to be deposited with the Trustee as trust funds in trust an amount sufficient for the purpose of paying and discharging the entire indebtedness on such Securities not theretofore delivered to the Trustee for cancellation, for principal and interest to the date of such deposit (in the case of Securities which have become due and payable on or prior to the date of such deposit) or to the Stated Maturity or redemption date, as the case may be;

 

(b) the Company has paid or caused to be paid all other sums payable hereunder by the Company; and

 

(c) the Company has delivered to the Trustee an Officers’ Certificate and an Opinion of Counsel, each stating that all conditions precedent herein provided for relating to the satisfaction and discharge of this Indenture have been complied with.

 

Notwithstanding the satisfaction and discharge of this Indenture, the obligations of the Company to the Trustee under Section 7.7, and, if money shall have been deposited with the Trustee pursuant to clause (a) of this Section, the provisions of Sections 2.4, 2.7, 2.8, 8.1, 8.2 and 8.5 shall survive.

 

Section 8.2.  Application of Trust Funds; Indemnification.

 

(a) Subject to the provisions of Section 8.5, all money deposited with the Trustee pursuant to Section 8.1, all money and U.S. Government Obligations or Foreign Government Obligations deposited with the Trustee pursuant to Section 8.3 or 8.4 and all money received by the Trustee in respect of U.S. Government Obligations or Foreign Government Obligations deposited with the Trustee pursuant to Section 8.3 or 8.4, shall be held in trust and applied by it, in accordance with the provisions of the Securities and this Indenture, to the payment, either directly or through any Paying Agent (including the Company acting as its own Paying Agent) as the Trustee may determine, to the persons entitled thereto, of the principal and interest for whose payment such money has been deposited with or received by the Trustee or to make mandatory sinking fund payments or analogous payments as contemplated by Sections 8.3 or 8.4.

 

(b) The Company shall pay and shall indemnify the Trustee against any tax, fee or other charge imposed on or assessed against U.S. Government Obligations or Foreign Government Obligations deposited pursuant to Sections 8.3 or 8.4 or the interest and principal received in respect of such obligations other than any payable by or on behalf of Holders.

 

(c) The Trustee shall deliver or pay to the Company from time to time upon Company Request any U.S. Government Obligations or Foreign Government Obligations or money held by it as provided in Sections 8.3 or 8.4 which, in the opinion of a nationally recognized firm of independent certified public accountants expressed in a written certification thereof delivered to the Trustee, are then in excess of the amount thereof which then would have been required to be deposited for the purpose for which such U.S. Government Obligations or Foreign Government Obligations or money were deposited or received. This provision shall not authorize the sale by the Trustee of any U.S. Government Obligations or Foreign Government Obligations held under this Indenture.

 

Section 8.3.  Legal Defeasance of Securities of any Series.

 

Unless this Section 8.3 is otherwise specified, pursuant to Section 2.2.21, to be inapplicable to Securities of any Series, the Company shall be deemed to have paid and discharged the entire indebtedness on all the outstanding Securities of such Series on the 91st day after the date of the deposit referred to in subparagraph (d) hereof, and the provisions of this Indenture, as it relates to such outstanding Securities of such Series, shall no longer be in effect (and the Trustee, at the expense of the Company, shall, at Company Request, execute proper instruments acknowledging the same),

 

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except as to:

 

(a) the rights of Holders of Securities of such Series to receive, from the trust funds described in subparagraph (d) hereof, (i) payment of the principal of and each installment of principal of and interest on the outstanding Securities of such Series on the Stated Maturity of such principal or installment of principal or interest and (ii) the benefit of any mandatory sinking fund payments applicable to the Securities of such Series on the day on which such payments are due and payable in accordance with the terms of this Indenture and the Securities of such Series;

 

(b) the provisions of Sections 2.4, 2.7, 2.8, 8.2, 8.3 and 8.5; and

 

(c) the rights, powers, trust and immunities of the Trustee hereunder; provided that, the following conditions shall have been satisfied:

 

(d) the Company shall have deposited or caused to be deposited irrevocably with the Trustee as trust funds in trust for the purpose of making the following payments, specifically pledged as security for and dedicated solely to the benefit of the Holders of such Securities (i) in the case of Securities of such Series denominated in Dollars, cash in Dollars (or such other money or currencies as shall then be legal tender in the United States) and/or U.S. Government Obligations, or (ii) in the case of Securities of such Series denominated in a Foreign Currency (other than a composite currency), money and/or Foreign Government Obligations, which through the payment of interest and principal in respect thereof, in accordance with their terms, will provide (and without reinvestment and assuming no tax liability will be imposed on such Trustee), not later than one day before the due date of any payment of money, an amount in cash, sufficient, in the opinion of a nationally recognized firm of independent public accountants expressed in a written certification thereof delivered to the Trustee, to pay and discharge each installment of principal (including mandatory sinking fund or analogous payments) of and interest, if any, on all the Securities of such Series on the dates such installments of interest or principal are due;

 

(e)  such deposit will not result in a breach or violation of, or constitute a default under, this Indenture or any other agreement or instrument to which the Company is a party or by which it is bound;

 

(f) no Default or Event of Default with respect to the Securities of such Series shall have occurred and be continuing on the date of such deposit or during the period ending on the 91st day after such date;

 

(g) the Company shall have delivered to the Trustee an Officers’ Certificate and an Opinion of Counsel to the effect that (i) the Company has received from, or there has been published by, the Internal Revenue Service a ruling, or (ii) since the date of execution of this Indenture, there has been a change in the applicable Federal income tax law, in either case to the effect that, and based thereon such Opinion of Counsel shall confirm that, the Holders of the Securities of such Series will not recognize income, gain or loss for Federal income tax purposes as a result of such deposit, defeasance and discharge and will be subject to Federal income tax on the same amount and in the same manner and at the same times as would have been the case if such deposit, defeasance and discharge had not occurred;

 

(h) the Company shall have delivered to the Trustee an Officers’ Certificate stating that the deposit was not made by the Company with the intent of preferring the Holders of the Securities of such Series over any other creditors of the company or with the intent of defeating, hindering, delaying or defrauding any other creditors of the Company;

 

(i) such deposit shall not result in the trust arising from such deposit constituting an investment company (as defined in the Investment Company Act of 1940, as amended), or such trust shall be qualified under such Act or exempt from regulation thereunder; and

 

(j) the Company shall have delivered to the Trustee an Officers’ Certificate and an Opinion of Counsel, each stating that all conditions precedent provided for relating to the defeasance contemplated by this Section have been complied with.

 

Section 8.4. Covenant Defeasance.

 

Unless this Section 8.4 is otherwise specified pursuant to Section 2.2.21 to be inapplicable to Securities of any Series, on and after the 91st day after the date of the deposit referred to in subparagraph (a) hereof, the Company may omit to comply with any term, provision or condition set forth under Sections 4.2, 4.3, 4.4, 4.5, 4.6, and 5.1 as well as any additional covenants contained in a supplemental indenture hereto for a particular Series of Securities or a Board Resolution

 

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or an Officers’ Certificate delivered pursuant to Section 2.2.21 (and the failure to comply with any such covenants shall not constitute a Default or Event of Default under Section 6.1) and the occurrence of any event described in clause (e) of Section 6.1 shall not constitute a Default or Event of Default hereunder, with respect to the Securities of such Series, provided that the following conditions shall have been satisfied:

 

(a) With reference to this Section 8.4, the Company has deposited or caused to be irrevocably deposited (except as provided in Section 8.2(c)) with the Trustee as trust funds in trust, specifically pledged as security for, and dedicated solely to, the benefit of the Holders of such Securities (i) in the case of Securities of such Series denominated in Dollars, cash in Dollars (or such other money or currencies as shall then be legal tender in the United States) and/or U.S. Government Obligations, or (ii) in the case of Securities of such Series denominated in a Foreign Currency (other than a composite currency), money and/or Foreign Government Obligations, which through the payment of interest and principal in respect thereof, in accordance with their terms, will provide (and without reinvestment and assuming no tax liability will be imposed on such Trustee), not later than one day before the due date of any payment of money, an amount in cash, sufficient, in the opinion of a nationally recognized firm of independent certified public accountants expressed in a written certification thereof delivered to the Trustee, to pay principal and interest, if any, on and any mandatory sinking fund in respect of the Securities of such Series on the dates such installments of interest or principal are due;

 

(b) Such deposit will not result in a breach or violation of, or constitute a default under, this Indenture or any other agreement or instrument to which the Company is a party or by which it is bound;

 

(c) No Default or Event of Default with respect to the Securities of such Series shall have occurred and be continuing on the date of such deposit or during the period ending on the 91st day after such date;

 

(d) the Company shall have delivered to the Trustee an Opinion of Counsel confirming that Holders of the Securities of such Series will not recognize income, gain or loss for federal income tax purposes as a result of such deposit and defeasance and will be subject to federal income tax on the same amounts, in the same manner and at the same times as would have been the case if such deposit and defeasance had not occurred;

 

(e)  the Company shall have delivered to the Trustee an Officers’ Certificate stating the deposit was not made by the Company with the intent of preferring the Holders of the Securities of such Series over any other creditors of the Company or with the intent of defeating, hindering, delaying or defrauding any other creditors of the Company; and

 

(f) The Company shall have delivered to the Trustee an Officers’ Certificate and an Opinion of Counsel, each stating that all conditions precedent herein provided for relating to the defeasance contemplated by this Section have been complied with.

 

Section 8.5.  Repayment to Company.

 

The Trustee and the Paying Agent shall pay to the Company upon request any money held by them for the payment of principal and interest that remains unclaimed for two years. After that, Securityholders entitled to the money must look to the Company for payment as general creditors unless an applicable abandoned property law designates another person.

 

Section 8.6. Reinstatement.

 

If the Trustee or Paying Agent is unable to apply any money or U.S. Government Obligations in accordance with Sections 8.1, 8.3 or 8.4, as the case may be, by reason of any legal proceeding or by reason of any order or judgment of any court or governmental authority enjoining, restraining or otherwise prohibiting such application, the Company’s obligations under this Indenture and the Securities shall be revived and reinstated as though no deposit had occurred pursuant to Section 8.1, 8.3 or 8.4, as the case may be, until such time as the Trustee or Paying Agent is permitted to apply all such money or U.S. Government Obligations in accordance with Section 8.1, 8.3 or 8.4, as the case may be; provided, however, that if the Company makes any payment of principal of, premium, if any, or interest on any Securities because of reinstatement of its obligations, the Company shall be subrogated to the rights of the holders of such Securities to receive such payment from the money or U.S. Government Obligations held by the Trustee or Paying Agent.

 

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ARTICLE IX.

AMENDMENTS AND WAIVERS

 

Section 9.1. Without Consent of Holders.

 

The Company and the Trustee may amend or supplement this Indenture or the Securities of one or more Series without the consent of any Securityholder:

 

(a) to cure any ambiguity, defect or inconsistency;

 

(b) to comply with Article V;

 

(c)  to provide for uncertificated Securities in addition to or in place of certificated Securities;

 

(d) to make any change that does not adversely affect the rights of any Securityholder in any material respect;

 

(e)  to provide for the issuance of and establish the form and terms and conditions of Securities of any Series as permitted by this Indenture;

 

(f) to evidence and provide for the acceptance of appointment hereunder by a successor Trustee with respect to the Securities of one or more Series and to add to or change any of the provisions of this Indenture as shall be necessary to provide for or facilitate the administration of the trusts hereunder by more than one Trustee; or

 

(g) to comply with requirements of the SEC in order to effect or maintain the qualification of this Indenture under the TIA.

 

After a supplemental indenture or waiver under this Section becomes effective, the Company shall mail to the Holders of Securities affected thereby and, if any Bearer Securities affected thereby are outstanding, publish on one occasion in an Authorized Newspaper, a notice briefly describing the supplemental indenture or waiver. Any failure by the Company to mail or publish such notice, or any defect therein, shall not, however, in any way impair or affect the validity of any such supplemental indenture or waiver.

 

Section 9.2.  With Consent of Holders.

 

The Company and the Trustee may enter into a supplemental indenture with the written consent of the Holders of at least a majority in principal amount of the outstanding Securities of each Series affected by such supplemental indenture (including consents obtained in connection with a tender offer or exchange offer for the Securities of such Series), for the purpose of adding any provisions to or changing in any manner or eliminating any of the provisions of this Indenture or of any supplemental indenture or of modifying in any manner the rights of the Securityholders of each such Series. Except as provided in Section 6.13, the Holders of at least a majority in principal amount of the outstanding Securities of each Series affected by such waiver by notice to the Trustee (including consents obtained in connection with a tender offer or exchange offer for the Securities of such Series) may waive compliance by the Company with any provision of this Indenture or the Securities with respect to such Series.

 

It shall not be necessary for the consent of the Holders of Securities under this Section 9.2 to approve the particular form of any proposed supplemental indenture or waiver, but it shall be sufficient if such consent approves the substance thereof. After a supplemental indenture or waiver under this Section becomes effective, the Company shall mail to the Holders of Securities affected thereby and, if any Bearer Securities affected thereby are outstanding, publish on one occasion in an Authorized Newspaper, a notice briefly describing the supplemental indenture or waiver. Any failure by the Company to mail or publish such notice, or any defect therein, shall not, however, in any way impair or affect the validity of any such supplemental indenture or waiver.

 

Section 9.3.  Limitations.

 

Without the consent of each Securityholder affected, an amendment or waiver may not:

 

(a) change the amount of Securities whose Holders must consent to an amendment, supplement or waiver;

 

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(b) reduce the rate of or extend the time for payment of interest (including default interest) on any Security;

 

(c) reduce the principal or change the Stated Maturity of any Security or reduce the amount of, or postpone the date fixed for, the payment of any sinking fund or analogous obligation;

 

(d) reduce the principal amount of Discount Securities payable upon acceleration of the maturity thereof;

 

(e) waive a Default or Event of Default in the payment of the principal of or interest, if any, on any Security (except a rescission of acceleration of the Securities of any Series by the Holders of at least a majority in principal amount of the outstanding Securities of such Series and a waiver of the payment default that resulted from such acceleration);

 

(f) make the principal of or interest, if any, on any Security payable in any currency other than that stated in the Security;

 

(g) make any change in Sections 6.8, 6.13, 9.3 (this sentence), 10.15 or 10.16; or

 

(h) waive a redemption payment with respect to any Security or change any of the provisions with respect to the redemption of any Securities.

 

Section 9.4. Compliance with Trust Indenture Act.

 

Every amendment to this Indenture or the Securities of one or more Series shall be set forth in a supplemental indenture hereto that complies with the TIA as then in effect.

 

Section 9.5.  Revocation and Effect of Consents.

 

Until an amendment or waiver becomes effective, a consent to it by a Holder of a Security is a continuing consent by the Holder and every subsequent Holder of a Security or portion of a Security that evidences the same debt as the consenting Holder’s Security, even if notation of the consent is not made on any Security. However, any such Holder or subsequent Holder may revoke the consent as to his Security or portion of a Security if the Trustee receives the notice of revocation before the date the amendment or waiver becomes effective.

 

Any amendment or waiver once effective shall bind every Securityholder of each Series affected by such amendment or waiver unless it is of the type described in any of clauses (a) through (g) of Section 9.3. In that case, the amendment or waiver shall bind each Holder of a Security who has consented to it and every subsequent Holder of a Security or portion of a Security that evidences the same debt as the consenting Holder’s Security.

 

Section 9.6. Notation on or Exchange of Securities.

 

The Trustee may place an appropriate notation about an amendment or waiver on any Security of any Series thereafter authenticated. The Company in exchange for Securities of that Series may issue and the Trustee shall authenticate upon request new Securities of that Series that reflect the amendment or waiver.

 

Section 9.7.  Trustee Protected.

 

In executing, or accepting the additional trusts created by, any supplemental indenture permitted by this Article or the modifications thereby of the trusts created by this Indenture, the Trustee shall be entitled to receive, and (subject to Section 7.1) shall be fully protected in relying upon, an Opinion of Counsel stating that the execution of such supplemental indenture is authorized or permitted by this Indenture. The Trustee shall sign all supplemental indentures, except that the Trustee may, but need not, sign any supplemental indenture that affects the Trustee’s own rights, duties or immunities under this Indenture or otherwise.

 

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ARTICLE X.

MISCELLANEOUS

 

Section 10.1. Trust Indenture Act Controls.

 

If any provision of this Indenture limits, qualifies, or conflicts with another provision which is required or deemed to be included in this Indenture by the TIA, such required or deemed provision shall control.

 

Section 10.2.  Notices.

 

Any notice or communication by the Company or the Trustee to the other is duly given if in writing and delivered in person or mailed by first-class mail:

 

if to the Company:

 

LIN TV Corp.

One West Exchange Street, Suite 5A

Providence, Rhode Island 02903

Attention: General Counsel

 

if to the Trustee:

 

The Bank of New York Mellon Trust Company, N.A.

525 William Penn Place, 38th Floor

Pittsburgh, PA 15259

Attention: Corporate Trust Division - Corporate Finance Unit

 

If a notice or communication is mailed or delivered in the manner provided above, it is duly given, whether or not the addressee receives it, except in the case of notices or communications given to the Trustee, which shall be effective only upon actual receipt by the Trustee at its Corporate Trust Office.

 

The Company or the Trustee by notice to the other may designate additional or different addresses for subsequent notices or communications.

 

Any notice or communication to a Securityholder shall be mailed by first-class mail to his address shown on the register kept by the Registrar and, if any Bearer Securities are outstanding, published in an Authorized Newspaper. Failure to mail a notice or communication to a Securityholder of any Series or any defect in it shall not affect its sufficiency with respect to other Securityholders of that or any other Series.

 

If a notice or communication is mailed or published in the manner provided above, within the time prescribed, it is duly given, whether or not the Securityholder receives it.

 

If the Company mails a notice or communication to Securityholders, it shall mail a copy to the Trustee and each Agent at the same time.

 

The Trustee shall have the right, but shall not be required, to rely upon and comply with instructions and directions sent by e-mail, facsimile and other similar unsecured electronic methods by persons believed by the Trustee to be authorized to give instructions and directions on behalf of the Company. The Trustee shall have no duty or obligation to verify or confirm that the person who sent such instructions or directions is, in fact, a person authorized to give instructions or directions on behalf of the Company; and the Trustee shall have no liability for any losses, liabilities, costs or expenses incurred or sustained by the Company as a result of such reliance upon or compliance with such instructions or directions. The Company agrees to assume all risks arising out of the use of such electronic methods to submit instructions and directions to the Trustee, including without limitation the risk of the Trustee acting on unauthorized instructions, and the risk of interception and misuse by third parties.

 

Section 10.3. Communication by Holders with Other Holders.

 

Securityholders of any Series may communicate pursuant to TIA Section 312(b) with other Securityholders of that Series or any other Series with respect to their rights under this Indenture or the Securities of that Series or all Series. The Company, the Trustee, the Registrar and anyone else shall have the protection of TIA Section 312(c).

 

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Section 10.4.  Certificate and Opinion as to Conditions Precedent.

 

Upon any request or application by the Company to the Trustee to take any action under this Indenture, the Company shall furnish to the Trustee:

 

(a) an Officers’ Certificate stating that, all conditions precedent, if any, provided for in this Indenture relating to the proposed action have been complied with; and

 

(b) an Opinion of Counsel stating that, in the opinion of such counsel, all such conditions precedent have been complied with.

 

Section 10.5.  Statements Required in Certificate or Opinion.

 

Each certificate or opinion with respect to compliance with a condition or covenant provided for in this Indenture (other than a certificate provided pursuant to TIA Section 314(a)(4)) shall comply with the provisions of TIA Section 314(e) and shall include:

 

(a) a statement that the person making such certificate or opinion has read such covenant or condition and the definitions herein relating thereto;

 

(b) a brief statement as to the nature and scope of the examination or investigation upon which the statements or opinions contained in such certificate or opinion are based;

 

(c)  a statement that, in the opinion of such person, he has made such examination or investigation as is necessary to enable him to express an informed opinion as to whether or not such covenant or condition has been complied with; and

 

(d)  a statement as to whether or not, in the opinion of such person, such condition or covenant has been complied with.

 

Section 10.6.  Rules by Trustee and Agents.

 

The Trustee may make reasonable rules for action by or a meeting of Securityholders of one or more Series. Any Agent may make reasonable rules and set reasonable requirements for its functions.

 

Section 10.7. Legal Holidays.

 

Unless otherwise provided by Board Resolution, Officers’ Certificate or supplemental indenture for a particular Series, a “Legal Holiday” is any day that is not a Business Day. If a payment date is a Legal Holiday at a place of payment, payment may be made at that place on the next succeeding day that is not a Legal Holiday, and no interest shall accrue for the intervening period.

 

Section 10.8. No Recourse Against Others.

 

A director, officer, employee or stockholder, as such, of the Company shall not have any liability for any obligations of the Company under the Securities or the Indenture or for any claim based on, in respect of or by reason of such obligations or their creation. Each Securityholder by accepting a Security waives and releases all such liability. The waiver and release are part of the consideration for the issue of the Securities.

 

Section 10.9. Counterparts.

 

This Indenture may be executed in any number of counterparts and by the parties hereto in separate counterparts, each of which when so executed shall be deemed to be an original and all of which taken together shall constitute one and the same agreement.

 

Section 10.10. Governing Law; Waiver of Jury Trial.

 

THIS INDENTURE AND THE SECURITIES SHALL BE GOVERNED BY, AND CONSTRUED IN ACCORDANCE WITH, THE LAWS OF THE STATE OF NEW YORK.

 

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EACH OF THE COMPANY AND THE TRUSTEE, AND EACH HOLDER OF A SECURITY BY ITS ACCEPTANCE THEREOF, HEREBY IRREVOCABLY WAIVES, TO THE FULLEST EXTENT PERMITTED BY APPLICABLE LAW, ANY AND ALL RIGHT IT MAY HAVE TO TRIAL BY JURY IN ANY LEGAL PROCEEDING DIRECTLY OR INDIRECTLY ARISING OUT OF OR RELATING TO THIS INDENTURE, THE SECURITIES OR THE TRANSACTIONS CONTEMPLATED HEREBY OR THEREBY.

 

Section 10.11. No Adverse Interpretation of Other Agreements.

 

This Indenture may not be used to interpret another indenture, loan or debt agreement of the Company or a Subsidiary. Any such indenture, loan or debt agreement may not be used to interpret this Indenture.

 

Section 10.12. Successors.

 

All agreements of the Company in this Indenture and the Securities shall bind its successor. All agreements of the Trustee in this Indenture shall bind its successor.

 

Section 10.13. Severability.

 

In case any provision in this Indenture or in the Securities shall be invalid, illegal or unenforceable, the validity, legality and enforceability of the remaining provisions shall not in any way be affected or impaired thereby.

 

Section 10.14. Table of Contents, Headings, Etc.

 

The Table of Contents, Cross Reference Table, and headings of the Articles and Sections of this Indenture have been inserted for convenience of reference only, are not to be considered a part hereof, and shall in no way modify or restrict any of the terms or provisions hereof.

 

Section 10.15. Securities in a Foreign Currency.

 

Unless otherwise specified in a Board Resolution, a supplemental indenture hereto or an Officers’ Certificate delivered pursuant to Section 2.2 of this Indenture with respect to a particular Series of Securities, whenever for purposes of this Indenture any action may be taken by the Holders of a specified percentage in aggregate principal amount of Securities of all Series or all Series affected by a particular action at the time outstanding and, at such time, there are outstanding Securities of any Series which are denominated in a coin or currency other than Dollars, then the principal amount of Securities of such Series which shall be deemed to be outstanding for the purpose of taking such action shall be that amount of Dollars that could be obtained for such amount at the Market Exchange Rate at such time. For purposes of this Section 10.15, “Market Exchange Rate” shall mean the noon Dollar buying rate in New York City for cable transfers of that currency as published by the Federal Reserve Bank of New York. If such Market Exchange Rate is not available for any reason with respect to such currency, an exchange rate agent appointed by the Company (the “Exchange Rate Agent”) shall use, in its sole discretion and without liability on its part, such quotation of the Federal Reserve Bank of New York, as of the most recent available date, or quotations from one or more major banks in The City of New York or in the country of issue of the currency in question or such other quotations as the Exchange Rate Agent, upon consultation with the Company, shall deem appropriate. The provisions of this paragraph shall apply in determining the equivalent principal amount in respect of Securities of a Series denominated in currency other than Dollars in connection with any action taken by Holders of Securities pursuant to the terms of this Indenture.

 

All decisions and determinations of the Exchange Rate Agent regarding the Market Exchange Rate or any alternative determination provided for in the preceding paragraph shall be in its sole discretion and shall, in the absence of manifest error, be conclusive to the extent permitted by law for all purposes and irrevocably binding upon the Company, the Trustee and all Holders.

 

Section 10.16. Judgment Currency.

 

The Company agrees, to the fullest extent that it may effectively do so under applicable law, that (a) if for the purpose of obtaining judgment in any court it is necessary to convert the sum due in respect of the principal of or interest or other amount on the Securities of any Series (the “Required Currency”) into a currency in which a judgment will be rendered (the “Judgment Currency”), the rate of exchange used shall be the rate at which in accordance with normal banking procedures the Exchange Rate Agent could purchase in The City of New York the Required Currency with the Judgment

 

32

 

Currency on the day on which final unappealable judgment is entered, unless such day is not a New York Banking Day, then, the rate of exchange used shall be the rate at which in accordance with normal banking procedures the Exchange Rate Agent could purchase in The City of New York the Required Currency with the Judgment Currency on the New York Banking Day preceding the day on which final unappealable judgment is entered and (b) its obligations under this Indenture to make payments in the Required Currency (i) shall not be discharged or satisfied by any tender, any recovery pursuant to any judgment (whether or not entered in accordance with Subsection (a)), in any currency other than the Required Currency, except to the extent that such tender or recovery shall result in the actual receipt, by the payee, of the full amount of the Required Currency expressed to be payable in respect of such payments, (ii) shall be enforceable as an alternative or additional cause of action for the purpose of recovering in the Required Currency the amount, if any, by which such actual receipt shall fall short of the full amount of the Required Currency so expressed to be payable, and (iii) shall not be affected by judgment being obtained for any other sum due under this Indenture. For purposes of the foregoing, “New York Banking Day” means any day except a Saturday, Sunday or a legal holiday in The City of New York on which banking institutions are authorized or required by law, regulation or executive order to close.

 

Section 10.17. Benefits of Indenture.

 

Nothing in this Indenture of the Securities, express or implied, shall give to any person, other than the parties hereto, their successors hereunder and the Holders, any benefit or any legal or equitable right, remedy or claim under this Indenture.

 

ARTICLE XI.

SINKING FUNDS

 

Section 11.1.  Applicability of Article.

 

The provisions of this Article shall be applicable to any sinking fund for the retirement of the Securities of a Series, except as otherwise permitted or required by any form of Security of such Series issued pursuant to this Indenture.

 

The minimum amount of any sinking fund payment provided for by the terms of the Securities of any Series is herein referred to as a “mandatory sinking fund payment” and any other amount provided for by the terms of Securities of such Series is herein referred to as an “optional sinking fund payment.” If provided for by the terms of Securities of any Series, the cash amount of any sinking fund payment may be subject to reduction as provided in Section 11.2. Each sinking fund payment shall be applied to the redemption of Securities of any Series as provided for by the terms of the Securities of such Series.

 

Section 11.2.  Satisfaction of Sinking Fund Payments with Securities.

 

The Company may, in satisfaction of all or any part of any sinking fund payment with respect to the Securities of any Series to be made pursuant to the terms of such Securities (1) deliver outstanding Securities of such Series to which such sinking fund payment is applicable (other than any of such Securities previously called for mandatory sinking fund redemption) and (2) apply as credit Securities of such Series to which such sinking fund payment is applicable and which have been redeemed either at the election of the Company pursuant to the terms of such Series of Securities (except pursuant to any mandatory sinking fund) or through the application of permitted optional sinking fund payments or other optional redemptions pursuant to the terms of such Securities, provided that such Securities have not been previously so credited. Such Securities shall be received by the Trustee, together with an Officers’ Certificate with respect thereto, not later than 15 days prior to the date on which the process of selecting Securities for redemption is to begin, and shall be credited for such purpose by the Trustee at the price specified in such Securities for redemption through operation of the sinking fund and the amount of such sinking fund payment shall be reduced accordingly. If as a result of the delivery or credit of Securities in lieu of cash payments pursuant to this Section 11.2, the principal amount of Securities of such Series to be redeemed in order to exhaust the aforesaid cash payment shall be less than $100,000, the Trustee need not call Securities of such Series for redemption, except upon receipt of a Company Order that such action be taken, and such cash payment shall be held by the Trustee or a Paying Agent and applied to the next succeeding sinking fund payment, provided, however, that the Trustee or such Paying Agent shall from time to time upon receipt of a Company Order pay over and deliver to the Company any cash payment so being held by the Trustee or such Paying Agent upon delivery by the Company to the Trustee of Securities of that Series purchased by the Company having an unpaid principal amount equal to the cash payment required to be released to the Company.

 

33

 

Section 11.3. Redemption of Securities for Sinking Fund.

 

Not less than 45 days (unless otherwise indicated in the Board Resolution, supplemental indenture hereto or Officers’ Certificate in respect of a particular Series of Securities) prior to each sinking fund payment date for any Series of Securities, the Company will deliver to the Trustee an Officers’ Certificate specifying the amount of the next ensuing mandatory sinking fund payment for that Series pursuant to the terms of that Series, the portion thereof, if any, which is to be satisfied by payment of cash and the portion thereof, if any, which is to be satisfied by delivering and crediting of Securities of that Series pursuant to Section 11.2, and the optional amount, if any, to be added in cash to the next ensuing mandatory sinking fund payment, and the Company shall thereupon be obligated to pay the amount therein specified. Not less than 30 days (unless otherwise indicated in the Board Resolution, Officers’ Certificate or supplemental indenture in respect of a particular Series of Securities) before each such sinking fund payment date the Securities to be redeemed upon such sinking fund payment date shall be selected in the manner specified in Section 3.2 and notice of the redemption thereof shall be given in the name of and at the expense of the Company in the manner provided in Section 3.3. Such notice having been duly given, the redemption of such Securities shall be made upon the terms and in the manner stated in Sections 3.4, 3.5 and 3.6.

 

ARTICLE XII.

SUBORDINATION OF SECURITIES

 

Section 12.1. Agreement of Subordination.

 

The Company covenants and agrees, and each Holder of Securities issued hereunder by his acceptance thereof likewise covenants and agrees, that all Securities shall be issued subject to the provisions of this Article XII; and each Person holding any Security, whether upon original issue or upon transfer, assignment or exchange thereof, accepts and agrees to be bound by such provisions.

 

The payment of the principal of, premium, if any, and interest on all Securities (including, but not limited to, the redemption price with respect to the Securities called for redemption in accordance with Article III as provided in the Indenture) issued hereunder shall, to the extent and in the manner hereinafter set forth, be subordinated and subject in right of payment to the prior payment in full of all Senior Indebtedness, whether outstanding at the date of this Indenture or thereafter incurred.

 

No provision of this Article XII shall prevent the occurrence of any Default or Event of Default hereunder.

 

Section 12.2. Payments to Holders.

 

No payment shall be made with respect to the principal of, or premium, if any, or interest on the Securities (including, but not limited to, the redemption price with respect to the Securities to be called for redemption in accordance with Article III as provided in the Indenture), except payments and distributions made by the Trustee as permitted by the first or second paragraph of Section 12.5, if:

 

(a) a default in the payment of principal, premium, interest, rent or other obligations due on any Senior Indebtedness occurs and is continuing (or, in the case of Senior Indebtedness for which there is a period of grace, in the event of such a default that continues beyond the period of grace, if any, specified in the instrument or lease evidencing such Senior Indebtedness), unless and until such default shall have been cured or waived or shall have ceased to exist; or

 

(b) a default, other than a payment default, on a Designated Senior Indebtedness occurs and is continuing that then permits holders of such Designated Senior Indebtedness to accelerate its maturity and the Trustee receives a notice of the default (a “Payment Blockage Notice”) from a Representative or the Company.

 

If the Trustee receives any Payment Blockage Notice pursuant to clause (ii) above, no subsequent Payment Blockage Notice shall be effective for purposes of this Section unless and until (A) at least 365 days shall have elapsed since the initial effectiveness of the immediately prior Payment Blockage Notice, and (B) all scheduled payments of principal, premium, if any, and interest on the Securities that have come due have been paid in full in cash. No nonpayment default that existed or was continuing on the date of delivery of any Payment Blockage Notice to the Trustee shall be, or be made, the basis for a subsequent Payment Blockage Notice.

 

The Company may and shall resume payments on and distributions in respect of the Securities upon the

 

34

 

earlier of:

 

(a) the date upon which the default is cured or waived or ceases to exist, or

 

(b) in the case of a default referred to in clause (ii) above, 179 days pass after notice is received if the maturity of such Designated Senior Indebtedness has not been accelerated, unless this Article XII otherwise prohibits the payment or distribution at the time of such payment or distribution.

 

Upon any payment by the Company, or distribution of assets of the Company of any kind or character, whether in cash, property or securities, to creditors upon any dissolution or winding-up or liquidation or reorganization of the Company, whether voluntary or involuntary or in bankruptcy, insolvency, receivership or other proceedings, all amounts due or to become due upon all Senior Indebtedness shall first be paid in full in cash or other payment satisfactory to the holders of such Senior Indebtedness, or payment thereof in accordance with its terms provided for in cash or other payment satisfactory to the holders of such Senior Indebtedness, before any payment is made on account of the principal of, premium, if any, or interest on the Securities (except payments made pursuant to Article VI from monies deposited with the Trustee pursuant thereto prior to commencement of proceedings for such dissolution, winding-up, liquidation or reorganization); and upon any such dissolution or winding-up or liquidation or reorganization of the Company or bankruptcy, insolvency, receivership or other proceeding, any payment by the Company, or distribution of assets of the Company of any kind or character, whether in cash, property or securities, to which the Holders of the Securities or the Trustee would be entitled, except for the provision of this Article XII, shall (except as aforesaid) be paid by the Company or by any receiver, trustee in bankruptcy, liquidating trustee, agent or other Person making such payment or distribution, or by the Holders of the Securities or by the Trustee under this Indenture if received by them or it, directly to the holders of Senior Indebtedness (pro rata to such holders on the basis of the respective amounts of Senior Indebtedness held by such holders, or as otherwise required by law or a court order) or their representative or representatives, or to the trustee or trustees under any indenture pursuant to which any instruments evidencing any Senior Indebtedness may have been issued, as their respective interests may appear, to the extent necessary to pay all Senior Indebtedness in full, in cash or other payment satisfactory to the holders of such Senior Indebtedness, after giving effect to any concurrent payment or distribution to or for the holders of Senior Indebtedness, before any payment or distribution or provision therefor is made to the Holders of the Securities or to the Trustee.

 

For purposes of this Article XII, the words, “cash, property or securities” shall not be deemed to include shares of stock of the Company as reorganized or readjusted, or securities of the Company or any other corporation provided for by a plan of reorganization or readjustment, the payment of which is subordinated at least to the extent provided in this Article XII with respect to the Securities to the payment of all Senior Indebtedness which may at the time be outstanding; provided that (i) the Senior Indebtedness is assumed by the new corporation, if any, resulting from any reorganization or readjustment, and (ii) the rights of the holders of Senior Indebtedness (other than leases which are not assumed by the Company or the new corporation, as the case may be) are not, without the consent of such holders, altered by such reorganization or readjustment. The consolidation of the Company with, or the merger of the Company into, another corporation or the liquidation or dissolution of the Company following the conveyance or transfer of its property as an entirety, or substantially as an entirety, to another corporation upon the terms and conditions provided for in Article V shall not be deemed a dissolution, winding-up, liquidation or reorganization for the purposes of this Section 12.2 if such other corporation shall, as a part of such consolidation, merger, conveyance or transfer, comply with the conditions stated in Article V.

 

In the event of the acceleration of the Securities because of an Event of Default, no payment or distribution shall be made to the Trustee or any Holder of Securities in respect of the principal of, premium, if any, or interest on the Securities (including, but not limited to, the redemption price with respect to the Securities called for redemption in accordance with Article III as provided in the Indenture), except payments and distributions made by the Trustee as permitted by the first or second paragraph of Section 12.5, until all Senior Indebtedness has been paid in full in cash or other payment satisfactory to the holders of Senior Indebtedness or such acceleration is rescinded in accordance with the terms of this Indenture. If payment of the Securities is accelerated because of an Event of Default, the Company shall promptly notify holders of Senior Indebtedness of the acceleration at the address set forth in the notice from the Agent (or successor agent) to the Trustee as being the address to which the Trustee should send its notice pursuant to this Section 12.2, unless there are no payment obligations of the Company thereunder and all obligations thereunder to extend credit have been terminated or expired.

 

In the event that, notwithstanding the foregoing provisions, any payment or distribution of assets of the Company of any kind or character, whether in cash, property or securities (including, without limitation, by way of setoff or otherwise), prohibited by the foregoing, shall be received by the Trustee or the Holders of the Securities before all Senior

 

35

 

Indebtedness is paid in full in cash or other payment satisfactory to the holders of such Senior Indebtedness, or provision is made for such payment thereof in accordance with its terms in cash or other payment satisfactory to the holders of such Senior Indebtedness, such payment or distribution shall be held in trust for the benefit of and shall be paid over or delivered to the holders of Senior Indebtedness or their representative or representatives, or to the trustee or trustees under any indenture pursuant to which any instruments evidencing any Senior Indebtedness may have been issued, as their respective interests may appear, as calculated by the Company, for application to the payment of all Senior Indebtedness remaining unpaid to the extent necessary to pay all Senior Indebtedness in full in cash or other payment satisfactory to the holders of such Senior Indebtedness, after giving effect to any concurrent payment or distribution to or for the holders of such Senior Indebtedness.

 

Nothing in this Article XII shall apply to claims of, or payments to, the Trustee under or pursuant to Section 6.6 or Section 7.7. This Section 12.2 shall be subject to the further provisions of Section 12.5.

 

Section 12.3. Subrogation of Securities.

 

Subject to the payment in full of all Senior Indebtedness, the rights of the Holders of the Securities shall be subrogated to the extent of the payments or distributions made to the holders of such Senior Indebtedness pursuant to the provisions of this Article XII (equally and ratably with the holders of all indebtedness of the Company which by its express terms is subordinated to other indebtedness of the Company to substantially the same extent as the Securities are subordinated and is entitled to like rights of subrogation) to the rights of the holders of Senior Indebtedness to receive payments or distributions of cash, property or securities of the Company applicable to the Senior Indebtedness until the principal, premium, if any, and interest on the Securities shall be paid in full; and, for the purposes of such subrogation, no payments or distributions to the holders of the Senior Indebtedness of any cash, property or securities to which the Holders of the Securities or the Trustee would be entitled except for the provisions of this Article XII, and no payment pursuant to the provisions of this Article XII, to or for the benefit of the holders of Senior Indebtedness by Holders of the Securities or the Trustee, shall, as between the Company, its creditors other than holders of Senior Indebtedness, and the Holders of the Securities, be deemed to be a payment by the Company to or on account of the Senior Indebtedness; and no payments or distributions of cash, property or securities to or for the benefit of the Holders of the Securities pursuant to the subrogation provisions of this Article XII, which would otherwise have been paid to the holders of Senior Indebtedness shall be deemed to be a payment by the Company to or for the account of the Securities. It is understood that the provisions of this Article XII are and are intended solely for the purposes of defining the relative rights of the Holders of the Securities, on the one hand, and the holders of the Senior Indebtedness, on the other hand.

 

Nothing contained in this Article XII or elsewhere in this Indenture or in the Securities is intended to or shall impair, as among the Company, its creditors other than the holders of Senior Indebtedness, and the Holders of the Securities, the obligation of the Company, which is absolute and unconditional, to pay to the Holders of the Securities the principal of (and premium, if any) and interest on the Securities as and when the same shall become due and payable in accordance with their terms, or is intended to or shall affect the relative rights of the Holders of the Securities and creditors of the Company other than the holders of the Senior Indebtedness, nor shall anything herein or therein prevent the Trustee or the Holder of any Security from exercising all remedies otherwise permitted by applicable law upon default under this Indenture, subject to the rights, if any, under this Article XII of the holders of Senior Indebtedness in respect of cash, property or securities of the Company received upon the exercise of any such remedy.

 

Upon any payment or distribution of assets of the Company referred to in this Article XII, the Trustee and the Holders of the Securities shall be entitled to conclusively rely upon any order or decree made by any court of competent jurisdiction in which such bankruptcy, dissolution, winding-up, liquidation or reorganization proceedings are pending, or a certificate of the receiver, trustee in bankruptcy, liquidating trustee, agent or other person making such payment or distribution, delivered to the Trustee or to the Holders of the Securities, for the purpose of ascertaining the persons entitled to participate in such distribution, the holders of the Senior Indebtedness and other indebtedness of the Company, the amount thereof or payable thereon and all other facts pertinent thereto or to this Article XII.

 

Section 12.4. Authorization to Effect Subordination.

 

Each Holder of a Security by the holder’s acceptance thereof authorizes and directs the Trustee on the holder’s behalf to take such action as may be necessary or appropriate to effectuate the subordination as provided in this Article XII and appoints the Trustee to act as the holder’s attorney-in-fact for any and all such purposes. If the Trustee does

 

36

 

not file a proper proof of claim or proof of debt in the form required in any proceeding referred to in Section 6.3 hereof at least 30 days before the expiration of the time to file such claim, the holders of any Senior Indebtedness or their representatives are hereby authorized to file an appropriate claim for and on behalf of the Holders of the Securities.

 

Section 12.5. Notice to Trustee.

 

The Company shall give prompt written notice in the form of an Officers’ Certificate to a Responsible Officer of the Trustee at the Corporate Office of the Trustee and to any paying agent of any fact known to the Company which would prohibit the making of any payment or distribution of monies or other assets to or by the Trustee or any paying agent in respect of the Securities. Notwithstanding the provisions of this Article XII or any other provision of this Indenture, the Trustee shall not be charged with knowledge of the existence of any facts which would prohibit the making of any payment or distribution of monies or other assets to or by the Trustee in respect of the Securities, unless and until a Responsible Officer of the Trustee shall have received written notice thereof at the Corporate Trust Office from the Company (in the form of an Officers’ Certificate) or a Representative or a holder or holders of Senior Indebtedness or from any trustee thereof; and, prior to the receipt of any such written notice, the Trustee shall be entitled in all respects to assume that no such facts exist; provided, however, that if on a date not fewer than three Business Days prior to the date upon which by the terms hereof any such monies or other assets may become payable or distributable for any purpose (including, without limitation, the payment of the principal of, or premium, if any, or interest on any Security) the Trustee shall not have received, with respect to such monies, the notice provided for in this Section 12.5, then, anything herein contained to the contrary notwithstanding, the Trustee shall have full power and authority to receive such monies and other assets and to apply the same to the purpose for which they were received, and shall not be affected by any notice to the contrary which may be received by it on or after such prior date.

 

Notwithstanding anything in this Article XII to the contrary, nothing shall prevent any payment by the Trustee to the Holders of monies deposited with it pursuant to Section 8.1, and any such payment shall not be subject to the provisions of Section 12.1 or 12.2.

 

The Trustee shall be entitled to conclusively rely on the delivery to it of a written notice by a Representative or a person representing himself to be a holder of Senior Indebtedness (or a trustee on behalf of such holder) to establish that such notice has been given by a Representative or a holder of Senior Indebtedness or a trustee on behalf of any such holder or holders. In the event that the Trustee determines in good faith that further evidence is required with respect to the right of any person as a holder of Senior Indebtedness to participate in any payment or distribution pursuant to this Article XII, the Trustee may request such person to furnish evidence to the reasonable satisfaction of the Trustee as to the amount of Senior Indebtedness held by such person, the extent to which such person is entitled to participate in such payment or distribution and any other facts pertinent to the rights of such person under this Article XII, and if such evidence is not furnished the Trustee may defer any payment to such person pending judicial determination as to the right of such person to receive such payment.

 

Section 12.6. Trustee’s Relation to Senior Indebtedness.

 

The Trustee in its individual capacity shall be entitled to all the rights set forth in this Article XII in respect of any Senior Indebtedness at any time held by it, to the same extent as any other holder of Senior Indebtedness, and nothing in Section 7.11 or elsewhere in this Indenture shall deprive the Trustee of any of its rights as such holder.

 

With respect to the holders of Senior Indebtedness, the Trustee undertakes to perform or to observe only such of its covenants and obligations as are specifically set forth in this Article XII, and no implied covenants or obligations with respect to the holders of Senior Indebtedness shall be read into this Indenture against the Trustee. The Trustee shall not be deemed to owe any fiduciary duty to the holders of Senior Indebtedness and the Trustee shall not be liable to any holder of Senior Indebtedness if it shall pay over or deliver to Holders of Securities, the Company or any other person money or assets to which any holder of Senior Indebtedness shall be entitled by virtue of this Article XII or otherwise.

 

Section 12.7. No Impairment of Subordination.

 

No right of any present or future holder of any Senior Indebtedness to enforce subordination as herein provided shall at any time in any way be prejudiced or impaired by any act or failure to act on the part of the Company or by any act or failure to act, in good faith, by any such holder, or by any noncompliance by the Company with the terms, provisions and covenants of this Indenture, regardless of any knowledge thereof which any such holder may have or otherwise be charged with.

 

37

 

Section 12.8.  Article Applicable to Paying Agents.

 

If at any time any Paying Agent other than the Trustee shall have been appointed by the Company and be then acting hereunder, the term “Trustee” as used in this Article shall (unless the context otherwise requires) be construed as extending to and including such Paying Agent within its meaning as fully for all intents and purposes as if such Paying Agent were named in this Article in addition to or in place of the Trustee; provided, however, that the first paragraph of Section 12.5 shall not apply to the Company or any Affiliate of the Company if it or such Affiliate acts as Paying Agent.

 

Section 12.9. Senior Indebtedness Entitled to Rely.

 

The holders of Senior Indebtedness (including, without limitation, Designated Senior Indebtedness) shall have the right to rely upon this Article XII, and no amendment or modification of the provisions contained herein shall diminish the rights of such holders unless such holders shall have agreed in writing thereto.

 

38

 

IN WITNESS WHEREOF, the parties hereto have caused this Indenture to be duly executed as of the day and year first above written.

 

	
 
    	
LIN   TELEVISION CORPORATION
    
	
 
    	
 
    
	
 
    	
 
    
	
 
    	
By:
    	
 
    
	
 
    	
Name:
    
	
 
    	
Title:
    
	
 
    	
 
    
	
 
    	
THE   BANK OF NEW YORK MELLON TRUST COMPANY, N.A.,
   as Trustee
    
	
 
    	
 
    
	
 
    	
 
    
	
 
    	
By:
    	
 
    
	
 
    	
Name:
    
	
 
    	
Title:
    

 

39Exhibit 4.32

 

General Agreement 2013

 

between

 

Fresenius Medical Care AG & Co. KGaA

Else-Kröner-Straße 1

D-61352 Bad Homburg

(„FME”)

 

and

 

Fresenius Netcare GmbH

Else-Kröner-Straße 1

D-61352 Bad Homburg

(„NETCARE”)

 

	
Current   status 
    	
:
    	
 
    	
18.02.2013
    
	
Last   printed 
    	
:
    	
 
    	
18.2.2013
    
	
Version   
    	
:
    	
 
    	
1.0
    

 

 

	

    	

    

 

Index

 

	
Preamble   
    	
3
    
	
 
    	
 
    
	
1.
    	
Contractual   Structure and Scope of Application 
    	
5
    
	
 
    	
 
    	
 
    
	
2.
    	
NETCARE’s   Duties 
    	
8
    
	
 
    	
 
    	
 
    
	
3.
    	
Use   of Subcontractors 
    	
9
    
	
 
    	
 
    	
 
    
	
4.
    	
FME’s   duties 
    	
10
    
	
 
    	
 
    	
 
    
	
5.
    	
Cooperation   
    	
11
    
	
 
    	
 
    	
 
    
	
6.
    	
Prices, Invoice,   Payments 
    	
11
    
	
 
    	
 
    	
 
    
	
7.
    	
Governance   Structure and Change Request Procedure 
    	
12
    
	
 
    	
 
    	
 
    
	
8.
    	
Confidentiality   
    	
14
    
	
 
    	
 
    	
 
    
	
9.
    	
Privacy   Law/Safety/Compliance with GxP/Order-Data Processing 
    	
15
    
	
 
    	
 
    	
 
    
	
10.
    	
Order-Data   Processing (Auftragsdatenverarbeitung)
    	
17
    
	
 
    	
 
    	
 
    
	
11.
    	
Rights   of Use and Intellectual Property RIGHTS
    	
20
    
	
 
    	
 
    	
 
    
	
12.
    	
Defects   AND Warranty 
    	
22
    
	
 
    	
 
    	
 
    
	
13.
    	
Liability   
    	
22
    
	
 
    	
 
    	
 
    
	
14.
    	
Penalties   
    	
24
    
	
 
    	
 
    	
 
    
	
15.
    	
Term   and Termination
    	
24
    
	
 
    	
 
    	
 
    
	
16.
    	
Effect   of Termination/Expiration 
    	
25
    
	
 
    	
 
    	
 
    
	
17.
    	
Governing   Law, Arbitration 
    	
27
    
	
 
    	
 
    	
 
    
	
18.
    	
Miscellaneous
    	
28
    

 

2

 

GENERAL AGREEMENT

 

This agreement is made and entered into on 01.01.2013 by and among Fresenius Medical Care AG & Co. KGaA, Else-Kröner-Straße 1, 61352 Bad Homburg v. d. H. (“FME”) and Fresenius Netcare GmbH, Else-Kröner-Straße 1, 61352 Bad Homburg v. d. H. (“NETCARE” and together with FME, the “Parties” and each a “Party”).

 

PREAMBLE

 

(A)                               FME is the parent company of a group that manufactures and distributes dialysisrelated products and provides dialysis services.

 

(B)                               NETCARE is a provider of IT services.

 

(C)                               The Parties entered into a General Agreement dated 8 December 2003 to provide for a legal framework under which NETCARE provided IT services to FME. The term of such General Agreement will expire on 31 December 2012.

 

(D)                               The Parties intend to continue the existing contractual relationship by entering into this General Agreement (hereinafter referred to as the “General Agreement”).

 

(E)                                FME, in its own name and on behalf of its current and future affiliates (as listed in Attachment 1 to this Agreement, as amended once a year in accordance with the procedure defined in the MSD), for each limited to users located in the Territory (“Territory” exclusively meaning: FME regions Europe, Africa, Middle East and Latin America, the “FME EMEALA”) and NETCARE intend to agree upon the parameters of their cooperation with respect to services in the field of information technology. This General Agreement and its Annexes and Service Agreements shall describe the services to be provided by NETCARE to FME and the terms and conditions under which the services will be provided and of the cooperation between the Parties with the intention to continue the long term business relationship in the same manner as under the expired General Agreement.

 

(F)                                 NETCARE has the expertise, knowledge and capacity to provide the IT services under this General Agreement. Based on its previous role as service provider to FME, NETCARE is prepared to assume and render the services, functions and projects described in the Set of Contracts (as defined below) to FME.

 

(G)                               Such cooperation shall be governed by the following principles both Parties have accepted:

 

(i)                                     Information Technology to support the FME business

 

(ii)                                  Partnership

 

3

 

(iii)                               Transparency

 

(iv)                              Competitiveness

 

(v)                                 Economic benefits and

 

(vi)                              Safety

 

(vii)                           Compliance

 

(H)                              Information Technology to Support FME business. The maxim of the FME EMEALA IT-strategy is to support the business units of FME through the use of information technologies efficiently. According to such maxim, technology is a method serving such purpose consequently and must not become an end in itself. Subject to the terms and conditions of this General Agreement, the Annexes and Service Agreements thereto, “Efficiently” in this context means the use of software close to the standard, the avoidance of custom-developments and, in given cases and subject to written -agreement thereon, the repatriation of uneconomic modifications deviating from the standard.

 

(I)                                   Partnership. Reliable and high performing information technology may be achieved only in close collaboration between the Parties. Amicable collaboration in this context shall mean frequent communication through established channels of communication as defined in this General Agreement and a common pursuit for achieving goals. Cases of controversy shall be discussed openly and settled amicable. When using their discretion, both Parties shall in no instance disregard the other Party’s interests involved.

 

(J)                                   Transparency. Either Party shall inform the respective other Party of projects which may affect the collaboration under this General Agreement in due time via the established communication channels as described within this General Agreement. Parties shall undertake to provide data for plausibility analysis if required by the General Agreement, Annexes or Service Agreements thereto.

 

(K)                              Competitiveness. Both prices and services or goods rendered shall be competitive to market prices. NETCARE shall be responsible for keeping its compensation scheme proportionate to the costs incurred. Savings earned through joint projects shall be allocated fairly. Pricing and price changes shall be discussed between the Parties and shall be jointly settled. FME may commission benchmark opinions by third Parties. NETCARE shall undertake to assists in such benchmark projects.

 

(L)                                Economic effects. It is understood that FME desires to save costs by means of information technology. It shall be a continuous task of both Parties to determine and to realize possible cost saving potentials made available by the use and operation of information 

 

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technology. However, cost saving measures shall not adversely affect the scope and quality of services rendered under the terms and conditions of any Annex or Service Agreement. (Both Parties are aware, that although the prices per user are envisioned to be decreasing the total cost may increase due to an increasing number of users and additional functionality). The goal of performing cost saving measures shall be a common one even though the intent of NETCARE to make profits contradicts FME’s desire to lower cost at first sight.

 

(M)                            Safety. FME shall have unhindered access to its proprietary data. However, unauthorized access by third Parties and employees shall be prevented. NETCARE may not misuse data security rationale for denying FME access to data, e. g. preventing FME to undertake additional data analysis with IT technology which is not covered by this General Agreement.

 

(N)                               Compliance. The Parties acknowledge that FME as a company with its business in the medical and pharmaceutical industry operates in a regulated market and is subject to certain legal and regulatory requirements, including, but not limited to GxP, SOX and data protection. NETCARE shall provide the services in a manner required by FME to ensure compliance of FME with such legal requirements and NETCARE shall reasonably assist FME upon request in complying with such legal requirements as far as the legal requirements impose requirements on the IT services and FME has notified NETCARE of the relevant requirements.

 

(O)                               Third Party comparison. Furthermore, this General Agreement and the Set of Contracts (as defined below) shall be drafted and construed without taking into account that the Parties are affiliated companies. Therefore, this General Agreement and modules attached hereto shall be in accordance with arm’s length principles and stand third Party comparison. In order to achieve this purpose, FME and NETCARE have commissioned Ernst & Young GmbH Wirtschaftsprüfungsgesellschaft to issue a fairness opinion on the comparability of the terms and conditions of this present Set of Contracts with third Party agreements. The fairness opinion is attached hereto as Attachment 2.

 

1.                                      CONTRACTUAL STRUCTURE AND SCOPE OF APPLICATION

 

1.1                               The complete agreement between the Parties and the contractual structure defined as “Set of Contracts” consists of:

 

a)                                     this General Agreement; and

 

b)                                     related documents (the Annexes) such as: 

 

(i)             Master Service Description;

 

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(ii)          Glossary

 

(iii)       Fairness Opinion 

 

c)                                      Service Agreements

 

(i)             Standard Service Agreements

 

(ii)          Individual Service Agreements;

 

 

1.2                               The Set of Contracts is structured in a modular basis:

 

a)                                     This General Agreement provides the legal framework that shall govern the cooperation between, and the overall relationship and general obligations of, the Parties. The provisions in this General Agreement shall apply as a general agreement to all Annexes and Service Agreements hereto between FME and NETCARE on services provided in the area of information technology.

 

b)                                     The Service Agreements, as mutually agreed, will define specific Services and provide detailed provisions on individual Services.

 

1.3                               The following details shall be provided at a minimum:

 

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a)                                     Master Service Description (MSD)

 

(i)                  The MSD defines general processes, requirements and conditions for each Service or qualities for the Services.

 

(ii)               MSD defines testing and acceptance procedures as well as general acceptance criteria for the Services.

 

(iii)            MSD shall define the extent, type and purpose of the intended collection, processing or use of personal data, the type of data and categories of data subjects, if applicable to the type of services.

 

b)                                     Service Agreements

 

(i)                  a specified description of the scope and the subject of the Services to be performed by NETCARE.

 

(ii)               time and location of performance of Services.

 

(iii)            tasks to be performed by FME and FME’s assistance. 

 

(iv)           reimbursements and service fees.

 

(v)              definition of service levels and measure procedure.

 

1.4                               Existing contracts already created as Annexes under the former General Agreement as of 8th December 2003 and not terminated until 31.12.2012 shall become an integral part of the Set of Contracts and shall remain in effect subject to the terms of this General Agreement without amendment under this General Agreement until their regular termination.

 

1.5                               In cases of contradictions, clauses in Annexes shall supersede the clauses in this General Agreement, and clauses in Individual Service Agreements or Standard Service Agreements shall supersede the clauses in the General Agreement and the Annexes.

 

1.6                               The individual Services to be provided by NETCARE may qualify as service, work, rent or similar type of contract under civil law or a combination of various types of contracts defined under civil law. The Parties shall mutually agree and define the relevant obligations and the type of contract in a Service Agreement, as far as possible, in order to clarify the applicable legal regulations and obligations of the Parties;

 

1.7                               For the avoidance of doubt, the contractual provisions and principles set forth in the General Agreement, including but not limited to regulatory, data protection, shall only be subject to change in accordance with the change request procedure pursuant to

 

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Section 7.

 

1.8                               This General Agreement shall govern all future Services ordered by FME or any of FME EMEALA’s affiliates and rendered by NETCARE to FME or any of FME EMEALA’s affiliates, even where no explicit reference is made hereto, unless the applicability of the General Agreement has been explicitly excluded.

 

2.                                      NETCARE’S DUTIES

 

2.1                               NETCARE will provide Services in the area of information technology to FME. Individual Services and details are specified in the Annexes and Service Agreements.

 

2.2                               NETCARE shall

 

a)                                     render the Services in accordance with the provisions defined in the Set of Contracts and, where applicable and where defined, at the place/location defined in a specific service description in a Service Agreement or, if not defined, at the location mutually agreed by both Parties;

 

b)                                     render its Services in compliance with applicable statutory accident prevention regulations, applying to NETCARE and FME, if notified by FME of the relevant regulations, as well as applicable statutory health and safety regulations;

 

c)                                      deliver services in compliance with the current state of the art, as applicable from time to time, according to best practice, and free of material Defects with respect to specifications for the Services.

 

d)                                     comply, and procure that any of its sub-contractors complies, with FME’s security and control regulations and systems provided that NETCARE has been notified hereof at a reasonable time before the commencement of NETCARE’s performance.

 

e)                                      procure licenses as agreed in Section 11.

 

f)                                       provide and use appropriate verification tools to monitor and measure compliance with any service levels agreed in a Service Agreement, whereas such verification tool shall be appropriate if it measures the items to be measured according to the verification method agreed between the Parties in connection with such service level; whether non-compliance with agreed service levels results in legal consequences shall be agreed in the relevant Annex or Service Agreement.

 

g)                                      be obliged to comply with the license terms of the third party licensor and not use the software in violation of such license. In particular, NETCARE shall notify 

 

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FME of any violations of such license agreement and terms defined therein.

 

h)                                     allow FME or an agent of FME to audit whether NETCARE’s use of the software is consistent with the rights granted to NETCARE herein upon request by FME and provided there is a legitimate interest therein and to give full cooperation to FME or its agent carrying out such audit. In case of an audit by the licensor with respect to compliance of FME with the licensing conditions, NETCARE shall reasonably assist FME in providing the information reasonably requested by the licensor in connection with such audit.

 

2.3                               Unless explicitly agreed otherwise between the Parties, NETCARE shall not be obliged to consult with FME when modifying or changing any hardor software, or amending any system, used for rendering a Service, unless the modification or change adversely affects the performance of NETCARE or the compliance with any service levels agreed or the compliance with privacy law;

 

2.4                               NETCARE is not obliged to deliver the source code unless such obligation is agreed upon in the Service Agreements.

 

3.                                      USE OF SUBCONTRACTORS

 

3.1                               NETCARE may use subcontractors for rendering the services in its own discretion. In no event will NETCARE be relieved of its obligations under this General Agreement as a result of its use of any subcontractors. NETCARE shall inform FME of any subcontractors used upon written request of FME.

 

3.2                               NETCARE’s obligations for imposing duties of secrecy and compliance with an obligation towards FME on subcontractors shall be governed by Section 8 and 9 and NETCARE shall ensure that all subcontractors are subject to and comply with the same obligations as are imposed on NETCARE under the terms agreed in the Set of Contracts.

 

3.3                               If FME determines that a subcontractor has to be replaced for good reasons, FME shall notify NETCARE explaining the reasons for such a replacement. Following receipt of this notification, NETCARE will promptly, or within such period of time reasonably agreed by the Parties, replace such a subcontractor by another third party or by NETCARE’s personnel. A good reason exists, in particular, if

 

a)                                     a supervisory authority objects to or prohibits the engagement of a specific subcontractor or the subcontracting with respect to the services rendered by the subcontractor;

 

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b)                                     any rights or interests of FME or any of its affiliates with respect to confidentiality, data protection or data security are at risk;

 

c)                                      a subcontractor engaged in data processing relocates its activities or the data processing or parts thereof to a country outside of the EU;

 

d)                                     a competitor of FME holds or acquires more than 25% of the interests or voting rights in the subcontractor.

 

4.                                      FME’S DUTIES

 

4.1                               FME shall

 

a)                                     provide all required reasonable assistance and co-operate with NETCARE including

 

·                       the assignment of competent staff to a reasonable extent for problem solution.

 

·                       the assignment, supervision and control of FME staff and capacities.

 

·                       the assurance that FME employees will comply with FME ́s guidelines implemented for the use of the services, data and applications.

 

b)                                     provide to NETCARE all relevant information and documentation reasonably required by NETCARE for the provision of the Services under the Set of Contracts, including any (internal) guidelines or regulations NETCARE shall comply with when providing the Services.

 

c)                                      if required, grant NETCARE and its agents and subcontractors access to FME’s premises and equipment free of charge for the time reasonably expectable for an appropriate performance under this Set of Contracts, at least during FME’s regular business hours.

 

d)                                     assist and cooperate with NETCARE in implementing any changes or system requirements, i.e. by allowing NETCARE to train FME personnel.

 

e)                                      be obliged to comply with the license terms of the third party licensor and not use the software in violation of such license. In particular, FME shall notify NETCARE of any violations of such license agreement and terms defined therein.

 

f)                                       allow NETCARE or an agent of NETCARE to audit whether FME’s use of the software is consistent with the rights granted to FME herein upon request by

 

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NETCARE and provided there is a legitimate interest therein and to give full co-operation to NETCARE or its agent carrying out such audit. In case of an audit by the licensor with respect to compliance of NETCARE with the licensing conditions, FME shall reasonably assist NETCARE in providing the information reasonably requested by the licensor in connection with such audit.

 

4.2                               The Parties shall agree on the specifications of any required assistance and cooperation in connection with a service and an Annex or Service Agreement.

 

5.                                      COOPERATION

 

5.1                               The Parties shall

 

a)                                     co-operate in good faith;

 

b)                                     appoint relevant key personnel with respect to the overall management of the Set of Contracts and the cooperation between the Parties and shall ensure that such key personnel will only be replaced for good cause;

 

c)                                      appoint responsible personnel and contact persons for the coordination and general management of the Services under this General Agreement, the MSD, other Annexes and Service Agreements;

 

d)                                     inform the other Party of any circumstances that may have an impact on the provision of the services and result in a default with respect to the services as well as any actual default or remedy of defaults;

 

e)                                      agree on and comply with a defined communication and escalation process which shall leave the obligations of the Parties under the Set of Contracts unaffected, in particular any retention rights or rights to non-performance shall be excluded;

 

f)                                       co-operate and provide reasonable assistance for transition and migration of the relevant services after termination of any Annex, Service Agreement or this General Agreement.

 

g)                                      agree on the performance of license management for FME.

 

6.                                      PRICES, INVOICE, PAYMENTS

 

6.1                               All prices, conditions of payment, and schedules are subject to written agreements, and shall be as defined in the MSD and the Service Agreements, if Individual Services are concerned. As regards Standard Services, fees shall be equal to the up-to-

 

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date prices listed in the price list for standard services of NETCARE, published, updated and agreed with FME each year.

 

6.2                               Services, where no fees have been agreed, shall be rendered according to the hourly or daily rate in accordance with latest price list as per 6.1.

 

6.3                               Prices shall be renegotiated and reasonably be modified if a Service Agreement is modified or amended.

 

6.4                               A price adjustment clause may be incorporated if applicable in any individual Service Agreement.

 

6.5                               Prices are net prices plus the applicable VAT (value added tax, in Germany currently 19%) and as determined in the specific Service Agreement.

 

6.6                               Payments hereunder shall be made in EURO.

 

6.7                               The payment terms should be agreed between NETCARE and the respective affiliate invoiced in a separate or the relevant Service Agreement. For Germany payment terms shall be according to the applicable Fresenius group procedures. A written invoice shall be provided to the respective affiliate even though the booking is done by EDI. Outside Germany, a payment range between 30 —60 days shall be applied.

 

6.8                               Overall NETCARE shall offer to FME competitive prices in the average for a Group of Services, based on the costs for the individual Services. FME shall be entitled to request a review of the prices for a Group of Services. Upon such request, the Parties shall make a benchmarking evaluation. If NETCARE’s prices are out of market range after such benchmarking evaluation, FME shall have the right to request an alternative offer from NETCARE within a period of one month after the benchmarking results. NETCARE shall have a period of three month to prepare such an offer. If FME accepts the alternative offer, acceptance may not be unreasonably withheld, adjusted pricing shall apply with retrospective effect from the date of receipt of FME’s request for an alternative offer. The same procedure shall apply as far as NETCARE’s prices are below market prices whereas NETCARE shall be entitled to submit the alternative offer to FME without request from FME and FME shall be obliged to reasonably accept the alternative offer. If a benchmark of the prices for a Group of Services has been conducted, FME shall not request another review for the next three years after completion of the benchmarking process. Upon request, the Parties shall make a benchmarking evaluation.

 

7.                                      GOVERNANCE STRUCTURE AND CHANGE REQUEST PROCEDURE

 

7.1                               The Parties agree to implement and appoint certain committees and boards for the

 

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coordination of the cooperation between the Parties. The governance structure shall have the following three levels:

 

a)                                     Management Board: strategic level 

 

b)                                     Steering Committee: tactical level 

 

c)                                      Operation Units: operational level.

 

7.2                               Obligations and tasks of each level, the constitution and composition of each level as well as escalation procedures shall be governed by and defined in the MSD.

 

7.3                               Each Party shall have the right to request in writing a change to the contractual arrangements between the Parties, as agreed in the Set of Contracts, including the processes defined in the MSD, the Services or specifications.

 

a)                                     Changes with an impact on the specifications or scope of the Services shall be subject to the change procedures defined in the MSD. The following provisions shall apply to any changes to the contractual provisions of this General Agreement or any processes defined in the MSD, the Attachments or any general provisions in the Annexes or Service Agreements that are meant to provide a deviation from the provisions in this General Agreement or the MSD and that do not have an impact on the content or scope of a Service, the service fees or alike (“Contractual Change”).Subject to the terms and conditions of this General Agreement, NETCARE shall undertake to comply with FME’s reasonable requests for a Contractual Change provided that the Parties have agreed in writing on the effects of any Contractual Change on this General Agreement or its Annexes.

 

b)                                     If provisions in the Set of Contracts are erroneous, incomplete, ambiguous, or impossible to fulfill for anybody, the Parties shall upon request of one Party decide without undue delay on modifying and completing such provisions.

 

c)                                      If changes in applicable laws, orders of authorities or courts have an impact on the Services or the Set of Contract or make changes to the Services or Set of Contract necessary, NETCARE shall implement such changes upon request of FME or in its own discretion provided that NETCARE will inform FME of such change. The Parties will mutually and reasonably agree on the relevant contractual changes necessary.

 

d)                                     Neither Party shall unreasonably withhold or delay its consent to a Contractual Change. Any Contractual Change agreed between the Parties shall be made in writing and signed by the Parties.

 

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e)                                      Contractual Changes shall be discussed and agreed on the level of the Steering Committee.

 

8.                                      CONFIDENTIALITY

 

8.1                               Each Party shall keep strictly confidential

 

a)                                     all documents, information, and data, and

 

b)                                     all trade secrets or confidential information proprietary to one of the Parties or a third Party disclosed to her or obtained by her incidental to the cooperation under the Set of Contracts (Confidential Information). Confidential Information shall include without limitation know-how, details of orders, contractual provisions and prices.

 

8.2                               The Parties shall disclose Confidential Information as defined in Section 8.1 to third Parties only upon prior written consent of the other Party. The Parties shall put all third Parties or companies who may receive Confidential Information or who are retained under this General Agreement under the same obligations as the respective Party has entered into.

 

8.3                               Subcontractors obtained by NETCARE shall not qualify as third parties under Section 8.2, provided that such subcontractors are under an obligation to keep information confidential at least as protective as the confidentiality provisions under this General Agreement and that the breach of such obligation shall be punishable by an adequate penalty. Confidential Information shall only be disclosed to subcontractors on a need to know basis.

 

8.4                               This obligation to keep confidential does not include

 

a)                                     information which is now or hereafter becomes part of the public domain in other ways than by faults, acts or omissions of the Receiving Party;

 

b)                                     information which hereafter lawfully comes into the Receiving Party’s possession from an independent third source without any obligation of secrecy;

 

c)                                      information which the Receiving Party can show by sufficient evidence was in the Receiving Party’s possession prior to the time of receipt from the Disclosing Party, or information or knowledge which was independently developed by or for the Receiving Party without access to any of the Confidential Information disclosed hereunder.

 

d)                                     information which the Receiving Party has an obligation or duty to disclose under applicable law or by order issued by the competent courts, provided

 

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Disclosing Party is given a reasonable opportunity to review the planned disclosure and discuss the need for such with Receiving Party prior to the actual disclosure;

 

8.5                               FME shall ensure that any user names and passwords are kept confidential and that only authorized users use the Services and licenses rendered by NETCARE. User names and passwords shall not be disclosed to an third Party and shall be kept confidential in order to prevent access of not authorized third Parties.

 

9.                                      PRIVACY LAW/SAFETY/COMPLIANCE WITH GXP/ORDER-DATA PROCESSING

 

9.1                               NETCARE shall comply with the data protection, data safety and security obligations imposed on FME by the applicable laws and regulations and the provisions of the Network Security Guideline of Fresenius Medical Care AG & Co. KGaA provided to NETCARE by FME.

 

9.2                               For that reason and according to requirements imposed on FME by law, regulations and safety aspects, FME has to insist on the obedience of the following terms and conditions. NETCARE acknowledges these terms and conditions as being mandatory for FME to comply with laws, regulations and safety aspects and for the fulfillment of FME’s business.

 

9.3                               NETCARE shall be liable to FME that

 

a)                                     NETCARE follows FME’s instructions with regard to the creation and implementation of user profiles; and

 

b)                                     system architecture shall maintain the security and consistency of the data, and access by FME officers, employees and agents shall be according to the user profiles; and

 

c)                                      each of FME’s employees shall have unhindered access to FME’s proprietary data unless such access is restricted by the user profile and/or FME’s other instructions; and

 

d)                                     no third Party (including employees or representatives of further companies of the Fresenius SE & Co. KGaA group of companies) shall, at any time, have access to FME’s data.

 

9.4                               FME shall be entitled to audit and/or qualify NETCARE with respect to the current quality management system and the quality management system envisioned to be implemented under section 9.5, the internal control system prescribed by FME’s corporate governance regulations, and/or, at FME’s choice, to let have an external auditor audit and/or qualify NETCARE once a year, or as deemed necessary, but reasonably 

 

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acceptable for NETCARE, in order to assure that NETCARE complies with its contractual obligations. Prior to such FME or third Party audit, FME shall give NETCARE timely prior written notice and FME or third Party access shall be limited to NETCARE’s normal business hours.

 

9.5                               NETCARE shall be obliged to maintain a quality management system meeting the requirements agreed in a separate quality assurance agreement. The quality assurance agreement shall define responsibilities, scope, regulatory requirements, validation and documentation requirements, among others.

 

9.6                               In general Netcare shall ensure that FME’s GxP-critical applications and data, as expressly defined by FME, are maintained and archived in a GxP-compliant way. Netcare shall ensure that all FME GxP-critical systems, applications and data will be operated GxP-compliant in accordance to the specifications as set forth in the applicable Service Agreement and instructions of FME. Further requirements concerning archiving and disaster recovery as well as how FME and Netcare work in GxPcritical projects shall be defined in the quality assurance agreement.

 

9.7                               Whenever FME shall be obligated by the applicable laws, regulations or requirements imposed on FME by the competent authorities or agencies to change, amend or modify its quality as well as corporate governance standards in order to fulfill the regulatory requirements for FME’s business, NETCARE shall be obligated to follow any of such FME’s requests in order to comply with any such changes, amendments or modifications. Any changes shall be made by applying the change procedures defined in this General Agreement or the MSD, as applicable.

 

9.8                               FME’s business is strongly regulated by governmental authorities. Due to regulation changes FME may be forced to changed business processes that may also affect NETCARE’s duties and may require NETCARE to exceed any cur r ent st andards, i. e.the requirements defined in the qualit y assur ance. As f ar as t he im plem ent at ion of such changes tr igg er s any m at er ial cost s NETCARE shall inform FME before implementation of such changes or requirements. Both Parties shall agree in accordance with the change procedures defined in this General Agreement or the MSD, as applicable, on the implementation of such changes and document in writing such changes and related costs. FME shall compensate NETCARE for any costs related to such changes based on the related effort and expenses.

 

Any measures and related costs in connection with the implementation, application and maintenance of any internal control system required by FME or FME’s corporate governance regulations shall be agreed in a separate Annex or Service Agreement.

 

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10.                               ORDER-DATA PROCESSING (AUFTRAGSDATENVERARBEITUNG)

 

10.1                        The Parties acknowledge that NETCARE (as the processor) will provide services to FME (as the controller) on basis of order-data processing (Auftragsdatenverarbeitung). The following rules apply to all activities in which the staff of NETCARE or a third party acting on behalf of NETCARE may come into contact with Personal Data of FME. Personal Data means any individual element of information concerning the personal or material circumstances of an identified or identifiable natural person (individual).

 

10.2                        Duration (term) and subject of the order-data processing shall be defined in the Master Service Description, the Standard Service Agreement or the Individual Service Agreement — whichever is applicable.

 

10.3                        The extent, type and purpose of the intended collection, processing or use of personal data, the type of data and categories of data subjects are stipulated in Section 1 of this General Agreement.

 

10.4                        NETCARE shall take the appropriate technical and organizational measures to adequately protect FME’s Personal Data against misuse und loss in accordance with requirements of section 9 of the German Federal Data Protection Law (Bundesdatenschutzgesetz; hereinafter: BDSG). The measures are defined in the Master Service Description and may be expanded in Standard Service Agreements or Individual Service Agreements.

 

10.5                        The technical and organizational measures are subject to technical progress and development, and NETCARE may implement adequate alternative measures in accordance with Section 7.3 of this General Agreement. These must not however fall short of the level of security provided by the specified measures. Any material changes must be documented.

 

10.6                        FME and NETCARE are aware of the fact that, at present, NETCARE operates its services under the Set of Contracts through a “one-client-system”, i. e. FME and further companies of the Fresenius SE & Co. KGaA group of companies are within the same “client-system”.

 

10.7                        NETCARE is obliged to rectify, erase or block the Personal Data processed in accordance with the reasonable instructions of FME. NETCARE shall take the necessary precautions to ensure that Personal Data can be rectified, erased or blocked in its systems.

 

10.8                        If a data subject (individual person) should apply directly to NETCARE to request the correction or deletion of his Personal Data, NETCARE must forward this request to

 

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FME without delay, unless the correction or deletion is part of the specific service.

 

10.9                        NETCARE shall collect, process and use Personal Data only within the Set of Contracts. NETCARE may not use Personal Data for any other purposes, including its own purposes.

 

10.10                 NETCARE shall ensure that any personnel entrusted with processing FME’s Personal Data have undertaken to comply with the principle of data secrecy in accordance with section 5 of the BDSG and have been duly instructed on the obligations of NETCARE to protect Personal Data. The obligation of confidentiality shall continue after their employment ends.

 

10.11                 NETCARE shall monitor compliance with the provision of this section by means of regular tests.

 

10.12                 Where stipulated by law, NETCARE shall appoint a data protection officer, able to discharge his duties as set out in sections 4f and 4g of the BDSG. The officer’s contact details must be supplied to FME to enable direct contact to be made.

 

10.13                 Upon FME’s request, NETCARE shall provide all information necessary for compiling the overview defined by section 4g (2) sentence 1 of the BDSG.

 

10.14                 NETCARE may use sub-contractors according to Section 3 of this General Agreement.

 

10.15                 FME must be granted the right to monitor and inspect the sub-contractor in all cases of order-data processing.

 

10.16                 In addition to Section 10.7 of this General Agreement, FME may carry out the job control stipulated in No. 6 of the annex to the BDSG, or appoint auditors to do so.

 

10.17                 NETCARE shall provide FME with the information required to meet its job control obligation, and shall make the necessary documentation available.

 

10.18                 With regard to the monitoring obligations of FME under section 11 (2) sentence 4 BDSG before the start of data processing and throughout the term of the commission, NETCARE must ensure that FME can confirm adherence to the technical and organizational measures taken. For this purpose, NETCARE must provide FME upon request with evidence of the implementation of the technical and organizational measures pursuant to section 9 of the BDSG and the annex thereto. Evidence of the implementation of any measures that do not only affect the specific commission may also be presented in the form of up-to-date attestations, reports or extracts thereof from independent bodies (e.g. external auditors, internal audit, the data protection officer, the IT security department or quality auditors) or suitable certification by way of

 

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an IT security or data protection audit.

 

10.19                 In addition to Section 5 of this General Agreement, NETCARE shall notify FME in all cases of violations of data protection provisions.

 

10.20                 Where FME’s Personal Data becomes subject to search and seizure, an attachment order, confiscation during bankruptcy or insolvency proceedings, or similar events or measures by third parties while being processed, NETCARE shall inform FME without undue delay. NETCARE also shall, without undue delay, notify to all pertinent parties in such action, that any Personal Data affected thereby is in FME’s sole property and area of responsibility, that Personal Data is at FME’s sole disposition, and that FME is the responsible body in the sense of the BDSG.

 

10.21                 The Parties are aware that section 42a of the BDSG may impose a duty to inform in the event of the loss or unlawful disclosure of Personal Data or access to it. Such incidents should therefore be notified by NETCARE to FME immediately, regardless of their origin. This also applies to serious operational faults or where there is any suspicion of an infringement of provisions relating to the protection of Personal Data or other irregularities in the handling of Personal Data belonging to FME. In consultation with FME, NETCARE must take appropriate measures to secure the data and limit any possible detrimental effect on the data subjects. Where obligations are placed in FME under section 42a of the BDSG, NETCARE must assist in meeting them.

 

10.22                 FME is responsible for compliance with the BDSG and other relevant regulations on data protection, and retains control over the extent of the data to be processed.

 

10.23                 FME shall have the right to give NETCARE reasonable instructions as to the nature, scope and method of data processing. The proceeding of FME’s authority to issue instructions is stipulated in Section 7 of this General Agreement.

 

10.24                 Any changes to the subject-matter of the processing must be agreed in writing by the Parties and documented together.

 

10.25                 NETCARE shall inform FME immediately if NETCARE believes that an instruction violates privacy laws. NETCARE may then postpone the execution of the relevant instruction until it is confirmed or changed by FME.

 

10.26                 After the termination of a commission under this General Agreement NETCARE must return to FME all of FME’s Personal Data in NETCARE’s possession and all Personal Data collected and produced in connection with the commission, or delete them with the prior written consent of FME. The deletion log must be presented upon request.

 

10.27                 Documentation intended as proof of proper data processing must be kept by NETCARE beyond the end of the Set of Contracts in accordance with relevant retention

 

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periods. NETCARE may hand such documentation over to FME after expiry of this General Agreement or its Annexes.

 

11.                               RIGHTS OF USE AND INTELLECTUAL PROPERTY RIGHTS

 

11.1                        NETCARE shall procure, operate and maintain any software, licenses and rights needed by NETCARE for the provision of the Services.

 

11.2                        As a matter of principle, NETCARE shall procure and acquire licenses and rights in connection with the Services in its own name and sublicense such licenses or grant to FME the rights of use for software or other deliverables to the extent required by FME in connection with, or as a result of, the relevant Service Agreement for the use of the Services under the Set of Contracts in accordance with the provisions defined in this Section 11, unless otherwise agreed in a Service Agreement.

 

11.3                        Any rights granted by NETCARE to FME under this Agreement shall not entitle FME, without NETCARE’s prior consent, to modify, decompile, translate, decrypt, decompose, or copy the deliverable, unless otherwise expressly agreed herein or in a Service Agreement.

 

11.4                        With respect to third party standard software or NETCARE’s own software, not specifically and exclusively developed for FME, which is used by NETCARE to provide the Services (“Standard Software”), NETCARE shall grant FME the non-exclusive, nontransferable right to use without limitation in time, scope or place subject to the terms of this General Agreement and the relevant Service Agreement, in particular limited to the purpose described in the relevant Service Agreement. The scope of the right of use of FME shall be in accordance with the license and right of use granted by the third party licensor to NETCARE. NETCARE shall ensure that it will obtain all required rights and licenses to sub-license or transfer the license to FME for the required purposes.

 

11.5                        To the extent that any rights derive from software or other deliverables expressly developed for and on behalf of FME by NETCARE, including new developments of interfaces, platforms, changes, etc., provided that NETCARE has not used any proprietary software of NETCARE or any third party, any intellectual property rights shall vest in FME and FME shall be the owner of any intellectual property rights in connection with such deliverable. FME grants to NETCARE the non-exclusive, transferable right to use, to copy, to revise and to decompile the deliverables without limitation in time, scope or place subject to the terms of the Set of Contracts. The right to use is limited to the purposes described in the Service Agreement applicable to the relevant deliverable. The right to copy, revise and decompile the deliverable shall be limited, however, to the maintenance or reinstatement of the agreed functionality of the deliverable.

 

20

 

11.6                        As far as NETCARE develops any deliverable only partly for and on behalf of FME or FME only partly reimburses the costs associated with a deliverable, NETCARE and FME shall be co-owners of such deliverable in the proportion of the relevant contribution to the development of the deliverable. FME shall have the non-exclusive, transferable right to use the deliverable for the purpose of this General Agreement. NETCARE shall have the non-exclusive, transferable right to use, to copy, to revise and to decompile the deliverables without limitation in time, scope or place subject to the terms of the Set of Contracts. The right to use is limited to the purposes described in the Service Agreement applicable to the relevant deliverable. The right to copy, revise and decompile the deliverable shall be limited, however, to the maintenance or reinstatement of the agreed functionality of the deliverable. NETCARE shall have the right to sublicense such rights to affiliated companies and to provide maintenance, update and upgrade services with respect to the deliverables to such affiliated companies as agreed between the Parties in a Service Agreement.

 

11.7                        In case of developments, updates, upgrades and changes to Standard Software or NETCARE’s proprietary software, provided that such updates and upgrades are not available on the market, including customizing and adjustments to general structures, systems, configurations, scripts and other customizing, NETCARE shall grant FME the non-exclusive, transferable right for the term of this General Agreement to use the developments in connection with the basis software without additional charges.

 

11.8                        Own developments of NETCARE shall be solely in the property of NETCARE. Any rights of use of FME shall be granted in accordance with Section 11.4.

 

11.9                        As far as FME has acquired licenses or rights in connection with a Service from a third party, that are required for the use of the Services, or FME is obliged in connection with a Service to provide standard software or other individual software developed for FME, FME shall grant to NETCARE the non-exclusive, non-transferable right to use the software or deliverables for the purposes and as far as necessary for the provision of the Services to FME under the Set of Contracts. As far as necessary for the provision of the Services FME shall also grant NETCARE the right to copy, revise and decompile the software, whereas such right shall be limited to the maintenance or reinstatement of the agreed functionality of the software. The Parties shall agree on the specific rights in the relevant Service Agreement. The scope of the right of use of NETCARE shall be in accordance with the license and right of use granted by the third party licensor to FME. FME shall be obliged to ensure that any relevant license permits NETCARE’s use of any licensed rights granted hereunder to NETCARE for the required purpose and FME shall inform NETCARE of any license terms applicalble. NETCARE shall be obliged to comply with the license terms of the third party licensor and not use or revise the software in violation of such license. In particular, NETCARE shall notify FME of any violations of such license agreement and terms

 

21

 

defined therein.

 

12.                               DEFECTS AND WARRANTY

 

12.1                        NETCARE shall render its Services in accordance with the service levels defined, if any, or any specifications defined in the relevant Service Agreement and the Services shall be free of defects of priority 1, 2 and 3. Services rendered by NETCARE or its subcontractors not complying with the aforementioned standards shall be deemed “Defects”.

 

12.2                        In the event of Defects of an agreed product or works that shall be supplied, FME’s claims shall expire twenty four months after delivery of the respective product or works. FME shall notify NETCARE of any Defects immediately upon delivery, or in case of hidden Non-Conformities upon discovery, at the latest within 10 business days.

 

12.3                        NETCARE shall have opportunity to cure all Defects free of charge and within reasonable time. NETCARE may choose to remedy by repair or redelivery within its discretion. NETCARE shall have two attempts to remedy a Defects. If NETCARE fails to cure before an appropriate dead-line set by FME expires FME may appropriately reduce the price. If said Defect that has not been remedied by NETCARE does not affect economically reasonable uses of the remaining parts of services or goods which NETCARE has delivered or shall deliver and FME makes such use thereof, FME’s rights shall be limited to the defect service or part of NETCARE’s performance. Save for the provisions in Section 15 FME shall have no right to terminate the relevant Service Agreement or this General Agreement due to a Defect.

 

12.4                        Unless otherwise agreed between the Parties in this Section 12 any Defects shall be regulated by the relevant warranty provisions defined by statutory law, as applicable to the Service.

 

13.                               LIABILITY

 

13.1                        Either Party shall be liable without limitation for all damages caused by intent or gross negligence of the Party or its vicarious agents as well as Defects fraudulently concealed and all mandatory statutory liability.

 

13.2                        Parties shall be liable for all personal injuries up to an amount of Euro 500,000 (five hundred thousand Euros) for each incident, in a total for all such damages up to an amount of Euro 5,000,000 (five million Euros), provided that such liability is not covered by section 13.1. For all other civil liability arising out of slight negligence by the Parties and their relevant vicarious agents not covered by section 13.1 or 13.2 the following applies:

 

22

 

a)                                     for all damages to material objects (Eigentumsverletzungen) in the property of or leased by FME which are caused as a direct consequence of the services performed under the Set of Contracts, such as but not limited to excess of voltage, damages to hard and software due to services rendered under the Set of Contracts the injured Party may recover the amount necessary for repair or for compensation of such damages up to an amount of Euro 2,000,000 (two million Euro) for each incident.

 

b)                                     For all damages caused by negligent breach of contract, such as but not limited to system break-downs and which FME has to incur in accordance with claims of third contractors which cannot be solved amicably, FME is to be held harmless by NETCARE by a calendar-year compensation cap up to 15% (Fifteen percent) of the contractual value of the respective Service Agreement reduced by the penalty, if any, as defined in the respective Service Agreement. NETCARE shall be informed about the facts underlying such case in a maximum transparent manner. FME shall use best efforts to defend such cases.

 

c)                                      No Party shall be liable for lost profits, potential savings, consequential or indirect damages.

 

13.3                        Should NETCARE be held liable for a breach of contract or other liability, FME’s contributory fault shall be reasonably considered. NETCARE shall not be liable for damages caused by instructions, information, documents, materials, or contributions or support provided by FME to NETCARE.

 

13.4                        NETCARE shall in no instance be liable for deficiencies of software, assistance or other appliances that FME has ordered from third parties or that FME has provided. NETCARE shall support FME by problem solving with best effort against compensation, if not agreed otherwise within the specific Service Agreement. NETCARE shall in no event be liable under this Section 13 if FME (without NETCARE’s written approval) or a third party has modified Services delivered by NETCARE, FME has used the Service in breach of the Set of Contracts (handling error), FME has not provided its cooperation obligations in a proper or timely manner, the Defect arises from instructions of FME provided that NETCARE has notified FME of the associated risks that lead to the Defect.

 

13.5                        In the event that NETCARE retained a subcontractor upon FME’s sole and specific request to use such subcontractor, NETCARE hereby assigns all its claims and rights vis-á-vis such subcontractor under the relevant contract with the subcontractor to FME. To the extent of such assignment, FME’s claim against NETCARE shall be fulfilled and NETCARE shall not be liable for any damages, losses or claims of FME or any third party resulting from the services of such subcontractor. FME authorizes NETCARE to make any claims and enforce any claims against such subcontractor.

 

23

 

NETCARE shall reasonably enforce any claims out of or in courts and FME will assist NETCARE in any actions. NETCARE shall in any event consult and coordinate any actions with FME and follow instructions of FME in connection with the enforcement of a claim. The aforementioned shall also apply in case NETCARE has integrated or used a certain product or software or procured such product or software from a designated subcontractor upon FME’s request.

 

13.6                        NETCARE shall be responsible for the services and contractual deliverables rendered by its own subcontractors to the same extent NETCARE itself is liable for the Services. Contractual partner of subcontractors shall solely be NETCARE and the scope of services to be rendered by NETCARE to FME shall not be affected by the use of subcontractors.

 

13.7                        The aforementioned provisions shall apply to the personal liability of all statutory representatives, senior management, agents, subcontractors and employees as far as these qualify as vicarious agents of the relevant Party.

 

13.8                        NETCARE shall be excused from performance of its obligations and the Services under this General Agreement, any Annex and Service Agrement affected and shall not be held liable for any losses, damages or delays, including consequential damages, resulting from any event or cause beyond its reasonable control, including earthquake, fire, flood, explosion, war, embargo, transportation shortage or delay, breakage of machinery or electric power outage.

 

14.                               PENALTIES

 

14.1                        The sum of any penalties accrued under the Set of Contracts for the period of one year shall not exceed 5 % of the total remuneration under the Set of Contract, excluding remuneration for Projects, for the previous year. For the purposes of this section the yearly remuneration and sum of penalties shall not be calculated on the basis of the calendar year but on a rolling basis, i.e. the 12 months prior to the event triggering the penalty.

 

15.                               TERM AND TERMINATION

 

15.1                        The term of this General Agreement shall commence on January 1, 2013 and shall extend to December 31, 2017. Thereafter, the General Agreement shall automatically renew by another period of five years unless one Party terminates the agreement by giving six months prior written notice to the end of the term. From then on the General Agreement will be extended automatically for successive one year periods unless one of the parties terminates this General Agreement by giving 6 months prior written notice to the expiration of the then current term.

 

24

 

15.2                        The Parties shall be entitled to terminate individual Service Agreements by giving 6 months written notice prior to the end of the agreed term unless otherwise agreed under applicable termination clauses in the Service Agreements.

 

15.3                        Each Party shall be entitled to terminate this General Agreement and the Set of Contracts in whole or in part with immediate effect by giving written notice if (a) the other Party becomes insolvent, (b) the other Party is the subject of any winding up, dissolution, insolvency or liquidation proceedings, or makes any assignment of materially all assets for the benefit of creditors, (c) the other Party terminates its business in whole or in substantial part, or (d) in case of a merger or acquisition, whereby the common shareholder Fresenius SE & Co. KGaA transfers its controlling interest, be it by transfer of assets or by transfers of shares or dilution of the interest of Fresenius SE & Co. KGaA, in the non-terminating Party to a third Party which is not under the control of Fresenius SE & Co. KGaA.

 

15.4                        Furthermore, FME shall be entitled to terminate the Set of Contracts upon giving reasonable notice, if NETCARE (i) unreasonably restricts FME from accessing data for processing in other systems; (ii) breaches the terms and conditions of Sections 9.1, 9.3, 9.5, 9.6 or 9.7 above and/or (iii) after discussion in the Steering Committee, will not be able to comply with the terms and conditions as outlined under Sections 9.1, 9.3, 9.5, 9.6 or 9.7 above.

 

16.                               EFFECT OF TERMINATION/EXPIRATION

 

16.1                        The termination of this General Agreement shall not affect the term of its Service Agreements or any Annex and no such Service Agreement or Annex shall be terminated unless expressly and separately terminated by the terminating Party. In case of a termination of this General Agreement the terminating Party shall have a special termination right with respect to each Annex and Service Agreement being part of the Set of Contracts.

 

16.2                        The termination of a Service Agreement or Annex shall not affect this General Agreement or any other Annex or document of this Set of Contracts unless expressly agreed for certain cases in Section 16.

 

16.3                        After termination or expiration of the contractual relationship the Parties shall undertake to modify the remainder of the Set of Contracts as economically indicated and according to the factual situation. Furthermore, they shall return all documents and other information which they have received from the other Party because of or incidental to the cooperation upon first request. The correspondence between the Parties and all documents and papers that have to be kept available as required by laws or

 

25

 

regulations or papers and documents that are destined to remain with the respective Party.

 

16.4                        After termination of the General Agreement or Service Agreement hereto, NETCARE shall be obliged to deliver the services agreed upon hereunder to FME upon FME’s request for such period which is required by FME to retain an alternative service provider. FME’s obligations defined under Section 4 shall remain in effect for such transition period. However, FME shall not be required to buy these services from NETCARE. In case that FME decides to discontinue individual services or parts thereof NETCARE shall not be responsible for the remainder of the services to be delivered to FME, provided, that the discontinued services were required for rendering the remainder of the services. Furthermore, NETCARE shall reasonably cooperate with FME on the transfer of any services or system operated or maintained under this Set of Contracts to an alternative service provider. Remuneration for services rendered and other terms and conditions for this transition period shall be analogous to the terms of this General Agreement or any Service Agreement referred to of the year of termination. Additional services required for the transition or migration of services to an alternative service provider shall be agreed separately and shall be compensated by FME in accordance with the agreed prices in the relevant up-to-date price list of NETCARE or as separately agreed.

 

16.5                        Details regarding the services and transfer of data shall be agreed upon in the Steering Committee. As far as an agreement about the reintegration and continuation of the services has not been achieved within 3 months after written notice, an external Party shall be commissioned for defining the scope of services to be rendered by NETCARE and FME’s or any third Parties responsibilities and assistance. The external Party shall be nominated by FME and NETCARE in mutual agreement, however, if such consensus cannot be reached by FME and NETCARE, the arbitrator under Section 17.3 shall nominate the external Party.

 

16.6                        NETCARE shall grant to FME upon termination/expiration of the contractual relationship a license for the use of all intellectual property rights owned by NETCARE at the time of termination/expiration of the contractual relationship, with respect to NETCARE’s own developments, including modifications, add-ons, developments, required to operate and run the system governed by and arising out of the Set of Contracts. Such license shall be non-exclusive, unlimited, unrestricted and shall include the right to grant sublicenses to re-outsourcers for the purposes of providing services to FME, however, the right to grant further sublicenses shall not be included. Such license shall be granted free of charge and shall enable FME for further development for internal purposes.

 

16.7                        Upon termination of this Set of Contracts, neither tangible nor intangible assets shall be transferred from NETCARE to FME and neither claim for such transfer shall vest in

 

26

 

FME except for those where FME is the owner of such tangible or intangible assets. Additionally, FME shall in no event actively pursue employment of employees of NETCARE during the term of the General Agreement and for the period of two years thereafter.

 

16.8                        Upon termination of this General Agreement and/or its applicable Annexes and Service Agreements under the Set of Contracts FME shall neither be entitled without the prior written consent of NETCARE nor shall FME be contractually obligated to take over any employee of NETCARE. In the event FME is obligated to take over such employees or employment contracts according to the respective law, NETCARE shall be obligated to compensate FME any costs and expenses which FME might incur thereby for employees FME is not willing to take over provided that FME is not actively deploying such employees.

 

16.9                        The following provisions shall survive a termination of this General Agreement and shall remain in effect upon a termination for a period of at least five years or applicable storage and documentation obligations, whichever is longer: Sections 5, 8, 9, 13, 16, 17, 18.

 

17.                               GOVERNING LAW, ARBITRATION

 

17.1                        The Set of Contracts shall be governed by the laws of Germany (excluding UN-CISG and the rules and principles on the conflict of laws).

 

17.2                        Any dispute, controversy or claim, arising out of or in connection with the Set of Contracts, or the breach, termination or invalidity thereof (the “Controversies”), shall be governed by the following dispute resolution mechanism:

 

17.3                        Controversies shall be settled amicably between the Parties on operational level and according to the escalation procedure as defined in the MSD. If the Parties are unable to reach a mutual consensus, the Parties shall be entitled to file for arbitration complaints in the arbitration panel of the Deutsche Gesellschaft für Recht and Informatik e.V. (“DGRI”), according to its Rules of Arbitration. The place of arbitration shall be in Frankfurt am Main, Germany. The numbers of arbitrators shall be [3]. English shall be used in the arbitrational proceedings.

 

17.4                        In order to allow the arbitration to proceed the Parties waive the defense of expiration of statute of limitation for all claims arising in the disputed matter, starting with the request for arbitration filed with the DGRI and until one month after the end of the arbitration process. The expiration of statute of examination shall be suspended for the time of the arbitration proceeding.

 

17.5                        The decision of the arbitration panel shall be binding.

 

27

 

18.                               MISCELLANEOUS

 

18.1                        All Annexes, the Attachments, and the Preamble are incorporated into this General Agreement. The Preamble shall reflect the intentions of the Parties as of the effective date of the General Agreement and shall have legal effect, however, only insofar as it may be used for interpretative purposes in case of controversy over the interpretation of certain clauses in the General Agreement, Annexes or the Attachments or if Section 17 is applicable.

 

18.2                        Neither Party’s general terms and conditions (Allgemeine Geschäftsbedingungen) shall be incorporated in this Set of Contracts.

 

18.3                        The rights inuring to the benefits of the Parties under the Set of Contracts shall be non-transferable unless the other Party has agreed to the transfer in writing. Such consent shall not be unreasonably withheld if the rights are transferred to Parties under common control of Fresenius SE & Co. KGaA or Fresenius Medical Care AG & Co. KGaA.

 

18.4                        No action or inaction of one of the Parties shall be construed as a waiver of rights or shall affect such rights, unless this General Agreement does provide to the contrary.

 

18.5                        Alterations of and amendments to the Set of Contracts must be made in writing. This applies also to this requirement of writing.

 

18.6                        If any provision of the General Agreement is held to be invalid or unenforceable, the validity of the remaining provisions shall not be affected. The Parties shall replace the invalid or unenforceable provision by a valid and enforceable provision closest to the intention of the Parties when signing the General Agreement.

 

18.7                        Same shall apply to all contractual provisions that the Parties may have omitted to include in this General Agreement.

 

18.8                        As far as the language of Set of Contracts uses the name under which a software is marketed all later releases shall be included.

 

18.9                        FME may execute rights to hold back or to set off only upon claims uncontested by NETCARE, or sums finally awarded by DGRI under Section 17 of this General Agreement.

 

28

	
Bad Homburg,
    	
 
    	
 
    	
Bad Homburg, 08.05.2013
    	
 
    

 

	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    
	
Fresenius Medical Care   AG & Co. KGaA
    	
 
    	
Fresenius Netcare GmbH
    	
 
    
	
represented by its   General Partner
    	
 
    	
represented by
    	
 
    
	
Fresenius Medical Care   Management AG,
    	
 
    	
 
    	
 
    
	
represented by
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    
	
By:
    	
/s/   Rice Powell
    	
 
    	
By:
    	
/s/   Klaus Kieren
    	
 
    
	
 
    	
Rice   Powell
    	
 
    	
 
    	
Klaus   Kieren
    	
 
    
	
 
    	
Global   Chief Executive Officer and
    	
 
    	
 
    	
Chairman
    	
 
    
	
 
    	
Chairman   of Management Board
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    
	
By:
    	
/s/   Dr. Emanuele Gatti
    	
 
    	
By:
    	
/s/   Jurgen Kunze
    	
 
    
	
 
    	
Dr. Emanuele   Gatti
    	
 
    	
 
    	
Jürgen   Kunze
    	
 
    
	
 
    	
CEO   Europe, Latin America, 
    	
 
    	
 
    	
Vice   Chairman
    	
 
    
	
 
    	
Middle   East and Africa 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
Global   Chief Strategist
    	
 
    	
 
    	
 
    	
 
    

 

	
Attachment 1:
    	
List   of Affiliates
    
	
Attachment 2:
    	
Fairness   Opinion
    
	
Attachment 3:
    	
Glossary
    
	
Attachment 4:
    	
Master   Service Description
    

 

29

 

Attachment 1 to the General Agreement

 

List of Affiliates based on FNC’s customer master data

 

 

Attachment 1 to the General Agreement

List of Affiliates

 

	
Branch
    	
 
    	
Debitor
    	
 
    	
Affiliate
    	
 
    	
Unit
    	
 
    	
Location
    	
 
    	
Country 
   code
    
	
N210
    	
 
    	
60000252
    	
 
    	
FMC D GmbH
    	
 
    	
-Zahler-
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N210
    	
 
    	
60000295
    	
 
    	
FMC D GmbH
    	
 
    	
GB ZE Overhead/Key Turn Proj.
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N210
    	
 
    	
60000296
    	
 
    	
FMC D GmbH
    	
 
    	
Projektierung
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N210
    	
 
    	
60000300
    	
 
    	
FMC D GmbH
    	
 
    	
Marketing Technik
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N210
    	
 
    	
60000305
    	
 
    	
FMC D GmbH
    	
 
    	
IT-Projektierung
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N210
    	
 
    	
60000306
    	
 
    	
FMC D GmbH
    	
 
    	
GB ZE Production
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N210
    	
 
    	
60000388
    	
 
    	
GFI - Deltronix
    	
 
    	
Ges. für   Informationssysteme mbH
    	
 
    	
Fürth / Bayern
    	
 
    	
DE
    
	
N210
    	
 
    	
60000728
    	
 
    	
FMC D GmbH
    	
 
    	
GB ZE OVH Technics /Training & Educ
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N210
    	
 
    	
60000729
    	
 
    	
FMC D GmbH
    	
 
    	
GB ZE Technical Service Internation
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N211
    	
 
    	
60000128
    	
 
    	
Fresenius Medical Care   Deutschland
    	
 
    	
Bereich EMEA - Overhead EMEA +Comme
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N211
    	
 
    	
60000130
    	
 
    	
Fresenius Medical Care   Deutschland
    	
 
    	
Bereich EMEA - Controlling
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N211
    	
 
    	
60000134
    	
 
    	
Fresenius Medical Care   Deutschland
    	
 
    	
Bereich EMEA - SCE   Distribution
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N211
    	
 
    	
60000267
    	
 
    	
Fresenius Medical Care   Deutschland
    	
 
    	
Bereich EMEA - NESEE   Overhead
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N211
    	
 
    	
60000268
    	
 
    	
Fresenius Medical Care   Deutschland
    	
 
    	
Bereich EMEA - Supply Network Plann
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N211
    	
 
    	
60000269
    	
 
    	
Fresenius Medical Care   Deutschland
    	
 
    	
Bereich EMEA - SC   OVH&SCPI
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N211
    	
 
    	
60000270
    	
 
    	
Fresenius Medical Care   Deutschland
    	
 
    	
Bereich EMEA - EEMEA   BG/PL/RO
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N211
    	
 
    	
60000271
    	
 
    	
Fresenius Medical Care   Deutschland
    	
 
    	
Bereich EMEA - Clinical   Governance
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N211
    	
 
    	
60000394
    	
 
    	
Fresenius Medical Care   Deutschland
    	
 
    	
Bereich EMEA - CS Latin   America
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N211
    	
 
    	
60000395
    	
 
    	
Fresenius Medical Care   Deutschland
    	
 
    	
Bereich EMEA - SCE CDC
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N211
    	
 
    	
60000592
    	
 
    	
FMC D GmbH
    	
 
    	
International   Marketing & Medicine
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N211
    	
 
    	
60000618
    	
 
    	
Fresenius Medical Care   Deutschland
    	
 
    	
Bereich EMEALA - POI
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N211
    	
 
    	
60000619
    	
 
    	
Fresenius Medical Care   Deutschland
    	
 
    	
Bereich EMEA - Overhead EEMEA + Pro
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N211
    	
 
    	
60000620
    	
 
    	
Fresenius Medical Care   Deutschland
    	
 
    	
Bereich EMEA - Russian   Speaking
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N211
    	
 
    	
60000621
    	
 
    	
Fresenius Medical Care   Deutschland
    	
 
    	
Bereich EMEA - Middle East Overhead
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N211
    	
 
    	
60000622
    	
 
    	
Fresenius Medical Care   Deutschland
    	
 
    	
Bereich EMEA - W Africa   Overhead
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N211
    	
 
    	
60000623
    	
 
    	
Fresenius Medical Care   Deutschland
    	
 
    	
Bereich EMEA - SE Africa   Overhead
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N211
    	
 
    	
60000753
    	
 
    	
Fresenius Medical Care   Deutschland
    	
 
    	
Bereich EMEA - Supply Chain F&D
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N211
    	
 
    	
60000759
    	
 
    	
Fresenius Medical Care   Deutschland
    	
 
    	
Bereich EMEA - Supply Chain Executi
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N211
    	
 
    	
60000760
    	
 
    	
Fresenius Medical Care   Deutschland
    	
 
    	
Bereich EMEA -   System & Demand Plan
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N211
    	
 
    	
60000761
    	
 
    	
Fresenius Medical Care   Deutschland
    	
 
    	
Bereich EMEA - Business   Operation
    	
 
    	
Bad Homburg
    	
 
    	
DE
    

 

1

 

	
N211
    	
 
    	
60000762
    	
 
    	
Fresenius Medical Care   Deutschland
    	
 
    	
Bereich EMEA - Medical   Reporting &
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N211
    	
 
    	
60000763
    	
 
    	
Fresenius Medical Care   Deutschland
    	
 
    	
Bereich EMEA - Clinical   Research
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N211
    	
 
    	
60000764
    	
 
    	
Fresenius Medical Care   Deutschland
    	
 
    	
Bereich EMEA -   Nephrocare Coordinat
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N211
    	
 
    	
60000871
    	
 
    	
Fresenius Medical Care   Deutsch. - G
    	
 
    	
Bereich EMEA -
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N211
    	
 
    	
60000878
    	
 
    	
Fresenius Medical Care   Deutschland
    	
 
    	
WE OVH
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N211
    	
 
    	
60000879
    	
 
    	
Fresenius Medical Care   Deutschland
    	
 
    	
TME
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N213
    	
 
    	
60000132
    	
 
    	
FMC GmbH
    	
 
    	
Sales Region
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N213
    	
 
    	
60000297
    	
 
    	
FMC GmbH
    	
 
    	
Marketing Deutschland
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N213
    	
 
    	
60000298
    	
 
    	
FMC GmbH
    	
 
    	
Technical Service   National
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N213
    	
 
    	
60000299
    	
 
    	
FMC GmbH
    	
 
    	
Stammdaten &   Projektmanagement
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N213
    	
 
    	
60000301
    	
 
    	
FMC GmbH
    	
 
    	
Commercial Department   OVH
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N213
    	
 
    	
60000302
    	
 
    	
FMC GmbH
    	
 
    	
Material Planning
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N213
    	
 
    	
60000303
    	
 
    	
FMC GmbH
    	
 
    	
Logistics
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N213
    	
 
    	
60000304
    	
 
    	
FMC GmbH
    	
 
    	
Congresses
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N213
    	
 
    	
60000727
    	
 
    	
FMC GmbH
    	
 
    	
Overhead
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N213
    	
 
    	
60000730
    	
 
    	
FMC GmbH
    	
 
    	
Application Service
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N213
    	
 
    	
60000742
    	
 
    	
FMC GmbH
    	
 
    	
-Zahler-
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N213
    	
 
    	
60000777
    	
 
    	
FMC GmbH
    	
 
    	
Provider Deutschland
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N219
    	
 
    	
60000137
    	
 
    	
FMC D GmbH
    	
 
    	
Executive Medical   Consulting
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N219
    	
 
    	
60000138
    	
 
    	
FMC D GmbH
    	
 
    	
Renal Pharma
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N219
    	
 
    	
60000141
    	
 
    	
FMC D GmbH
    	
 
    	
IBD Corp. Finance
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N219
    	
 
    	
60000143
    	
 
    	
FMC D GmbH
    	
 
    	
Human Resources
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N219
    	
 
    	
60000144
    	
 
    	
FMC D GmbH
    	
 
    	
Quality/Regulatory/Environment
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N219
    	
 
    	
60000147
    	
 
    	
FMC D GmbH
    	
 
    	
R&D (HG)
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N219
    	
 
    	
60000148
    	
 
    	
FMC D GmbH
    	
 
    	
Vorstand
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N219
    	
 
    	
60000487
    	
 
    	
FMC D GmbH
    	
 
    	
R&D (SW)
    	
 
    	
Schweinfurt
    	
 
    	
DE
    
	
N219
    	
 
    	
60000635
    	
 
    	
FMC D GmbH
    	
 
    	
Business Development
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N219
    	
 
    	
60000858
    	
 
    	
FMC D GmbH
    	
 
    	
International Strategic   Development
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N219
    	
 
    	
60000882
    	
 
    	
FMC D GmbH
    	
 
    	
R&D (WND)
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N220
    	
 
    	
60000005
    	
 
    	
FMC Nederland B.V.
    	
 
    	
Administratie
    	
 
    	
VLIJMEN
    	
 
    	
NL
    
	
N220
    	
 
    	
60000006
    	
 
    	
Fresenius Medical Care   (Schweiz) AG
    	
 
    	
 
    	
 
    	
Oberdorf
    	
 
    	
CH
    
	
N220
    	
 
    	
60000011
    	
 
    	
FMC AUSTRIA GmbH
    	
 
    	
 
    	
 
    	
WIEN
    	
 
    	
AT
    

 

2

 

	
N220
    	
 
    	
60000021
    	
 
    	
FMC Belgium NV
    	
 
    	
 
    	
 
    	
ANTWERPEN - WILRIJK
    	
 
    	
BE
    
	
N220
    	
 
    	
60000389
    	
 
    	
Fresenius Medical Care
    	
 
    	
Slovenija d.o.o.
    	
 
    	
Zrece
    	
 
    	
SI
    
	
N220
    	
 
    	
60000773
    	
 
    	
Fresenius Medical Care
    	
 
    	
Servizi Logistici SA
    	
 
    	
Manno
    	
 
    	
CH
    
	
N221
    	
 
    	
60000003
    	
 
    	
FMC Ltda., Portugal
    	
 
    	
 
    	
 
    	
Moreira - Maia
    	
 
    	
PT
    
	
N221
    	
 
    	
60000004
    	
 
    	
FMC ITALIA S.P.A
    	
 
    	
 
    	
 
    	
PALAZZO PIGNANO(CREMONA)
    	
 
    	
IT
    
	
N221
    	
 
    	
60000007
    	
 
    	
FMC Magyarország   Egészségügyi Kft
    	
 
    	
 
    	
 
    	
BUDAPEST
    	
 
    	
HU
    
	
N221
    	
 
    	
60000015
    	
 
    	
FMC FRANCE SAS
    	
 
    	
 
    	
 
    	
FRESNES Cedex
    	
 
    	
FR
    
	
N221
    	
 
    	
60000017
    	
 
    	
Fresenius Medical Care   Espana S.A.
    	
 
    	
 
    	
 
    	
MADRID
    	
 
    	
ES
    
	
N221
    	
 
    	
60000023
    	
 
    	
FRESENIUS MEDIKAL   HIZMETLER A.S.
    	
 
    	
Free Trade Zone Branch
    	
 
    	
Antalya
    	
 
    	
TR
    
	
N221
    	
 
    	
60000026
    	
 
    	
FMC UK. Ltd.
    	
 
    	
 
    	
 
    	
Huthwaite   Nottinghamshire
    	
 
    	
GB
    
	
N221
    	
 
    	
60000032
    	
 
    	
NMC of Spain S.A.
    	
 
    	
 
    	
 
    	
Madrid
    	
 
    	
ES
    
	
N221
    	
 
    	
60000035
    	
 
    	
Fresenius Medical Care   Suomi Oy
    	
 
    	
 
    	
 
    	
HELSINKI
    	
 
    	
FI
    
	
N221
    	
 
    	
60000036
    	
 
    	
Fresenius Medical Care Denmark A/S
    	
 
    	
 
    	
 
    	
Taastrup
    	
 
    	
DK
    
	
N221
    	
 
    	
60000052
    	
 
    	
FMC ITALIA S.P.A
    	
 
    	
Naples Office
    	
 
    	
PALAZZO PIGNANO(CREMONA)
    	
 
    	
IT
    
	
N221
    	
 
    	
60000058
    	
 
    	
FMC France S.A. -   Provider
    	
 
    	
 
    	
 
    	
FRESNES CEDEX
    	
 
    	
FR
    
	
N221
    	
 
    	
60000196
    	
 
    	
Dialifluids S.r.l.
    	
 
    	
 
    	
 
    	
Canosa Sannita CH
    	
 
    	
IT
    
	
N221
    	
 
    	
60000217
    	
 
    	
NephroCare Portugal SA
    	
 
    	
 
    	
 
    	
-233 Lisboa (Portugal)
    	
 
    	
PT
    
	
N221
    	
 
    	
60000224
    	
 
    	
Fresenius Medical Care - DS, s.r.o.
    	
 
    	
Provider
    	
 
    	
Praha 6
    	
 
    	
CZ
    
	
N221
    	
 
    	
60000391
    	
 
    	
Fresenius Medical Care Slovensko Gm
    	
 
    	
Product company
    	
 
    	
Piestany
    	
 
    	
SK
    
	
N221
    	
 
    	
60000407
    	
 
    	
FMC Swerige AB
    	
 
    	
 
    	
 
    	
Sollentuna
    	
 
    	
SE
    
	
N221
    	
 
    	
60000452
    	
 
    	
Fresenius Medical Care   Maroc
    	
 
    	
 
    	
 
    	
Casablanca
    	
 
    	
MA
    
	
N221
    	
 
    	
60000457
    	
 
    	
Fresenius Medical Care   Romania S.R.
    	
 
    	
Baneasa Business Center
    	
 
    	
Bucharest
    	
 
    	
RO
    
	
N221
    	
 
    	
60000458
    	
 
    	
Fresenius Medical Care   Polska SA
    	
 
    	
 
    	
 
    	
Poznan (PL 78314807
    	
 
    	
PL
    
	
N221
    	
 
    	
60000459
    	
 
    	
FRESENIUS MEDIKAL   HIZMETLER A.S.Mai
    	
 
    	
 
    	
 
    	
Maslak/Istanbul
    	
 
    	
TR
    
	
N221
    	
 
    	
60000488
    	
 
    	
Fresenius Medical Care Hrvatska d.o
    	
 
    	
Mr. Davorka Jaman
    	
 
    	
Zagreb
    	
 
    	
HR
    
	
N221
    	
 
    	
60000507
    	
 
    	
Fresenius Medical Care   Bulgaria Gmb
    	
 
    	
 
    	
 
    	
Gabrovo
    	
 
    	
BG
    
	
N221
    	
 
    	
60000518
    	
 
    	
ZAO Fresenius SP
    	
 
    	
INN 7736045187 / KPP   772301001
    	
 
    	
Moscow
    	
 
    	
RU
    
	
N221
    	
 
    	
60000527
    	
 
    	
Fresenius HemoCare   Adsorber
    	
 
    	
Technology Middle East S.A.R.L.
    	
 
    	
Hamra - Beirut
    	
 
    	
LB
    
	
N221
    	
 
    	
60000547
    	
 
    	
Saudi Advanced Renal   Services
    	
 
    	
Corporation Ltd.
    	
 
    	
Riyadh
    	
 
    	
SA
    
	
N221
    	
 
    	
60000581
    	
 
    	
Fresenius Diyaliz   Hizmetleri A.S
    	
 
    	
 
    	
 
    	
Maslak/Istanbul
    	
 
    	
TR
    
	
N221
    	
 
    	
60000747
    	
 
    	
Fresenius Medical Care BH d.o.o.
    	
 
    	
Sarajevo
    	
 
    	
Sarajevo, Bosnia and   Hercegovina
    	
 
    	
BA
    
	
N221
    	
 
    	
60000867
    	
 
    	
Fresenius Medical Care   LLC
    	
 
    	
 
    	
 
    	
Kiew
    	
 
    	
UA
    

 

3

 

	
N221
    	
 
    	
60000869
    	
 
    	
Fresenius Medical Care   LLC
    	
 
    	
Mr. Dmytro Iarmak
    	
 
    	
Kiew
    	
 
    	
UA
    
	
N221
    	
 
    	
60000870
    	
 
    	
Health Care Facility -   Hospital
    	
 
    	
“International Dialysis   Center”
    	
 
    	
Banja Luka
    	
 
    	
BA
    
	
N223
    	
 
    	
60000002
    	
 
    	
SMAD S. A.
    	
 
    	
Z.I. DE LA PONCHONNIERE
    	
 
    	
L’ARBRESLE
    	
 
    	
FR
    
	
N223
    	
 
    	
60000016
    	
 
    	
SIS-TER S.P.A.
    	
 
    	
 
    	
 
    	
PALAZZO PIGNANO   (CREMONA)
    	
 
    	
IT
    
	
N223
    	
 
    	
60000057
    	
 
    	
Novamed GmbH
    	
 
    	
Free Trade Zone, Production Plant
    	
 
    	
Antalya
    	
 
    	
TR
    
	
N223
    	
 
    	
60000071
    	
 
    	
FMC Thalheim GmbH
    	
 
    	
Herr Gerd Bucher
    	
 
    	
Stollberg
    	
 
    	
DE
    
	
N223
    	
 
    	
60000145
    	
 
    	
FMC D GmbH
    	
 
    	
Production Unit Machines (PUM SW)
    	
 
    	
Schweinfurt
    	
 
    	
DE
    
	
N223
    	
 
    	
60000553
    	
 
    	
Fresenius Medical Care Adsorber Tec
    	
 
    	
 
    	
 
    	
Krems
    	
 
    	
AT
    
	
N223
    	
 
    	
60000567
    	
 
    	
Fresenius Medical Care Srbija d.o.o
    	
 
    	
Predstavnistvo Beograd
    	
 
    	
Novi Beograd / SERBIA   MONTENEGRO
    	
 
    	
RS
    
	
N223
    	
 
    	
60000625
    	
 
    	
Fresenius Medical Care Ceská republ
    	
 
    	
spol.s.r.o. - Product -
    	
 
    	
Praha 6
    	
 
    	
CZ
    
	
N224
    	
 
    	
60000206
    	
 
    	
FMC D GmbH
    	
 
    	
Global Infrastructure
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N224
    	
 
    	
60000342
    	
 
    	
FMC D GmbH
    	
 
    	
Inventory EMEALA
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N224
    	
 
    	
60000343
    	
 
    	
FMC D GmbH
    	
 
    	
International Corporate   Finance
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N224
    	
 
    	
60000344
    	
 
    	
FMC D GmbH
    	
 
    	
Reporting &   Master Data
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N224
    	
 
    	
60000346
    	
 
    	
FMC D GmbH
    	
 
    	
- Financial Statements -
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N224
    	
 
    	
60000347
    	
 
    	
FMC D GmbH
    	
 
    	
International   Consolidation
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N224
    	
 
    	
60000398
    	
 
    	
FMC D GmbH
    	
 
    	
P & C
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N224
    	
 
    	
60000537
    	
 
    	
FMC-D GmbH
    	
 
    	
ITSA
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N224
    	
 
    	
60000538
    	
 
    	
FMC D GmbH
    	
 
    	
CSE
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N224
    	
 
    	
60000626
    	
 
    	
FMC D GmbH
    	
 
    	
Strategic Controlling
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N224
    	
 
    	
60000627
    	
 
    	
FMC D GmbH
    	
 
    	
Financial   Compliance & Risk Managem
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N224
    	
 
    	
60000643
    	
 
    	
FMC D GmbH
    	
 
    	
INSITE
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N224
    	
 
    	
60000842
    	
 
    	
FMC-D GmbH
    	
 
    	
IT Processes
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N224
    	
 
    	
60000843
    	
 
    	
FMC-D GmbH
    	
 
    	
Integrated Learning
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N224
    	
 
    	
60000854
    	
 
    	
FMC-D GmbH
    	
 
    	
NCIS
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N224
    	
 
    	
60000855
    	
 
    	
FMC-D GmbH
    	
 
    	
HBAM
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N224
    	
 
    	
60000859
    	
 
    	
FMC-D GmbH
    	
 
    	
Business Intelligence
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N225
    	
 
    	
60000135
    	
 
    	
FMC D GmbH
    	
 
    	
Manufacturing Operations   Dialysis
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N225
    	
 
    	
60000136
    	
 
    	
FMC D GmbH
    	
 
    	
Global Manufacturing   Operations (GM
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N225
    	
 
    	
60000140
    	
 
    	
FMC D GmbH
    	
 
    	
QS EMEA GMO
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N225
    	
 
    	
60000146
    	
 
    	
FMC D GmbH
    	
 
    	
Purchasing Consulting Center   (PCC)
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N225
    	
 
    	
60000477
    	
 
    	
Fresenius Medical Care   Deutschland
    	
 
    	
Folienentwicklung St.   Wendel
    	
 
    	
St. Wendel
    	
 
    	
DE
    

 

4

 

	
N225
    	
 
    	
60000478
    	
 
    	
Fresenius Medical Care   Deutschland
    	
 
    	
PU Disposables St. Wendel
    	
 
    	
St. Wendel
    	
 
    	
DE
    
	
N225
    	
 
    	
60000479
    	
 
    	
Fresenius Medical Care   Deutschland
    	
 
    	
PU Disposables St.   Wendel
    	
 
    	
St. Wendel
    	
 
    	
DE
    
	
N225
    	
 
    	
60000480
    	
 
    	
Fresenius Medical Care   Deutschland
    	
 
    	
PU Disposables St.   Wendel
    	
 
    	
St. Wendel
    	
 
    	
DE
    
	
N225
    	
 
    	
60000481
    	
 
    	
Fresenius Medical Care   Deutschland
    	
 
    	
PU Disposables St.   Wendel
    	
 
    	
St. Wendel
    	
 
    	
DE
    
	
N225
    	
 
    	
60000482
    	
 
    	
Fresenius Medical Care   Deutschland
    	
 
    	
PU Disposables St.   Wendel
    	
 
    	
St. Wendel
    	
 
    	
DE
    
	
N225
    	
 
    	
60000483
    	
 
    	
Fresenius Medical Care   Deutschland
    	
 
    	
PU Disposables St.   Wendel
    	
 
    	
St. Wendel
    	
 
    	
DE
    
	
N225
    	
 
    	
60000484
    	
 
    	
Fresenius Medical Care   Deutschland
    	
 
    	
PU Disposables St.   Wendel
    	
 
    	
St. Wendel
    	
 
    	
DE
    
	
N225
    	
 
    	
60000486
    	
 
    	
Fresenius Medical Care   Deutschland
    	
 
    	
PU Disposables St.   Wendel
    	
 
    	
St. Wendel
    	
 
    	
DE
    
	
N225
    	
 
    	
60000779
    	
 
    	
Fresenius Medical Care   Deutschland
    	
 
    	
Membranentwicklung
    	
 
    	
St. Wendel
    	
 
    	
DE
    
	
N229
    	
 
    	
60000387
    	
 
    	
Fresenius Medical Care   SA (Pty) Ltd
    	
 
    	
 
    	
 
    	
Midrand
    	
 
    	
ZA
    
	
N230
    	
 
    	
60000012
    	
 
    	
FMC Argentina S.A.
    	
 
    	
 
    	
 
    	
BUENOS AIRES
    	
 
    	
AR
    
	
N230
    	
 
    	
60000013
    	
 
    	
Fresenius Medical Care   Colombia S.
    	
 
    	
 
    	
 
    	
Bogota, Colombia
    	
 
    	
CO
    
	
N230
    	
 
    	
60000131
    	
 
    	
FMC D GmbH
    	
 
    	
Latin America
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N230
    	
 
    	
60000183
    	
 
    	
FMC Brazil Ltda.
    	
 
    	
 
    	
 
    	
Rio de Janeiro/RJ,   Brazil
    	
 
    	
BR
    
	
N230
    	
 
    	
60000218
    	
 
    	
FMC D GmbH
    	
 
    	
DLV Argentinien
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N230
    	
 
    	
60000259
    	
 
    	
FMC de Venezuela C.A.
    	
 
    	
Zona Industrial   Municipal Norte
    	
 
    	
Valencia, Estado   Carabobo
    	
 
    	
VE
    
	
N230
    	
 
    	
60000332
    	
 
    	
FMC Brazil Sao Paulo   Ltda.
    	
 
    	
Headquarter
    	
 
    	
Chácara Snato antonio
    	
 
    	
BR
    
	
N230
    	
 
    	
60000361
    	
 
    	
Nephrocare Chile S.A.
    	
 
    	
 
    	
 
    	
San Miguel, Santiago
    	
 
    	
CL
    
	
N230
    	
 
    	
60000463
    	
 
    	
FMC D GmbH
    	
 
    	
DLV Kolumbien
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N230
    	
 
    	
60000464
    	
 
    	
FMC D GmbH
    	
 
    	
DLV Brasilien
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N230
    	
 
    	
60000466
    	
 
    	
FMC D GmbH
    	
 
    	
DLV Venezuela
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N230
    	
 
    	
60000467
    	
 
    	
FMC D GmbH
    	
 
    	
DLV Chile
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N230
    	
 
    	
60000468
    	
 
    	
FMC D GmbH
    	
 
    	
DLV BRASILIEN / SAO   PAOLO
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N230
    	
 
    	
60000557
    	
 
    	
Fresenius Medical Care   de Peru S.A.
    	
 
    	
 
    	
 
    	
Lima 3
    	
 
    	
PE
    
	
N230
    	
 
    	
60000558
    	
 
    	
FMC D GmbH
    	
 
    	
DLV Peru
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N230
    	
 
    	
60000883
    	
 
    	
FMC D GmbH
    	
 
    	
DLV Eucador
    	
 
    	
Bad Homburg
    	
 
    	
DE
    
	
N230
    	
 
    	
60000884
    	
 
    	
Fresenius Medical Care Ecuador Hold
    	
 
    	
Mr. Bolivar Cordero
    	
 
    	
Quito
    	
 
    	
EC
    

 

5

 

Attachment 2 to the General Agreement

 

 

Fairness Opinion regarding

 

the General Agreement 2013

 

for IT services to be realized between

 

Fresenius Medical Care AG & Co. KGaA

 

and

 

Fresenius Netcare GmbH

 

 

Fresenius Medical Care Deutschland GmbH

 

17 December 2012

 

Fairness Opinion regarding the General
 Agreement 2013 for IT services to be realized between

 

Fresenius Medical Care AG &. Co. KGaA

 

and

 

Fresenius Netcare GmbH

 

 

 

Table of content

 

	
I.
    	
INTRODUCTION   AND SCOPE OF WORK
    	
1
    
	
 
    	
 
    	
 
    
	
A.
    	
BACKGROUND
    	
1
    
	
B.
    	
SCOPE OF OUR WORK
    	
1
    
	
 
    	
 
    	
 
    
	
II.
    	
BASIS   FOR OUR WORK
    	
3
    
	
 
    	
 
    	
 
    
	
III.                                        SUMMARY OF THE   CONSIDERATIONS MADE BY FME AND FNC REGARDING TERMS AND CONDITIONS FOR THE   CONCLUSION OF A GENERAL AGREEMENT 2013
    	
5
    
	
 
    	
 
    	
 
    
	
A.
    	
BACKGROUND
    	
5
    
	
B.
    	
CURRENT CONSIDERATIONS   OF FME AND FNC FOR THE CONCLUSION OF A GENERAL AGREEMENT 2013
    	
5
    
	
C
    	
CURRENT CONSIDERATIONS   OF FME AND FNC REGARDING THE PRICING MECHANISM UNDER THE GA 2013
    	
7
    
	
 
    	
 
    	
 
    
	
IV.                                         ASSESSMENT ON THE   PLAUSIBILITY OF THE CONSIDERATIONS MADE BY FME AND FNC IN THE INTENDED   CONTRACTUAL REGULATIONS COMPARED TO WHAT WOULD BE EXPECTED BETWEEN THIRD   PARTIES
    	
8
    
	
 
    	
 
    	
 
    
	
A.
    	
ASSESSMENT ON THE   GENERAL APPROACH OF FME AND FNC
    	
8
    
	
B.
    	
ASSESSMENT ON THE TERM   OF THE GENERAL AGREEMENT 2013
    	
9
    
	
C.
    	
ASSESSMENT ON THE PRICING   MECHANISM FORESEEN IN THE GENERAL AGREEMENT 2013
    	
10
    
	
D.
    	
ASSESSMENT ON THE MAN   DAY RATE FOR INTERNAL RESOURCES OF FNC CONSIDERED IN THE PRICE LIST 2013
    	
12
    
	
E.
    	
ASSESSMENT ON THE   EXPECTED IT COST AS PERCENTAGE OF REVENUE UNDER THE TERMS AND CONDITIONS OF   THE GA 2013
    	
12
    
	
 
    	
 
    	
 
    
	
V.                                              CONCLUSION WITH REGARD   TO THE PLAUSIBILITY OF THE CONSIDERATIONS MADE BY FME AND FNC REGARDING TERMS   AND CONDITIONS UNDER THE GENERAL AGREEMENT 2013 COMPARED TO WHAT WOULD BE   EXPECTED AMONG THIRD PARTIES
    	
16
    
	
 
    	
 
    	
 
    
	
VI.
    	
NOTES   TO OUR PROFESSIONAL STATEMENT
    	
17
    
	
 
    	
 
    	
 
    
	
ATTACHMENT   1: GENERAL AGREEMENT 2013 BETWEEN FME UND FNC (“GA 2013”), DATED 17 DECEMBER   2012
    	
I
    
	
 
    	
 
    	
 
    
	
ATTACHMENT   2: OVERVIEW ON THE VOLUME OF EXPECTED IT COST FOR OPERATIONS AND PROJECTS   UNDER THE GENERAL AGREEMENT 2013 FOR THE YEARS 2013 TO 2022 (“FNC COST   ESTIMATE”) INCLUDING ADDITIONAL CALCULATIONS
    	
II
    
	
 
    	
 
    	
 
    
	
ATTACHMENT 3: GENERAL TERMS AND CONDITIONS AS OF   MAY 2012
    	
III
    

 

I

 

I.                              Introduction and Scope of Work

 

Based on the engagement agreement dated 6 November 2012 Fresenius Medical Care Deutschland GmbH (hereinafter “FMCD”) commissioned us with a project to prepare an independent fairness opinion with respect to the intended contractual IT service cooperation between Fresenius Medical Care AG & Co. KGaA (hereinafter “FME”) and Fresenius Netcare GmbH (hereinafter “FNC”) as described in the General Agreement 2013 (hereinafter “GA 2013”). This was done by conducting a plausibility check of the intended contractual regulations between FME and FNC regarding comparability with what would be expected between third parties at this stage of negotiations.

 

A.        Background

 

FME and FNC are currently negotiating the conditions of a contract governing the provision of IT services through FNC for FME and its affiliates. As the legal representatives and oversight bodies of FME want to ensure that such contract is comparable to what would be reasonably expected between third parties they have raised the request for an independent fairness opinion to be based on the actual status of the negotiations which is considered close to final.

 

B.        Scope of our Work

 

In this context Ernst & Young GmbH Wirtschaftsprüfungsgesellschaft (“E&Y”) was engaged by FMCD to make an assessment if the current considerations of the parties involved (FME and FNC) regarding terms and conditions of the contract to be concluded between FME and FNC are comparable to what would be expected among third parties at this stage of the negotiations of a contract.

 

For this purpose, E&Y reviewed the respective considerations as provided by FMCD, FME and FNC and assessed the plausibility of these considerations compared to what would be expected among third parties at this stage of the negotiation of a contract.

 

E&Y did not review or assess the General Agreement 2013 in relation to the following points:

 

·            legal or tax aspects,

·            content of the services,

·            technical realization,

·            amount of total cost to be expected for the services

·            adequacy of the IT measures,

·            adequacy of the IT support level,

·            adequacy of single pricing elements,

 

1

 

The aforementioned listing is a non-exhaustive enumeration and for illustration purpose only.

 

The following areas were specifically agreed to be excluded from the scope of the project:

 

·                A market evaluation by setting up a “Request for Proposal” to the external market for the IT services covered by the GA 2013 to have comparable figures for the services to be provided by FNC.

·                Specific benchmarking studies for the various services to be provided by FNC under the GA 2013.

·                A legal judgment of the existing contracts and Service Level Agreements.

·                A review of the current service relationship.

·                Any detailed analysis outside the scope of discussing the information provided by FMCD, FME and FNC with employees or service providers of these companies.

·                Verification or reconciliation of the contractual information.

·                Verification or reconciliation of the volume of expected IT cost for Operations and Projects under the General Agreement 2013 for the years 2013 to 2022

·                Validation of the requirements and assumptions taken as basis for negotiating the GA 2013.

·                Evaluation of any fairness aspects on a per-country or per-region basis.

 

The statements included in our fairness opinion reflect our opinion, based on our professional experience. The fairness opinion is only for use of FMCD. However, FMCD is allowed to provide the fairness opinion to its related parties and to the legal bodies of such related parties (e.g. their supervisory board).

 

Our fairness opinion is the result of our observation of the situation at a given point in time under the constraints and environmental factors valid at this given point in time and based on the information provided to us by FMCD, FME and FNC in the documents and correspondence listed below. We made use of no other FMCD, FME or FNC related information sources for the purpose of our review.

 

Risks relating to dependencies on documents we did not review were not considered for the purpose of our fairness opinion. We did also not specifically check the existence of all documents referenced to in the reviewed documents and correspondence. If any such documents do not exist or have not yet been agreed and signed they could affect the overall fairness of the GA 2013 defined between FME and FNC. Both parties could have a disagreement on the content and validity of the definition.

 

Furthermore we were requested to take special consideration of the fact that the negotiations regarding the GA 2013 relate to a contract to be concluded between two entities of the same parent company who are currently already in a successful customer and service provider relationship based on contracts for which the arm’s length nature has been confirmed by a Fairness Opinion from PwC Deutsche Revision

 

2

 

Aktiengesellschaft Wirtschaftsprüfungsgesellschaft (hereinafter “PwC”) dated 14 August 2003.

 

II.                         Basis for our Work

 

Our work was performed using the following key data files and documents provided by FMCD, FME and FNC:

 

·            Documents provided by Mr. Griesenbeck from FMCD on 2 November 2012:

·            Draft General Agreement 2013 between FME und FNC, dated 29 October 2012 [20121029 GA V1.0 Final (frozen).docx]

·            FNC Price List 2013 V1.1, Summary of Standard Services, Prices and Charging Conditions (“Price List 2013”) [PRICE_LIST_2013.pdf]

·           SAP Price List V 1.0.10-0 (“SAP Price List”) [SAP Price List V 1.0.10-0.xlsx]

 

·            Documents provided by Mr. Griesenbeck from FMCD on 27 November 2012:

·            Overview on the volume of expected IT cost for Operations and Projects under the General Agreement 2013 for the years 2013 to 2022 (“FNC Cost Estimate”) [FMC 10 Years_final-ovw.xlsx]

·            Expected IT service cost for 2013 under the General Agreement 2013 by category (“IT cost detail 2013”) [Warengruppe_Material_2013.xlsx]

 

·            Document provided by Mr. Griesenbeck from FMCD on 17 December 2012

·            General Agreement 2013 between FME und FNC (“GA 2013”), dated 17 December 2012 [20121217 GA V1.0 Final (frozen).docx]

 

The following supporting documents and information were taken into account for the purpose of our fairness opinion:

 

·            Documents provided by Mr. Griesenbeck from FMCD on 2 November 2012 or earlier:

·            General Agreement between Fresenius Medical Care AG (FME) and Fresenius Netcare GmbH (FNC) on services provided in the area of information technology within the Territory and related to named subsidiaries of FME dated 8 December 2003 (“General Agreement 2003” or “GA 2003”)

·            Attachment 1 to the GA 2003: FME Affiliates under this Agreement

·            Annex 08 to the GA 2003 between FME and FNC governing individual EDP projects mutually agreed between FME and FNC commencing as of 1 January 2003 (“Annex 8”)

·            Glossary as Annex to the General Agreement 2013 (“Glossary”)

·            Master Service Description as Annex to the General Agreement 2013 (“MSD”)

·            FNC Service Catalog 2013 (“Service Catalog 2013”)

·            Service Agreement SAP to the General Agreement 2013 (“Service Agreement SAP”)

·            SAP Service Level Agreements to the General Agreement 2013/ Service Agreement SAP for the SAP System Families BO, X11,X12,X13,X20,X22,X24,X25,X27,X29,X39,X45,X46,X50 and X57 each (“SAP SLA GA 2013”)

 

3

 

·            Annexes 9,10,14,15,17,18,22,23,24,25,27,28,30,31,33,34,35,36 and 40 to the GA 2003 (“Enduring Annexes GA 2003”)

 

·            Information provided by Mr. Griesenbeck on 5 December 2012 regarding expected FME EMEALA revenue growth until 2022

·            Information provided by Mr. Griesenbeck on 17 December 2012 regarding expected FME EMEALA revenues for 2012

 

In addition, various verbal and e-mail communication has been held with the following persons to discuss the considerations during the negotiations between FME and FNC and discuss the plausibility of the current approach in the draft contract compared to what would be expected among third parties:

 

·             Mr. Grimm of FME (Head of IT Coordination EMEALA)

·             Mr. Griesenbeck of FMCD (IT Service Management)

 

4

 

III.                   Summary of the considerations made by FME and FNC regarding terms and conditions for the conclusion of a General Agreement 2013

 

A.        Background

 

Based on the General Agreement 2003 and several Annexes to the General Agreement 2003, FNC is acting as IT Service provider for FME, FMCD and other FME affiliates since several years with a wide functional range. FNC has therefore deep insight into and knowledge of the Fresenius Medical Care group wide IT landscape.

 

The initial term for major parts of the General Agreement 2003 and its Annexes ends as of 31 December 2012.

 

FME and FNC are therefore in continuous negotiations to finalize a contract governing the provision of IT services through FNC for FME and its affiliates. Such contract is referred to as “General Agreement 2013” or “GA 2013”.

 

B.        Current Considerations of FME and FNC for the conclusion of a General Agreement 2013

 

FME and FNC have generally taken the terms and conditions agreed under the General Agreement 2003 as starting point for their negotiations regarding the General Agreement 2013.

 

Such GA 2013 shall be concluded by FME in its own name and on behalf of its current and future affiliates as listed and continuously updated in Attachment 1 to the GA 2013.

 

The GA 2013 shall govern the parameters of cooperation between FME and FNC with regard to services in the field of information technology for users in the FME regions Europe, Africa, Middle East and Latin America, the “FME EMEALA”.

 

The intention is to continue the long term business relationship in the same manner as under the expiring GA 2003.

 

Partnership, transparency and competitiveness of both prices and services rendered are among the basic principles for the cooperation as defined in the Preamble of the GA 2013.

 

Moreover, based on the Preamble, the GA 2013 and its modules shall be construed without taking into account that the Parties are affiliated companies.

 

The complete agreement between the Parties and the modular contractual structure as governed by the GA 2013 and referred to as “Set of Contracts” is set-up as follows:

 

5

 

1.          General Agreement 2013 and

 

2.          related documents (the Annexes) such as:

 

Master Service Description

 

Glossary

 

Fairness Opinion

 

List of Affiliates

 

3.          Service Agreements

 

Standard Service Agreements

 

Individual Service Agreements

 

The following graphic illustrates the intended structure of the contractual relationship under the GA 2013:

 

 

6

 

Under this structure, the GA 2013 provides the legal framework that shall govern the cooperation between, and the overall relationship and general obligations of, the Parties. The provisions in this GA 2013 shall apply as a general agreement to all Annexes and Service Agreements hereto between FME and FNC on services provided in the area of information technology.

 

The Master Service  Description (“MSD”) defines general processes, requirements, conditions and quality levels usually relevant for each Service in order to ensure a high quality Service provision from FNC to FME. It is structured according to the cooperation interfaces between FNC and FME.

 

The MSD furthermore defines testing and acceptance procedures as well as general acceptance criteria for the Services.

 

Moreover the MSD shall define the extent, type and purpose of the intended collection, processing or use of personal data, the type of data and categories of data subjects, if applicable to the type of services.

 

The Service Agreements, as mutually agreed, will define specific Services and provide detailed provisions on individual Services including timing and reimbursement.

 

For recurring Standard Services a Service Catalogue (“Service Catalog 2013)” as well as a respective Price List (“Price List 2013”) have been compiled.

 

In addition, existing contracts already created as Annexes under the former General Agreement 2003 and not terminated until 31.12.2012 shall become an integral part of the Set of Contracts under the GA 2013 (“Enduring Annexes GA 2003”) and shall remain in effect subject to the terms of this GA 2013 without amendment under this GA 2013 until their regular termination.

 

The GA 2013 shall govern all future Services ordered by FME or any of FME EMEALA’s affiliates and rendered by FNC to FME or any of FME EMEALA’s affiliates, even where no explicit reference is made hereto, unless the applicability of the GA 2013 has been explicitly excluded. The initial term for the GA 2013 is five years with an automatic renewal for another five years unless one of the parties terminates the GA with a six month notice period to the end of the first five years term.

 

C.        Current considerations of FME and FNC regarding the pricing mechanism under the GA 2013

 

The GA 2013 states in § 6.1 that all prices, conditions of payment, and schedules are subject to written agreements, and shall be as defined in the MSD and the Service Agreements, if Individual Services are concerned. Regarding Standard Services, fees shall be equal to the up-to-date prices listed in the price list for standard services of FNC, published, updated and agreed with FME each year.

 

As we were told, the Price List 2013 was developed and agreed between FNC and FME by taking the prices applied under the GA 2003 until its expiration as basis.

 

7

 

Services for which no fees have been specifically agreed, shall be rendered according to the hourly or daily rate in accordance with the latest price list.

 

According to the Price List 2013 the hourly rate for internal FNC personnel is 122,50 EUR, the corresponding daily rate defined is 980,00 EUR.

 

In § 6.8 of the GA 2013 it is further stated that FNC shall offer to FME competitive prices in the average for a Group of Services, based on the costs for the individual Services.

 

FME shall be entitled to request a review of the prices for a Group of Services. Upon such request, the Parties shall make a benchmarking evaluation. If FNC’s prices are out of market range after such benchmarking evaluation, FME shall have the right to request an alternative offer from FNC within a period of one month after the benchmarking results. FNC shall have a period of three month to prepare such an offer. If FME accepts the alternative offer, acceptance may not be unreasonably withheld, adjusted pricing shall apply with retrospective effect from the date of receipt of FME’s request for an alternative offer.

 

The same procedure shall apply as far as FNC’s prices are below market prices. FNC shall then be entitled to submit the alternative offer to FME without request from FME and FME shall be obliged to reasonably accept the alternative offer.

 

If a benchmark of the prices for a Group of Services has been conducted, FME shall not request another review for the next three years after completion of the benchmarking process. Upon request, the Parties shall make a benchmarking evaluation.

 

IV.                   Assessment on the plausibility of the considerations made by FME and FNC in the intended contractual regulations compared to what would be expected between third parties

 

A.        Assessment on the general approach of FME and FNC

 

The general approach to take the regulations of the expiring GA 2003 as basis for the negotiations of the GA 2013 is reasonable for us.

 

In our view the contractual framework of the GA 2013 including its different modules referred to as “Set of Contracts” provides a very detailed and structured framework for the provision of IT services. This goes beyond the set-up of the GA 2003 which mainly consisted of the GA 2003 and different, partly heterogeneous appendices to this GA 2003.

 

As this increases clarity and reliability for the contractual Parties, the set-up of the GA 2013 is generally as we would expect it between independent third parties.

 

8

 

The GA 2013 provides detailed regulations regarding both parties’ duties as well as regarding practically relevant issues like the use of subcontractors, compliance with GxP, rights of use and intellectual property rights.

 

Governance structure, change request procedures, confidentiality and privacy law matters are also defined in the GA 2013.

 

Moreover the GA 2013 is clear on defect and warranty as well as on liability and penalties.

 

As far as we can assess the respective regulations are well balanced between service provider and service recipient interests as would be expected between independent parties. They do also include measures usually installed between independent parties to enforce that contractual obligations are kept.

 

Examples for this are FME’s right to audit or qualify FNC’s quality management system (§ 9.4), the definition of a mechanism for penalties (§ 14) or the granting of an extraordinary termination right for FME in case FNC should violate core duties (§ 15.4).

 

More general principles or obligations stipulated in the GA 2013 are than further broken down in additional documents like the MSD.

 

This does for example include in § 7 of the MSD a detailed description of the order process including request for quotation and approval which is necessary before FNC is allowed to work on individual service requests of FME.

 

Another example are the binding project management methods defined in § 8 of the MSD in dependence on the project volume.

 

These are examples for what would typically be expected between independent parties to ensure sufficient cost control.

 

As a summary, the general approach taken by FME and FNC as to the conceptual set up of the contractual relationship stands a third party comparison in our view.

 

B.         Assessment on the term of the General Agreement 2013

 

§ 15.1 of the GA 2013 defines that the term of the GA 2013 as framework agreement shall last from 1 January 2013 until 31 December 2017. Thereafter the GA 2013 shall automatically renew by another period of five years unless one party terminates the agreement by giving six months prior written notice to the end of the term. After the second five years term the GA 2013 will be extended automatically for successive one year periods unless one of the parties terminates the GA 2013 by giving six months prior written notice to the expiration of the then current term.

 

In addition immediate or reasonable notice termination rights for the GA 2013 are foreseen in §§ 15.3 and 15.4 for extraordinary events like for example insolvency, transfer of controlling interest or violation of core contractual duties.

 

9

 

According to § 15.2 of the GA 2013 the individual Service Agreements concluded under the GA 2013 can be terminated by giving 6 months written notice prior to the end of the agreed term of the respective Service Agreement unless otherwise agreed under applicable termination clauses in the Service Agreements.

 

Based on §§ 16.1 and 16.2 the termination of single Service Agreements shall not affect the term of the GA 2013 and vice versa. In case the GA 2013 is terminated, § 16.1 grants to the terminating party a special termination right with respect to each Annex and Service Agreement being part of the Set of Contracts under the GA 2013.

 

In our view the initial five years term of the GA 2013 with an automatic renewal for another five years is comparable to what would be expected among third parties for a framework agreement given the previous and planed future breadth and depth of the cooperation between FME and FNC in IT matters.

 

The fact that the termination rights for individual service agreements under the GA 2013 are more flexible is reasonable for us as this would also be an important aspect among third parties to enable service and cost level control within the cooperation under the framework agreement.

 

In addition, the GA 2013 foresees a variety of detailed regulations for an orderly transition in case the GA 2013 should be terminated.

 

This is also what third parties would typically establish.

 

As a result we consider the term of the GA 2013 as comparable to what third parties would agree under comparable circumstances.

 

C.         Assessment on the pricing mechanism foreseen in the General Agreement 2013

 

The basic idea of taking the service remunerations applied under the expiring GA 2003, which was considered as fair, as basis for negotiating the terms of the new GA 2013 is plausible for us and can be expected to be applied in comparable manner among third parties.

 

The idea to establish a price list for recurring standard services including unit price per service and the related material number for a service follows the mutual economic interest of reducing fulfilment time and costs for high volume recurring customer requests. It can thus be expected to be applied among independent parties in comparable manner.

 

The fact that § 10.5 of the MSD foresees that an agreement on prices for new services and price changes for existing services has to be achieved annually during the budget process between FME and FNC is for us another indicator that the terms are comparable to what would be expected between independent parties.

 

Another strong indicator for the third party comparability of the GA 2013 is in our view the benchmarking process foreseen in § 6.8 of the GA 2013. This mechanism

 

10

 

exercises a strong pressure on both parties to keep the service prices within a competitive market range.

 

A further indicator for the parties’ efforts to establish their contractual relationship under the GA 2013 at arm’s length is the regulation stated in § 8.6 of the MSD for individual projects with a “time and material for effort” remuneration agreement.

 

Based on this regulation, FNC shall immediately inform FME and shall state reasons should the estimated and agreed upon time and material for such project be exceeded by 10% or more. Only after written approval by FME such additional costs shall be deemed accepted and refundable by FME. If FME does not respond within one business day after the receipt of FNC’s notification the progress of the individual project is agreed. FNC bears the onus of proof that such notification has been received by the respective FME project manager.

 

In addition, all project related expenditures (e.g. travel expenses, travel time, out-of-pocket expenses) which will be charged to FME by FNC have to be documented and to be acknowledged by FME in advance, unless otherwise agreed within the respective Individual Service Agreement.

 

With respect to projects it is also foreseen in § 8.7 of the MSD that FME may, at any time and at its sole discretion, terminate individual projects by giving FNC written notice thereof. On the other hand FME is than obliged to compensate FNC with 15% of the remaining budget, as agreed in the respective Individual Service Agreement for free capacities which cannot be utilized due to the termination of the Individual Service Agreement.

 

The regulations related to projects are in our view comparable to what would be expected between independent parties.

 

Another element of the pricing mechanism that ensures transparency and thus third party comparability is the fact that § 10.1 of the MSD foresees that the price model is principally based on unit prices and the actual quantity ordered and received by FME.

 

Such price model shall define charging criteria for each service depending on utilization (such as number of end devices for a defined category, number of mailboxes, file space used, etc.).

 

§ 5.1 of the Service Agreement SAP foresees a comparable principle according to which the most common pricing principles that should be applied to the SAP system families are as follows:

 

·                  Consumption based pricing calculated based upon the amount of usage

·                  User based remuneration based on number of named users

·      Lump sum based pricing

 

The type of pricing that shall be applied to a specific service shall be defined in the respective SAP Price List.

 

In our view this is basically what can be expected between independent parties.

 

11

 

D.         Assessment on the man day rate for internal resources of FNC considered in the Price List 2013

 

The man day rate stated in the Price List 2013 for internal resources of FNC amounts to 980 EUR per day.

 

As the man day rate applicable for the year 2011 under the expiring General Agreement 2003 on IT services between FME and FNC was 960 EUR, the man day rate for 2013 appears to be reasonably developed from the terms and conditions valid under the GA 2003.

 

Third parties would also be expected to take the current man day rate applicable under a valid contract as basis for their considerations during negotiations for contracts on further periods.

 

In addition, we were told that the man day rate of EUR 980 is slightly below the range of average man day rates which was derived from proposals of external IT service companies during the RFP for the project inSITE. As we were told, the average man day rates for external IT service companies were in the range from EUR 995 to 1,160. From our point of view this is an additional indicator that the man day rate of EUR 980 used for FNC’s services can be considered to be arm’s length and in line with third party behaviour.

 

Also in view of the external IT consultants’ Accenture and SAP Germany rate cards, which are quoted in the Service Level Agreement Annexes for the project inSITE for Germany with a man day rate range from EUR 1,000 to 2,650 respectively EUR 602 to 3,008 depending on role level, the man day rate of EUR 980 for FNC appears reasonable to us.

 

E.         Assessment on the expected IT cost as percentage of revenue under the terms and conditions of the GA 2013

 

Expected IT cost charged by FNC under the GA 2013

 

During the negotiations regarding the GA 2013, FME was provided by FNC with an estimate of the total IT cost resulting from FNC services governed by the GA 2013 for the years 2012 to 2022 (“FNC Cost Estimate”). The FNC Cost Estimate distinguishes between operational IT cost in four categories (SAP, Communication, Infrastructure and Other) and project related cost.

 

Basis for such cost estimate was the detailed budget discussed between FME and FNC for the year 2013. In such budget different FNC service types are stated with a specific article group number, planned quantity and planned cost.

 

Based on the information exchanged between FME and FNC concerning FME’s expectations regarding business and IT service level development during the years up to 2022, FNC has compiled the cost estimate for the two initial five years terms of the GA 2013 until the end of the year 2022.

 

12

 

According to the FNC Cost Estimate the total contract value for the 10 years period based on the current knowledge regarding the expected service levels and projects is MEUR 319 until the end of the year 2022. MEUR 246 of such expected cost are related to operational categories whereas MEUR 73 are related to projects currently foreseen.

 

An annual projection of service levels for the upcoming year is also agreed as standard between FME and FNC in § 10.3 of the MSD. According to this paragraph FNC shall provide it’s FME customers in the course of the yearly budget process with data regarding current service volumes adjusted to the known volume variations as expectation values for the following year.

 

Benchmarking of total expected IT cost for the year 2013

 

The IT cost information compiled in the FNC Cost Estimate was used to benchmark the IT cost under the GA 2013 on a plausibility level with IT cost information available from independent sources.

 

For this purpose the annual IT Spending and Staffing Benchmarks study 2011/2012 published by Computer Economics Inc. (“CE Study”) was taken as primary source of reference.

 

The key metric used for testing the adequacy of the terms established under the GA 2013 was the Total IT Spending as Percentage of Revenue.

 

Due to the availability of detailed planning data the analysis was focused on the year 2013.

 

In order to approach the relevant total IT cost for the FME region EMEALA, the IT service cost anticipated to be charged by FNC for 2013 with EUR 42,012,081 under the GA 2013 for operations and projects were taken as basis.

 

The expected IT cost under the GA 2013 taken from the FNC Cost Estimate as well as the following calculation steps are also outlined in Attachment 2 to this Fairness Opinion.

 

As we were informed by FME that the amounts charged by FNC to FME make up approximately 60% of FME’s total IT cost, the assumed amount of total IT cost was calculated by dividing the amount expected to be charged by FNC for the year 2013 by 0.6.

 

This resulted in estimated total FME EMEALA IT cost for 2013 including projects of EUR 70,020,136.

 

In order to assess the corresponding revenues for FME EMEALA, the expected FME EMEALA revenues for the year 2012 have been taken as basis. According to the information we received such revenues amount to EUR 2,910,708,661 (3,696,600,000 USD at an average rate of 1.27 USD/EUR).

 

13

 

As we were told that the Compound Annual Growth Rate (CAGR) of such sales is expected to be 8% over the next years, the relevant FME EMEALA sales for 2013 have been assumed with EUR 2,910,708,661 * 1.08 = EUR 3,143,565,354.

 

The calculated expected total IT Spending as percentage of revenue for FME EMEALA 2013 is thus 2.23 %. This percentage was than compared to the available benchmarks from the CE Study.

 

According to this CE Study, total IT spending as percentage of revenue for organizations across all sectors is 2.00% of revenue at the median, ranging from 1.00% at the 25th percentile to 3.5% at the 75th percentile. The 25th percentile and the 75th percentile show the range of values for the sample within the benchmark study, within which half of the organizations fall (“inter quartile range”).

 

As a conclusion, FME’s expected IT spending for 2013 including projects, which is mainly driven by FNC charges under the planned GA 2013, lies close to the median of companies benchmarked across all sectors in the PE study in terms of total IT spending as percentage of revenue.

 

Taking also into consideration the industry specific benchmark ranges published in the PE study for total IT spending as percentage of revenue, FME EMEALA’s calculated value of 2.23% for 2013 lies within the inter quartile range for Discrete Manufacturing ranging from 1.10% at the 25th percentile to 2.3% at the 75th percentile with a median of 1.6% and is slightly below the inter quartile range for Healthcare Providers lasting from 2.30% at the 25th percentile to 4.9% at the 75th percentile with a median of 3.6%.

 

An additional corroboration with the total IT Spending as Percentage of Revenue for 2010 published in Gartner Inc.’s annual report 2011 of IT spending and staffing metrics for Pharmaceuticals, Life Sciences and Medical Products with 3.3%, for Healthcare Providers with 3.2% and for Industrial manufacturing with 1.9% confirmed that the total IT spending as percentage of revenue that is expected by FME and FNC for FME EMEALA after conclusion of the GA 2013 is within a range that can also be expected for independent companies.

 

Benchmarking of operational IT cost for the year 2013

 

The same logic used for total IT spending was applied to the operational IT cost expected to be charged by FNC to FME under the GA 2013 for 2013 as additional corroboration.

 

The operational IT cost expected to be charged by FNC according to the FNC Cost Estimate were assumed to represent 60% of FME EMEALA’s operational IT spending. The total operational IT spending was thus derived by dividing the expected operational FNC charges by 0.6. The resulting amount was then divided by the expected FME EMEALA revenue for 2013 as already outlined above.

 

As a result FME EMEALA’s calculated total operational IT cost for the year 2013 amount to 1.16% of the revenue expected for 2013.

 

14

 

The inter quartile range for IT operational budgets as percentage of revenue across all sectors which can be taken from the PE Study lasts from 0.90% to 3.20% with 1.60% as median.

 

Consequently also FME’s expected operational IT spending for 2013 excluding projects, which is mainly driven by FNC charges under the planned GA 2013, lies within the inter quartile range of companies benchmarked in the PE study in terms of operational IT budget as percentage of revenue.

 

Taking into consideration also the industry specific benchmark ranges published in the PE study for operational IT spending as percentage of revenue, FME EMEALA’s calculated value of 1.16% for 2013 lies within the inter quartile range for Discrete Manufacturing ranging from 1.0% at the 25th percentile to 2.0% at the 75th percentile with a median of 1.4% and is below the inter quartile range for Healthcare Providers lasting from 1.6% at the 25th percentile to 3.6% at the 75th percentile with a median of 2.5%.

 

This confirms that the operational IT spending as percentage of revenue expected by FME and FNC for FME EMEALA after conclusion of the GA 2013 is within a range that can also be expected for independent companies.

 

Development of assumed IT cost

 

Based on the expected FNC IT cost charges for the years 2014-2022 under the GA 2013 as outlined in the FNC Cost Estimate, the development of IT Spending as Percentage of Revenue has been compared to the benchmarks that can be taken from the CE study.

 

For this purpose the total expected IT Spending for the years 2014-2022 was derived from the FNC charges outlined in the FNC Cost Estimate by dividing them by 0.6.

 

In addition it was assumed that FME EMEALA revenues increase with a CAGR of 8% until 2022 as informed by FMCD.

 

Under these assumptions taken by FME and FNC, the IT operational budget as percentage of revenue decreases from 1.10 % in 2014 to 0.73% in 2022.

 

The total IT spending as percentage of revenue decreases from 1.82% in 2014 to 0.83% in 2022.

 

Although the accuracy of the underlying data does certainly diminish due to the long term under consideration, the calculation nevertheless indicates in our view that the expected IT cost mainly driven by FNC charges under the GA 2013 come close to the benchmark inter quartile ranges known from the 2011/2012 PE study.

 

Summary

 

As a summary the FME EMEALA IT cost level mainly driven by the FNC charges under the GA 2013 as forecasted by FNC and FME is in our view comparable to what can be benchmarked from independent sources in terms of percentage of revenue.

 

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This is a clear indicator for us that the terms and conditions of the GA 2013 are comparable to what independent parties would be expected to agree.

 

V.                 Conclusion with regard to the plausibility of the considerations made by FME and FNC regarding terms and conditions under the General Agreement 2013 compared to what would be expected among third parties

 

On the basis of the information provided to us we have not identified areas where the considerations made by FME and FNC regarding terms and conditions for the conclusion of a General Agreement 2013 deviate significantly from the considerations that may be expected between two independent parties at this stage of the negotiation of a contract.

 

We therefore conclude that these considerations are plausible compared to what would be expected between two independent parties at this stage.

 

This report is backed by two attachments that were provided by FME and FNC as basis for our work as well as by the General Terms and Conditions as of May 2012.

 

The report was prepared to the best of our knowledge and ability. It is based on the examination and discussion of the information and documentation made available to us by FME and FNC.

 

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VI.            Notes to our professional statement

 

This professional statement is based on documents and oral information provided to us. If the facts or assumptions underlying this professional statement prove to be incorrect or change, this may affect the validity of this professional statement.

 

This professional statement is based on the law as of the date of this professional statement and reflects our interpretation of the applicable laws and regulations and the corresponding court rulings.

 

In the course of time, laws, their interpretation and court rulings may change. Such changes may necessitate a revision of this professional statement.

 

Please note that we are not obliged to review and revise this professional statement in the event of changes in the underlying facts, assumptions, laws or court rulings, unless we are engaged to do so.

 

This professional statement was prepared solely for our client on the basis of the engagement agreement concluded between the client and ourselves. It is not intended to serve third parties as basis for their decisions. Third parties’ notice of its contents is entirely at their own risk. We have no obligation, responsibility or duty of care towards third parties (reliance restricted), unless otherwise confirmed to a third party in advance in writing.

 

****

 

Ernst & Young GmbH
 Wirtschaftsprüfungsgesellschaft

 

	
/s/ Oliver Wehnert
    	
 
    	
/s/ ppa. Thomas Wilwers
    
	
Oliver Wehnert
    	
 
    	
ppa. Thomas Wilwers
    
	
Partner
    	
 
    	
Senior Manager
    

 

17

 

Attachment 1:              General Agreement 2013 between FME und FNC (“GA 2013”), dated 17 December 2012

 

I

 

General Agreement 2013

 

between

 

Fresenius Medical Care AG & Co. KGaA

Else-Kröner-Straße 1

D-61352 Bad Homburg

(„FME”)

 

and

 

Fresenius Netcare GmbH

Else-Kröner-Straße 1

D-61352 Bad Homburg

(„NETCARE”)

 

	
Current status
    	
:
    	
17.12.2012
    
	
Last printed
    	
:
    	
17.12.2012
    
	
Version
    	
:
    	
1.0
    

 

Index

 

	
Preamble
    	
3
    
	
1.
    	
Contractual   Structure and Scope of Application
    	
5
    
	
2.
    	
NETCARE’s   Duties
    	
8
    
	
3.
    	
Use   of Subcontractors
    	
9
    
	
4.
    	
FME’s   duties
    	
10
    
	
5.
    	
Cooperation
    	
11
    
	
6.
    	
Prices, Invoice,   Payments
    	
11
    
	
7.
    	
Governance   Structure and Change Request Procedure
    	
12
    
	
8.
    	
Confidentiality
    	
14
    
	
9.
    	
Privacy   Law/Safety/Compliance with GxP/Order-Data Processing
    	
15
    
	
10.
    	
Order-Data   Processing (auftragsdatenverarbeitung)
    	
16
    
	
11.
    	
Rights   of Use and Intellectual Property RIGHTS
    	
20
    
	
12.
    	
Defects   AND Warranty
    	
21
    
	
13.
    	
Liability
    	
22
    
	
14.
    	
Penalties
    	
24
    
	
15.
    	
Term   and Termination
    	
24
    
	
16.
    	
Effect   of Termination/Expiration
    	
25
    
	
17.
    	
Governing   Law, Arbitration
    	
27
    
	
18.
    	
Miscellaneous
    	
27
    

 

2

 

GENERAL AGREEMENT

 

This agreement is made and entered into on 01.01.2013 by and among Fresenius Medical Care AG & Co. KGaA, Else-Kröner-Straße 1, 61352 Bad Homburg v. d. H. (“FME”) and Fresenius Netcare GmbH, Else-Kröner-Straße 1, 61352 Bad Homburg v. d. H. (“NETCARE” and together with FME, the “Parties” and each a “Party”).

 

PREAMBLE

 

(A)                            FME is the parent company of a group that manufactures and distributes dialysis-related products and provides dialysis services.

 

(B)                            NETCARE is a provider of IT services.

 

(C)                            The Parties entered into a General Agreement dated 8 December 2003 to provide for a legal framework under which NETCARE provided IT services to FME. The term of such General Agreement will expire on 31 December 2012.

 

(D)                            The Parties intend to continue the existing contractual relationship by entering into this General Agreement (hereinafter referred to as the “General Agreement”).

 

(E)                             FME, in its own name and on behalf of its current and future affiliates (as listed in Attachment 1 to this Agreement, as amended once a year in accordance with the procedure defined in the MSD), for each limited to users located in the Territory (“Territory” exclusively meaning: FME regions Europe, Africa, Middle East and Latin America, the “FME EMEALA”) and NETCARE intend to agree upon the parameters of their cooperation with respect to services in the field of information technology. This General Agreement and its Annexes and Service Agreements shall describe the services to be provided by NETCARE to FME and the terms and conditions under which the services will be provided and of the cooperation between the Parties with the intention to continue the long term business relationship in the same manner as under the expired General Agreement.

 

(F)                              NETCARE has the expertise, knowledge and capacity to provide the IT services under this General Agreement. Based on its previous role as service provider to FME, NETCARE is prepared to assume and render the services, functions and projects described in the Set of Contracts (as defined below) to FME.

 

(G)                            Such cooperation shall be governed by the following principles both Parties have accepted:

 

(i)       Information Technology to support the FME business

 

(ii)      Partnership

 

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(iii)                               Transparency

 

(iv)                              Competitiveness

 

(v)                                 Economic benefits and

 

(vi)                              Safety

 

(vii)                           Compliance

 

(H)                           Information Technology to Support FME business. The maxim of the FME EMEALA IT-strategy is to support the business units of FME through the use of information technologies efficiently. According to such maxim, technology is a method serving such purpose consequently and must not become an end in itself. Subject to the terms and conditions of this General Agreement, the Annexes and Service Agreements thereto, “Efficiently” in this context means the use of software close to the standard, the avoidance of custom-developments and, in given cases and subject to written -agreement thereon, the repatriation of uneconomic modifications deviating from the standard.

 

(I)                                Partnership. Reliable and high performing information technology may be achieved only in close collaboration between the Parties. Amicable collaboration in this context shall mean frequent communication through established channels of communication as defined in this General Agreement and a common pursuit for achieving goals. Cases of controversy shall be discussed openly and settled amicable. When using their discretion, both Parties shall in no instance disregard the other Party’s interests involved.

 

(J)                                Transparency. Either Party shall inform the respective other Party of projects which may affect the collaboration under this General Agreement in due time via the established communication channels as described within this General Agreement. Parties shall undertake to provide data for plausibility analysis if required by the General Agreement, Annexes or Service Agreements thereto.

 

(K)                           Competitiveness. Both prices and services or goods rendered shall be competitive to market prices. NETCARE shall be responsible for keeping its compensation scheme proportionate to the costs incurred. Savings earned through joint projects shall be allocated fairly. Pricing and price changes shall be discussed between the Parties and shall be jointly settled. FME may commission benchmark opinions by third Parties. NETCARE shall undertake to assists in such benchmark projects.

 

(L)                             Economic effects. It is understood that FME desires to save costs by means of information technology. It shall be a continuous task of both Parties to determine and to realize possible cost saving potentials made available by the use and operation of information

 

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technology. However, cost saving measures shall not adversely affect the scope and quality of services rendered under the terms and conditions of any Annex or Service Agreement. (Both Parties are aware, that although the prices per user are envisioned to be decreasing the total cost may increase due to an increasing number of users and additional functionality). The goal of performing cost saving measures shall be a common one even though the intent of NETCARE to make profits contradicts FME’s desire to lower cost at first sight.

 

(M)                         Safety. FME shall have unhindered access to its proprietary data. However, unauthorized access by third Parties and employees shall be prevented. NETCARE may not misuse data security rationale for denying FME access to data, e.g. preventing FME to undertake additional data analysis with IT technology which is not covered by this General Agreement.

 

(N)                            Compliance. The Parties acknowledge that FME as a company with its business in the medical and pharmaceutical industry operates in a regulated market and is subject to certain legal and regulatory requirements, including, but not limited to GxP, SOX and data protection. NETCARE shall provide the services in a manner required by FME to ensure compliance of FME with such legal requirements and NETCARE shall reasonably assist FME upon request in complying with such legal requirements as far as the legal requirements impose requirements on the IT services and FME has notified NETCARE of the relevant requirements.

 

(O)                            Third Party comparison. Furthermore, this General Agreement and the Set of Contracts (as defined below) shall be drafted and construed without taking into account that the Parties are affiliated companies. Therefore, this General Agreement and modules attached hereto shall be in accordance with arm’s length principles and stand third Party comparison. In order to achieve this purpose, FME and NETCARE have commissioned Ernst & Young GmbH Wirtschaftsprüfungsgesellschaft to issue a fairness opinion on the comparability of the terms and conditions of this present Set of Contracts with third Party agreements. The fairness opinion is attached hereto as Attachment 2.

 

1.                                   CONTRACTUAL STRUCTURE AND SCOPE OF APPLICATION

 

1.1                            The complete agreement between the Parties and the contractual structure defined as “Set of Contracts” consists of:

 

a)                                        this General Agreement; and

 

b)                                         related documents (the Annexes) such as:

 

(i)   Master Service Description;

 

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(ii)               Glossary

 

(iii)            Fairness Opinion

 

c)                                         Service Agreements

 

(i)                  Standard Service Agreements

(ii)               Individual Service Agreements;

 

 

1.2                            The Set of Contracts is structured in a modular basis:

 

a)                                  This General Agreement provides the legal framework that shall govern the cooperation between, and the overall relationship and general obligations of, the Parties. The provisions in this General Agreement shall apply as a general agreement to all Annexes and Service Agreements hereto between FME and NETCARE on services provided in the area of information technology.

 

b)                                  The Service Agreements, as mutually agreed, will define specific Services and provide detailed provisions on individual Services.

 

1.3                            The following details shall be provided at a minimum:

 

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a)                                    Master Service Description (MSD)

 

(i)             The MSD defines general processes, requirements and conditions for each Service or qualities for the Services.

 

(ii)          MSD defines testing and acceptance procedures as well as general acceptance criteria for the Services.

 

(iii)       MSD shall define the extent, type and purpose of the intended collection, processing or use of personal data, the type of data and categories of data subjects, if applicable to the type of services.

 

b)                                    Service Agreements

 

(i)             a specified description of the scope and the subject of the Services to be performed by NETCARE.

 

(ii)          time and location of performance of Services.

 

(iii)       tasks to be performed by FME and FME’s assistance.

 

(iv)      reimbursements and service fees.

 

(v)         definition of service levels and measure procedure.

 

1.4                           Existing contracts already created as Annexes under the former General Agreement as of 8th December 2003 and not terminated until 31.12.2012 shall become an integral part of the Set of Contracts and shall remain in effect subject to the terms of this General Agreement without amendment under this General Agreement until their regular termination.

 

1.5                           In cases of contradictions, clauses in Annexes shall supersede the clauses in this General Agreement, and clauses in Individual Service Agreements or Standard Service Agreements shall supersede the clauses in the General Agreement and the Annexes.

 

1.6                           The individual Services to be provided by NETCARE may qualify as service, work, rent or similar type of contract under civil law or a combination of various types of contracts defined under civil law. The Parties shall mutually agree and define the relevant obligations and the type of contract in a Service Agreement, as far as possible, in order to clarify the applicable legal regulations and obligations of the Parties;

 

1.7                           For the avoidance of doubt, the contractual provisions and principles set forth in the General Agreement, including but not limited to regulatory, data protection, shall only be subject to change in accordance with the change request procedure pursuant to

 

7

 

Section 7.

 

1.8                            This General Agreement shall govern all future Services ordered by FME or any of FME EMEALA’s affiliates and rendered by NETCARE to FME or any of FME EMEALA’s affiliates, even where no explicit reference is made hereto, unless the applicability of the General Agreement has been explicitly excluded.

 

2.                                   NETCARE’S DUTIES

 

2.1                            NETCARE will provide Services in the area of information technology to FME. Individual Services and details are specified in the Annexes and Service Agreements.

 

2.2                            NETCARE shall

 

a)                                  render the Services in accordance with the provisions defined in the Set of Contracts and, where applicable and where defined, at the place/location defined in a specific service description in a Service Agreement or, if not defined, at the location mutually agreed by both Parties;

 

b)                                  render its Services in compliance with applicable statutory accident prevention regulations, applying to NETCARE and FME, if notified by FME of the relevant regulations, as well as applicable statutory health and safety regulations;

 

c)                                   deliver services in compliance with the current state of the art, as applicable from time to time, according to best practice, and free of material Defects with respect to specifications for the Services.

 

d)                                  comply, and procure that any of its sub-contractors complies, with FME’s security and control regulations and systems provided that NETCARE has been notified hereof at a reasonable time before the commencement of NETCARE’s performance.

 

e)                                   procure licenses as agreed in Section 11.

 

f)                                    provide and use appropriate verification tools to monitor and measure compliance with any service levels agreed in a Service Agreement, whereas such verification tool shall be appropriate if it measures the items to be measured according to the verification method agreed between the Parties in connection with such service level; whether non-compliance with agreed service levels results in legal consequences shall be agreed in the relevant Annex or Service Agreement.

 

g)                                   be obliged to comply with the license terms of the third party licensor and not use the software in violation of such license. In particular, NETCARE shall notify

 

8

 

FME of any violations of such license agreement and terms defined therein.

 

h)                                  allow FME or an agent of FME to audit whether NETCARE’s use of the software is consistent with the rights granted to NETCARE herein upon request by FME and provided there is a legitimate interest therein and to give full cooperation to FME or its agent carrying out such audit. In case of an audit by the licensor with respect to compliance of FME with the licensing conditions, NETCARE shall reasonably assist FME in providing the information reasonably requested by the licensor in connection with such audit.

 

2.3                            Unless explicitly agreed otherwise between the Parties, NETCARE shall not be obliged to consult with FME when modifying or changing any hard- or software, or amending any system, used for rendering a Service, unless the modification or change adversely affects the performance of NETCARE or the compliance with any service levels agreed or the compliance with privacy law;

 

2.4                            NETCARE is not obliged to deliver the source code unless such obligation is agreed upon in the Service Agreements.

 

3.                                   USE OF SUBCONTRACTORS

 

3.1                            NETCARE may use subcontractors for rendering the services in its own discretion. In no event will NETCARE be relieved of its obligations under this General Agreement as a result of its use of any subcontractors. NETCARE shall inform FME of any subcontractors used upon written request of FME.

 

3.2                            NETCARE’s obligations for imposing duties of secrecy and compliance with an obligation towards FME on subcontractors shall be governed by Section 8 and 9 and NETCARE shall ensure that all subcontractors are subject to and comply with the same obligations as are imposed on NETCARE under the terms agreed in the Set of Contracts.

 

3.3                            If FME determines that a subcontractor has to be replaced for good reasons, FME shall notify NETCARE explaining the reasons for such a replacement. Following receipt of this notification, NETCARE will promptly, or within such period of time reasonably agreed by the Parties, replace such a subcontractor by another third party or by NETCARE’s personnel. A good reason exists, in particular, if

 

a)                                  a supervisory authority objects to or prohibits the engagement of a specific subcontractor or the subcontracting with respect to the services rendered by the subcontractor;

 

9

 

b)                                  any rights or interests of FME or any of its affiliates with respect to confidentiality, data protection or data security are at risk;

 

c)                                   a subcontractor engaged in data processing relocates its activities or the data processing or parts thereof to a country outside of the EU;

 

d)                                  a competitor of FME holds or acquires more than 25% of the interests or voting rights in the subcontractor.

 

4.                                   FME’S DUTIES

 

4.1                            FME shall

 

a)                                  provide all required reasonable assistance and co-operate with NETCARE including

 

·                  the assignment of competent staff to a reasonable extent for problem solution.

 

·                  the assignment, supervision and control of FME staff and capacities.

 

·                  the assurance that FME employees will comply with FME’s guidelines implemented for the use of the services, data and applications.

 

b)                                  provide to NETCARE all relevant information and documentation reasonably required by NECTARE for the provision of the Services under the Set of Contracts, including any (internal) guidelines or regulations NETCARE shall comply with when providing the Services.

 

c)                                   if required, grant NETCARE and its agents and subcontractors access to FME’s premises and equipment free of charge for the time reasonably expectable for an appropriate performance under this Set of Contracts, at least during FME’s regular business hours.

 

d)                                  assist and cooperate with NETCARE in implementing any changes or system requirements, i.e. by allowing NETCARE to train FME personnel.

 

e)                                   be obliged to comply with the license terms of the third party licensor and not use the software in violation of such license. In particular, FME shall notify NETCARE of any violations of such license agreement and terms defined therein.

 

f)                                    allow NETCARE or an agent of NETCARE to audit whether FME’s use of the software is consistent with the rights granted to FME herein upon request by

 

10

 

NETCARE and provided there is a legitimate interest therin and to give full co-operation to NETCARE or its agent carrying out such audit. In case of an audit by the licensor with respect to compliance of NETCARE with licensing conditions, FME shall reasonably assist NETCARE in providing the information reasonably requested by the licensor in connection with such audit.

 

4.2                            The Parties shall agree on the specifications of any required assistance and co-operation in connection with a service and an Annex or Service Agreement.

 

5.                                   COOPERATION

 

5.1                            The Parties shall

 

a)                                   co-operate in good faith;

 

b)                                 appoint relevant key personnel with respect to the overall management of the Set of Contracts and the cooperation between the Parties and shall ensure that such key personnel will only be replaced for good cause;

 

c)                                  appoint responsible personnel and contact persons for the coordination and general management of the Services under this General Agreement, the MSD, other Annexes and Service Agreements;

 

d)                                 inform the other Party of any circumstances that may have an impact on the provision of the services and result in a default with respect to the services as well as any actual default or remedy of defaults;

 

e)                                  agree on and comply with a defined communication and escalation process which shall leave the obligations of the Parties under the Set of Contracts unaffected, in particular any retention rights or rights to non-performance shall be excluded;

 

f)                                   co-operate and provide reasonable assistance for transition and migration of the relevant services after termination of any Annex, Service Agreement or this General Agreement.

 

g)                                  agree on the performance of license management for FME.

6.                                   PRICES, INVOICE, PAYMENTS

 

6.1                            All prices, conditions of payment, and schedules are subject to written agreements, and shall be as defined in the MSD and the Service Agreements, if Individual Services are concerned. As regards Standard Services, fees shall be equal to the up-to-

 

11

 

date prices listed in the price list for standard services of NETCARE, published, updated and agreed with FME each year.

 

6.2                            Services, where no fees have been agreed, shall be rendered according to the hourly or daily rate in accordance with latest price list as per 6.1.

 

6.3                            Prices shall be renegotiated and reasonably be modified if a Service Agreement is modified or amended.

 

6.4                            A price adjustment clause may be incorporated if applicable in any individual Service Agreement.

 

6.5                            Prices are net prices plus the applicable VAT (value added tax, in Germany currently 19%) and as determined in the specific Service Agreement.

 

6.6                            Payments hereunder shall be made in EURO.

 

6.7                            The payment terms should be agreed between NETCARE and the respective affiliate invoiced in a separate or the relevant Service Agreement. For Germany payment terms shall be according to the applicable Fresenius group procedures. A written invoice shall be provided to the respective affiliate even though the booking is done by EDI. Outside Germany, a payment range between 30 —60 days shall be applied.

 

6.8                            Overall NETCARE shall offer to FME competitive prices in the average for a Group of Services, based on the costs for the individual Services. FME shall be entitled to request a review of the prices for a Group of Services. Upon such request, the Parties shall make a benchmarking evaluation. If NETCARE’s prices are out of market range after such benchmarking evaluation, FME shall have the right to request an alternative offer from NETCARE within a period of one month after the benchmarking results. NETCARE shall have a period of three month to prepare such an offer. If FME accepts the alternative offer, acceptance may not be unreasonably withheld, adjusted pricing shall apply with retrospective effect from the date of receipt of FME’s request for an alternative offer. The same procedure shall apply as far as NETCARE’s prices are below market prices whereas NETCARE shall be entitled to submit the alternative offer to FME without request from FME and FME shall be obliged to reasonably accept the alternative offer. If a benchmark of the prices for a Group of Services has been conducted, FME shall not request another review for the next three years after completion of the benchmarking process. Upon request, the Parties shall make a benchmarking evaluation.

 

7.                                   GOVERNANCE STRUCTURE AND CHANGE REQUEST PROCEDURE

 

7.1                            The Parties agree to implement and appoint certain committees and boards for the

 

12

 

coordination of the cooperation between the Parties. The governance structure shall have the following three levels:

 

a)                                  Management Board: strategic level

 

b)                                  Steering Committee: tactical level

 

c)                                   Operation Units: operational level.

 

7.2                            Obligations and tasks of each level, the constitution and composition of each level as well as escalation procedures shall be governed by and defined in the MSD.

 

7.3                            Each Party shall have the right to request in writing a change to the contractual arrangements between the Parties, as agreed in the Set of Contracts, including the processes defined in the MSD, the Services or specifications.

 

a)                                  Changes with an impact on the specifications or scope of the Services shall be subject to the change procedures defined in the MSD. The following provisions shall apply to any changes to the contractual provisions of this General Agreement or any processes defined in the MSD, the Attachments or any general provisions in the Annexes or Service Agreements that are meant to provide a deviation from the provisions in this General Agreement or the MSD and that do not have an impact on the content or scope of a Service, the service fees or alike (“Contractual Change”).Subject to the terms and conditions of this General Agreement, NETCARE shall undertake to comply with FME’s reasonable requests for a Contractual Change provided that the Parties have agreed in writing on the effects of any Contractual Change on this General Agreement or its Annexes.

 

b)                                  If provisions in the Set of Contracts are erroneous, incomplete, ambiguous, or impossible to fulfill for anybody, the Parties shall upon request of one Party decide without undue delay on modifying and completing such provisions.

 

c)                                   If changes in applicable laws, orders of authorities or courts have an impact on the Services or the Set of Contract or make changes to the Services or Set of Contract necessary, NETCARE shall implement such changes upon request of FME or in its own discretion provided that NETCARE will inform FME of such change. The Parties will mutually and reasonably agree on the relevant contractual changes necessary.

 

d)                                  Neither Party shall unreasonably withhold or delay its consent to a Contractual Change. Any Contractual Change agreed between the Parties shall be made in writing and signed by the Parties.

 

13

 

e)                                   Contractual Changes shall be discussed and agreed on the level of the Steering Committee.

 

8.                                   CONFIDENTIALITY

 

8.1                            Each Party shall keep strictly confidential

 

a)                                   all documents, information, and data, and

 

b)                                  all trade secrets or confidential information proprietary to one of the Parties or a third Party disclosed to her or obtained by her incidental to the cooperation under the Set of Contracts (Confidential Information). Confidential Information shall include without limitation know-how, details of orders, contractual provisions and prices.

 

8.2                            The Parties shall disclose Confidential Information as defined in Section 8.1 to third Parties only upon prior written consent of the other Party. The Parties shall put all third Parties or companies who may receive Confidential Information or who are retained under this General Agreement under the same obligations as the respective Party has entered into.

 

8.3                            Subcontractors obtained by NETCARE shall not qualify as third parties under Section 8.2, provided that such subcontractors are under an obligation to keep information confidential at least as protective as the confidentiality provisions under this General Agreement and that the breach of such obligation shall be punishable by an adequate penalty. Confidential Information shall only be disclosed to subcontractors on a need to know basis.

 

8.4                            This obligation to keep confidential does not include

 

a)                                 information which is now or hereafter becomes part of the public domain in other ways than by faults, acts or omissions of the Receiving Party;

 

b)                                 information which hereafter lawfully comes into the Receiving Party’s possession from an independent third source without any obligation of secrecy;

 

c)                                  information which the Receiving Party can show by sufficient evidence was in the Receiving Party’s possession prior to the time of receipt from the Disclosing Party, or information or knowledge which was independently developed by or for the Receiving Party without access to any of the Confidential Information disclosed hereunder.

 

d)                                 information which the Receiving Party has an obligation or duty to disclose under applicable law or by order issued by the competent courts, provided

 

14

 

Disclosing Party is given a reasonable opportunity to review the planned disclosure and discuss the need for such with Receiving Party prior to the actual disclosure;

 

8.5                            FME shall ensure that any user names and passwords are kept confidential and that only authorized users use the Services and licenses rendered by NETCARE. User names and passwords shall not be disclosed to an third Party and shall be kept confidential in order to prevent access of not authorized third Parties.

 

9.                                   PRIVACY LAW/SAFETY/COMPLIANCE WITH GXP/ORDER-DATA PROCESSING

 

9.1                            NETCARE shall comply with the data protection, data safety and security obligations imposed on FME by the applicable laws and regulations and the provisions of the Network Security Guideline of Fresenius Medical Care AG & Co. KGaA provided to NETCARE by FME.

 

9.2                            For that reason and according to requirements imposed on FME by law, regulations and safety aspects, FME has to insist on the obedience of the following terms and conditions. NETCARE acknowledges these terms and conditions as being mandatory for FME to comply with laws, regulations and safety aspects and for the fulfillment of FME’s business.

 

9.3                            NETCARE shall be liable to FME that

 

a)                                  NETCARE follows FME’s instructions with regard to the creation and implementation of user profiles; and

 

b)                                  system architecture shall maintain the security and consistency of the data, and access by FME officers, employees and agents shall be according to the user profiles; and

 

c)                                   each of FME’s employees shall have unhindered access to FME’s proprietary data unless such access is restricted by the user profile and/or FME’s other instructions; and

 

d)                                  no third Party (including employees or representatives of further companies of the Fresenius SE & Co. KGaA group of companies) shall, at any time, have access to FME’s data.

 

9.4                            FME shall be entitled to audit and/or qualify NETCARE with respect to the current quality management system and the quality management system envisioned to be implemented under section 9.5, the internal control system prescribed by FME’s corporate governance regulations, and/or, at FME’s choice, to let have an external auditor audit and/or qualify NETCARE once a year, or as deemed necessary, but reasonably

 

15

 

acceptable for NETCARE, in order to assure that NETCARE complies with its contractual obligations. Prior to such FME or third Party audit, FME shall give NETCARE timely prior written notice and FME or third Party access shall be limited to NETCARE’s normal business hours.

 

9.5                            NETCARE shall be obliged to maintain a quality management system meeting the requirements agreed in a separate quality assurance agreement. The quality assurance agreement shall define responsibilities, scope, regulatory requirements, validation and documentation requirements, among others.

 

9.6                            In general Netcare shall ensure that FME’s GxP-critical applications and data, as expressly defined by FME, are maintained and archived in a GxP-compliant way. Netcare shall ensure that all FME GxP-critical systems, applications and data will be operated GxP-compliant in accordance to the specifications as set forth in the applicable Service Agreement and instructions of FME. Further requirements concerning archiving and disaster recovery as well as how FME and Netcare work in GxP-critical projects shall be defined in the quality assurance agreement.

 

9.7                            Whenever FME shall be obligated by the applicable laws, regulations or requirements imposed on FME by the competent authorities or agencies to change, amend or modify its quality as well as corporate governance standards in order to fulfill the regulatory requirements for FME’s business, NETCARE shall be obligated to follow any of such FME’s requests in order to comply with any such changes, amendments or modifications. Any changes shall be made by applying the change procedures defined in this General Agreement or the MSD, as applicable.

 

9.8                            FME’s business is strongly regulated by governmental authorities. Due to regulation changes FME may be forced to changed business processes that may also affect NETCARE’s duties and may require NETCARE to exceed any current standards, i.e.the requirements defined in the quality assurance. As far as the implementation of such changes triggers any material costs NETCARE shall inform FME before implementation of such changes or requirements. Both Parties shall agree in accordance with the change procedures defined in this General Agreement or the MSD, as applicable, on the implementation of such changes and document in writing such changes and related costs. FME shall compensate NETCARE for any costs related to such changes based on the related effort and expenses.

 

Any measures and related costs in connection with the implementation, application and maintenance of any internal control system required by FME or FME’s corporate governance regulations shall be agreed in a separate Annex or Service Agreement.

 

16

 

10.                            ORDER-DATA PROCESSING (AUFTRAGSDATENVERARBEITUNG)

 

10.1                     The Parties acknowledge that NETCARE (as the processor) will provide services to FME (as the controller) on basis of order-data processing (Auftragsdatenverarbeitung). The following rules apply to all activities in which the staff of NETCARE or a third party acting on behalf of NETCARE may come into contact with Personal Data of FME. Personal Data means any individual element of information concerning the personal or material circumstances of an identified or identifiable natural person (individual).

 

10.2                     Duration (term) and subject of the order-data processing shall be defined in the Master Service Description, the Standard Service Agreement or the Individual Service Agreement – whichever is applicable.

 

10.3                     The extent, type and purpose of the intended collection, processing or use of personal data, the type of data and categories of data subjects are stipulated in Section 1 of this General Agreement.

 

10.4                     NETCARE shall take the appropriate technical and organizational measures to adequately protect FME’s Personal Data against misuse und loss in accordance with requirements of section 9 of the German Federal Data Protection Law (Bundesdaten-schutzgesetz; hereinafter: BDSG). The measures are defined in the Master Service Description and may be expanded in Standard Service Agreements or Individual Service Agreements.

 

10.5                     The technical and organizational measures are subject to technical progress and development, and NETCARE may implement adequate alternative measures in accordance with Section 7.3 of this General Agreement. These must not however fall short of the level of security provided by the specified measures. Any material changes must be documented.

 

10.6                     FME and NETCARE are aware of the fact that, at present, NETCARE operates its services under the Set of Contracts through a “one-client-system”, i. e. FME and further companies of the Fresenius SE & Co. KGaA group of companies are within the same “client-system”.

 

10.7                     NETCARE is obliged to rectify, erase or block the Personal Data processed in accordance with the reasonable instructions of FME. NETCARE shall take the necessary precautions to ensure that Personal Data can be rectified, erased or blocked in its systems.

 

10.8                     If a data subject (individual person) should apply directly to NETCARE to request the correction or deletion of his Personal Data, NETCARE must forward this request to FME without delay, unless the correction or deletion is part of the specific service.

 

10.9                     NETCARE shall collect, process and use Personal Data only within the Set of Contracts.

 

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NETCARE may not use Personal Data for any other purposes, including its own purposes.

 

10.10             NETCARE shall ensure that any personnel entrusted with processing FME’s Personal Data have undertaken to comply with the principle of data secrecy in accordance with section 5 of the BDSG and have been duly instructed on the obligations of NETCARE to protect Personal Data. The obligation of confidentiality shall continue after their employment ends.

 

10.11             NETCARE shall monitor compliance with the provision of this section by means of regular tests.

 

10.12             Where stipulated by law, NETCARE shall appoint a data protection officer, able to discharge his duties as set out in sections 4f and 4g of the BDSG. The officer’s contact details must be supplied to FME to enable direct contact to be made.

 

10.13             Upon FME’s request, NETCARE shall provide all information necessary for compiling the overview defined by section 4g (2) sentence 1 of the BDSG.

 

10.14             NETCARE may use sub-contractors according to Section 3 of this General Agreement.

 

10.15             FME must be granted the right to monitor and inspect the sub-contractor in all cases of order-data processing.

 

10.16             In addition to Section 10.7 of this General Agreement, FME may carry out the job control stipulated in No. 6 of the annex to the BDSG, or appoint auditors to do so.

 

10.17             NETCARE shall provide FME with the information required to meet its job control obligation, and shall make the necessary documentation available.

 

10.18             With regard to the monitoring obligations of FME under section 11 (2) sentence 4 BDSG before the start of data processing and throughout the term of the commission, NETCARE must ensure that FME can confirm adherence to the technical and organizational measures taken. For this purpose, NETCARE must provide FME upon request with evidence of the implementation of the technical and organizational measures pursuant to section 9 of the BDSG and the annex thereto. Evidence of the implementation of any measures that do not only affect the specific commission may also be presented in the form of up-to-date attestations, reports or extracts thereof from independent bodies (e.g. external auditors, internal audit, the data protection officer, the IT security department or quality auditors) or suitable certification by way of an IT security or data protection audit.

 

10.19             In addition to Section 5 of this General Agreement, NETCARE shall notify FME in all

 

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cases of violations of data protection provisions.

 

10.20             Where FME’s Personal Data becomes subject to search and seizure, an attachment order, confiscation during bankruptcy or insolvency proceedings, or similar events or measures by third parties while being processed, NETCARE shall inform FME without undue delay. NETCARE also shall, without undue delay, notify to all pertinent parties in such action, that any Personal Data affected thereby is in FME’s sole property and area of responsibility, that Personal Data is at FME’s sole disposition, and that FME is the responsible body in the sense of the BDSG.

 

10.21             The Parties are aware that section 42a of the BDSG may impose a duty to inform in the event of the loss or unlawful disclosure of Personal Data or access to it. Such incidents should therefore be notified by NETCARE to FME immediately, regardless of their origin. This also applies to serious operational faults or where there is any suspicion of an infringement of provisions relating to the protection of Personal Data or other irregularities in the handling of Personal Data belonging to FME. In consultation with FME, NETCARE must take appropriate measures to secure the data and limit any possible detrimental effect on the data subjects. Where obligations are placed in FME under section 42a of the BDSG, NETCARE must assist in meeting them.

 

10.22             FME is responsible for compliance with the BDSG and other relevant regulations on data protection, and retains control over the extent of the data to be processed.

 

10.23             FME shall have the right to give NETCARE reasonable instructions as to the nature, scope and method of data processing. The proceeding of FME’s authority to issue instructions is stipulated in Section 7 of this General Agreement.

 

10.24             Any changes to the subject-matter of the processing must be agreed in writing by the Parties and documented together.

 

10.25             NETCARE shall inform FME immediately if NETCARE believes that an instruction violates privacy laws. NETCARE may then postpone the execution of the relevant instruction until it is confirmed or changed by FME.

 

10.26             After the termination of a commission under this General Agreement NETCARE must return to FME all of FME’s Personal Data in NETCARE’s possession and all Personal Data collected and produced in connection with the commission, or delete them with the prior written consent of FME. The deletion log must be presented upon request.

 

10.27             Documentation intended as proof of proper data processing must be kept by NETCARE beyond the end of the Set of Contracts in accordance with relevant retention periods. NETCARE may hand such documentation over to FME after expiry of this General Agreement or its Annexes.

 

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11.          RIGHTS OF USE AND INTELLECTUAL PROPERTY RIGHTS

 

11.1        NETCARE shall procure, operate and maintain any software, licenses and rights needed by NETCARE for the provision of the Services.

 

11.2        As a matter of principle, NETCARE shall procure and acquire licenses and rights in connection with the Services in its own name and sublicense such licenses or grant to FME the rights of use for software or other deliverables to the extent required by FME in connection with, or as a result of, the relevant Service Agreement for the use of the Services under the Set of Contracts in accordance with the provisions defined in this Section 11, unless otherwise agreed in a Service Agreement.

 

11.3        Any rights granted by NETCARE to FME under this Agreement shall not entitle FME, without NETCARE’s prior consent, to modify, decompile, translate, decrypt, decompose, or copy the deliverable, unless otherwise expressly agreed herein or in a Service Agreement.

 

11.4        With respect to third party standard software or NETCARE’s own software, not specifically and exclusively developed for FME, which is used by NETCARE to provide the Services (“Standard Software”), NETCARE shall grant FME the non-exclusive, non-transferable right to use without limitation in time, scope or place subject to the terms of this General Agreement and the relevant Service Agreement, in particular limited to the purpose described in the relevant Service Agreement. The scope of the right of use of FME shall be in accordance with the license and right of use granted by the third party licensor to NETCARE. NETCARE shall ensure that it will obtain all required rights and licenses to sub-license or transfer the license to FME for the required purposes.

 

11.5        To the extent that any rights derive from software or other deliverables expressly developed for and on behalf of FME by NETCARE, including new developments of interfaces, platforms, changes, etc., provided that NETCARE has not used any proprietary software of NETCARE or any third party, any intellectual property rights shall vest in FME and FME shall be the owner of any intellectual property rights in connection with such deliverable. FME grants to NETCARE the non-exclusive, transferable right to use, to copy, to revise and to decompile the deliverables without limitation in time, scope or place subject to the terms of the Set of Contracts. The right to use is limited to the purposes described in the Service Agreement applicable to the relevant deliverable. The right to copy, revise and decompile the deliverable shall be limited, however, to the maintenance or reinstatement of the agreed functionality of the deliverable.

 

11.6        As far as NETCARE develops any deliverable only partly for and on behalf of FME or FME only partly reimburses the costs associated with a deliverable, NETCARE and

 

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FME shall be co-owners of such deliverable in the proportion of the relevant contribution to the development of the deliverable. FME shall have the non-exclusive, transferable right to use the deliverable for the purpose of this General Agreement. NETCARE shall have the non-exclusive, transferable right to use, to copy, to revise and to decompile the deliverables without limitation in time, scope or place subject to the terms of the Set of Contracts. The right to use is limited to the purposes described in the Service Agreement applicable to the relevant deliverable. The right to copy, revise and decompile the deliverable shall be limited, however, to the maintenance or reinstatement of the agreed functionality of the deliverable. NETCARE shall have the right to sublicense such rights to affiliated companies and to provide maintenance, update and upgrade services with respect to the deliverables to such affiliated companies as agreed between the Parties in a Service Agreement.

 

11.7        In case of developments, updates, upgrades and changes to Standard Software or NETCARE’s proprietary software, provided that such updates and upgrades are not available on the market, including customizing and adjustments to general structures, systems, configurations, scripts and other customizing, NETCARE shall grant FME the non-exclusive, transferable right for the term of this General Agreement to use the developments in connection with the basis software without additional charges.

 

11.8        Own developments of NETCARE shall be solely in the property of NETCARE. Any rights of use of FME shall be granted in accordance with Section 11.4.

 

11.9        As far as FME has acquired licenses or rights in connection with a Service from a third party, that are required for the use of the Services, or FME is obliged in connection with a Service to provide standard software or other individual software developed for FME, FME shall grant to NETCARE the non-exclusive, non-transferable right to use the software or deliverables for the purposes and as far as necessary for the provision of the Services to FME under the Set of Contracts. As far as necessary for the provision of the Services FME shall also grant NETCARE the right to copy, revise and decompile the software, whereas such right shall be limited to the maintenance or reinstatement of the agreed functionality of the software. The Parties shall agree on the specific rights in the relevant Service Agreement. The scope of the right of use of NETCARE shall be in accordance with the license and right of use granted by the third party licensor to FME. FME shall be obliged to ensure that any relevant license permits NETCARE’s use of any licensed rights granted hereunder to NETCARE for the required purpose and FME shall inform NETCARE of any license terms applicable. NETCARE shall be obliged to comply with the license terms of the third party licensor and not use or revise the software in violation of such license. In particular, NETCARE shall notify FME of any violations of such license agreement and terms defined therein.

 

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12.          DEFECTS AND WARRANTY

 

12.1        NETCARE shall render its Services in accordance with the service levels defined, if any, or any specifications defined in the relevant Service Agreement and the Services shall be free of defects of priority 1, 2 and 3. Services rendered by NETCARE or its subcontractors not complying with the aforementioned standards shall be deemed “Defects”.

 

12.2        In the event of Defects of an agreed product or works that shall be supplied, FME’s claims shall expire twenty four months after delivery of the respective product or works. FME shall notify NETCARE of any Defects immediately upon delivery, or in case of hidden Non-Conformities upon discovery, at the latest within 10 business days.

 

12.3        NETCARE shall have opportunity to cure all Defects free of charge and within reasonable time. NETCARE may choose to remedy by repair or redelivery within its discretion. NETCARE shall have two attempts to remedy a Defects. If NETCARE fails to cure before an appropriate dead-line set by FME expires FME may appropriately reduce the price. If said Defect that has not been remedied by NETCARE does not affect economically reasonable uses of the remaining parts of services or goods which NETCARE has delivered or shall deliver and FME makes such use thereof, FME’s rights shall be limited to the defect service or part of NETCARE’s performance. Save for the provisions in Section 15 FME shall have no right to terminate the relevant Service Agreement or this General Agreement due to a Defect.

 

12.4        Unless otherwise agreed between the Parties in this Section 12 any Defects shall be regulated by the relevant warranty provisions defined by statutory law, as applicable to the Service.

 

13.          LIABILITY

 

13.1        Either Party shall be liable without limitation for all damages caused by intent or gross negligence of the Party or its vicarious agents as well as Defects fraudulently concealed and all mandatory statutory liability.

 

13.2        Parties shall be liable for all personal injuries up to an amount of Euro 500,000 (five hundred thousand Euros) for each incident, in a total for all such damages up to an amount of Euro 5,000,000 (five million Euros), provided that such liability is not covered by section 13.1. For all other civil liability arising out of slight negligence by the Parties and their relevant vicarious agents not covered by section 13.1 or 13.2 the following applies:

 

a)    for all damages to material objects (Eigentumsverletzungen) in the property of or leased by FME which are caused as a direct consequence of the services performed under the Set of Contracts, such as but not limited to excess of voltage, 

 

22

 

damages to hard- and software due to services rendered under the Set of Contracts the injured Party may recover the amount necessary for repair or for compensation of such damages up to an amount of Euro 2,000,000 (two million Euro) for each incident.

 

b)    For all damages caused by negligent breach of contract, such as but not limited to system break-downs and which FME has to incur in accordance with claims of third contractors which cannot be solved amicably, FME is to be held harmless by NETCARE by a calendar-year compensation cap up to 15% (Fifteen percent) of the contractual value of the respective Service Agreement reduced by the penalty, if any, as defined in the respective Service Agreement. NETCARE shall be informed about the facts underlying such case in a maximum transparent manner. FME shall use best efforts to defend such cases.

 

c)     No Party shall be liable for lost profits, potential savings, consequential or indirect damages.

 

13.3        Should NETCARE be held liable for a breach of contract or other liability, FME’s contributory fault shall be reasonably considered. NETCARE shall not be liable for damages caused by instructions, information, documents, materials, or contributions or support provided by FME to NETCARE.

 

13.4        NETCARE shall in no instance be liable for deficiencies of software, assistance or other appliances that FME has ordered from third parties or that FME has provided. NETCARE shall support FME by problem solving with best effort against compensation, if not agreed otherwise within the specific Service Agreement. NETCARE shall in no event be liable under this Section 13 if FME (without NETCARE’s written approval) or a third party has modified Services delivered by NETCARE, FME has used the Service in breach of the Set of Contracts (handling error), FME has not provided its cooperation obligations in a proper or timely manner, the Defect arises from instructions of FME provided that NETCARE has notified FME of the associated risks that lead to the Defect.

 

13.5        In the event that NETCARE retained a subcontractor upon FME’s sole and specific request to use such subcontractor, NETCARE hereby assigns all its claims and rights vis-á-vis such subcontractor under the relevant contract with the subcontractor to FME. To the extent of such assignment, FME’s claim against NETCARE shall be fulfilled and NETCARE shall not be liable for any damages, losses or claims of FME or any third party resulting from the services of such subcontractor. FME authorizes NETCARE to make any claims and enforce any claims against such subcontractor. NETCARE shall reasonably enforce any claims out of or in courts and FME will assist NETCARE in any actions. NETCARE shall in any event consult and coordinate any actions with FME and follow instructions of FME in connection with the enforcement

 

23

 

of a claim. The aforementioned shall also apply in case NETCARE has integrated or used a certain product or software or procured such product or software from a designated subcontractor upon FME’s request.

 

13.6        NETCARE shall be responsible for the services and contractual deliverables rendered by its own subcontractors to the same extent NETCARE itself is liable for the Services. Contractual partner of subcontractors shall solely be NETCARE and the scope of services to be rendered by NETCARE to FME shall not be affected by the use of subcontractors.

 

13.7        The aforementioned provisions shall apply to the personal liability of all statutory representatives, senior management, agents, subcontractors and employees as far as these qualify as vicarious agents of the relevant Party.

 

13.8        NETCARE shall be excused from performance of its obligations and the Services under this General Agreement, any Annex and Service Agrement affected and shall not be held liable for any losses, damages or delays, including consequential damages, resulting from any event or cause beyond its reasonable control, including earthquake, fire, flood, explosion, war, embargo, transportation shortage or delay, breakage of machinery or electric power outage.

 

14.          PENALTIES

 

14.1        The sum of any penalties accrued under the Set of Contracts for the period of one year shall not exceed 5 % of the total remuneration under the Set of Contract, excluding remuneration for Projects, for the previous year. For the purposes of this section the yearly remuneration and sum of penalties shall not be calculated on the basis of the calendar year but on a rolling basis, i.e. the 12 months prior to the event triggering the penalty.

 

15.          TERM AND TERMINATION

 

15.1        The term of this General Agreement shall commence on January 1, 2013 and shall extend to December 31, 2017. Thereafter, the General Agreement shall automatically renew by another period of five years unless one Party terminates the agreement by giving six months prior written notice to the end of the term. From then on the General Agreement will be extended automatically for successive one year periods unless one of the parties terminates this General Agreement by giving 6 months prior written notice to the expiration of the then current term.

 

15.2        The Parties shall be entitled to terminate individual Service Agreements by giving 6

 

24

 

months written notice prior to the end of the agreed term unless otherwise agreed under applicable termination clauses in the Service Agreements.

 

15.3        Each Party shall be entitled to terminate this General Agreement and the Set of Contracts in whole or in part with immediate effect by giving written notice if (a) the other Party becomes insolvent, (b) the other Party is the subject of any winding up, dissolution, insolvency or liquidation proceedings, or makes any assignment of materially all assets for the benefit of creditors, (c) the other Party terminates its business in whole or in substantial part, or (d) in case of a merger or acquisition, whereby the common shareholder Fresenius SE & Co. KGaA transfers its controlling interest, be it by transfer of assets or by transfers of shares or dilution of the interest of Fresenius SE & Co. KGaA, in the non-terminating Party to a third Party which is not under the control of Fresenius SE & Co. KGaA.

 

15.4        Furthermore, FME shall be entitled to terminate the Set of Contracts upon giving reasonable notice, if NETCARE (i) unreasonably restricts FME from accessing data for processing in other systems; (ii) breaches the terms and conditions of Sections 9.1, 9.3, 9.5, 9.6 or 9.7 above and/or (iii) after discussion in the Steering Committee, will not be able to comply with the terms and conditions as outlined under Sections 9.1, 9.3, 9.5, 9.6 or 9.7 above.

 

16.          EFFECT OF TERMINATION/EXPIRATION

 

16.1        The termination of this General Agreement shall not affect the term of its Service Agreements or any Annex and no such Service Agreement or Annex shall be terminated unless expressly and separately terminated by the terminating Party. In case of a termination of this General Agreement the terminating Party shall have a special termination right with respect to each Annex and Service Agreement being part of the Set of Contracts.

 

16.2        The termination of a Service Agreement or Annex shall not affect this General Agreement or any other Annex or document of this Set of Contracts unless expressly agreed for certain cases in Section 16.

 

16.3        After termination or expiration of the contractual relationship the Parties shall undertake to modify the remainder of the Set of Contracts as economically indicated and according to the factual situation. Furthermore, they shall return all documents and other information which they have received from the other Party because of or incidental to the cooperation upon first request. The correspondence between the Parties and all documents and papers that have to be kept available as required by laws or regulations or papers and documents that are destined to remain with the respective Party.

 

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16.4        After termination of the General Agreement or Service Agreement hereto, NETCARE shall be obliged to deliver the services agreed upon hereunder to FME upon FME’s request for such period which is required by FME to retain an alternative service provider. FME’s obligations defined under Section 4 shall remain in effect for such transition period. However, FME shall not be required to buy these services from NETCARE. In case that FME decides to discontinue individual services or parts thereof NETCARE shall not be responsible for the remainder of the services to be delivered to FME, provided, that the discontinued services were required for rendering the remainder of the services. Furthermore, NETCARE shall reasonably cooperate with FME on the transfer of any services or system operated or maintained under this Set of Contracts to an alternative service provider. Remuneration for services rendered and other terms and conditions for this transition period shall be analogous to the terms of this General Agreement or any Service Agreement referred to of the year of termination. Additional services required for the transition or migration of services to an alternative service provider shall be agreed separately and shall be compensated by FME in accordance with the agreed prices in the relevant up-to-date price list of NETCARE or as separately agreed.

 

16.5        Details regarding the services and transfer of data shall be agreed upon in the Steering Committee. As far as an agreement about the reintegration and continuation of the services has not been achieved within 3 months after written notice, an external Party shall be commissioned for defining the scope of services to be rendered by NETCARE and FME’s or any third Parties responsibilities and assistance. The external Party shall be nominated by FME and NETCARE in mutual agreement, however, if such consensus cannot be reached by FME and NETCARE, the arbitrator under Section 17.3 shall nominate the external Party.

 

16.6        NETCARE shall grant to FME upon termination/expiration of the contractual relationship a license for the use of all intellectual property rights owned by NETCARE at the time of termination/expiration of the contractual relationship, with respect to NETCARE’s own developments, including modifications, add-ons, developments, required to operate and run the system governed by and arising out of the Set of Contracts. Such license shall be non-exclusive, unlimited, unrestricted and shall include the right to grant sublicenses to re-outsourcers for the purposes of providing services to FME, however, the right to grant further sublicenses shall not be included. Such license shall be granted free of charge and shall enable FME for further development for internal purposes.

 

16.7        Upon termination of this Set of Contracts, neither tangible nor intangible assets shall be transferred from NETCARE to FME and neither claim for such transfer shall vest in FME except for those where FME is the owner of such tangible or intangible assets. Additionally, FME shall in no event actively pursue employment of employees of

 

26

 

NETCARE during the term of the General Agreement and for the period of two years thereafter.

 

16.8        Upon termination of this General Agreement and/or its applicable Annexes and Service Agreements under the Set of Contracts FME shall neither be entitled without the prior written consent of NETCARE nor shall FME be contractually obligated to take over any employee of NETCARE. In the event FME is obligated to take over such employees or employment contracts according to the respective law, NETCARE shall be obligated to compensate FME any costs and expenses which FME might incur thereby for employees FME is not willing to take over provided that FME is not actively deploying such employees.

 

16.9        The following provisions shall survive a termination of this General Agreement and shall remain in effect upon a termination for a period of at least five years or applicable storage and documentation obligations, whichever is longer: Sections 5, 8, 9, 13, 16, 17,18.

 

17.          GOVERNING LAW, ARBITRATION

 

17.1        The Set of Contracts shall be governed by the laws of Germany (excluding UN-CISG and the rules and principles on the conflict of laws).

 

17.2        Any dispute, controversy or claim, arising out of or in connection with the Set of Contracts, or the breach, termination or invalidity thereof (the “Controversies”), shall be governed by the following dispute resolution mechanism:

 

17.3        Controversies shall be settled amicably between the Parties on operational level and according to the escalation procedure as defined in the MSD. If the Parties are unable to reach a mutual consensus, the Parties shall be entitled to file for arbitration complaints in the arbitration panel of the Deutsche Gesellschaft for Recht and Informatik e.V. (“DGRI”), according to its Rules of Arbitration. The place of arbitration shall be in Frankfurt am Main, Germany. The numbers of arbitrators shall be [3]. English shall be used in the arbitrational proceedings.

 

17.4        In order to allow the arbitration to proceed the Parties waive the defense of expiration of statute of limitation for all claims arising in the disputed matter, starting with the request for arbitration filed with the DGRI and until one month after the end of the arbitration process. The expiration of statute of examination shall be suspended for the time of the arbitration proceeding.

 

17.5        The decision of the arbitration panel shall be binding.

 

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18.          MISCELLANEOUS

 

18.1        All Annexes, the Attachments, and the Preamble are incorporated into this General Agreement. The Preamble shall reflect the intentions of the Parties as of the effective date of the General Agreement and shall have legal effect, however, only insofar as it may be used for interpretative purposes in case of controversy over the interpretation of certain clauses in the General Agreement, Annexes or the Attachments or if Section 17 is applicable.

 

18.2        Neither Party’s general terms and conditions (Allgemeine Geschäftsbedingungen) shall be incorporated in this Set of Contracts.

 

18.3        The rights inuring to the benefits of the Parties under the Set of Contracts shall be non-transferable unless the other Party has agreed to the transfer in writing. Such consent shall not be unreasonably withheld if the rights are transferred to Parties under common control of Fresenius SE & Co. KGaA or Fresenius Medical Care AG & Co. KGaA.

 

18.4        No action or inaction of one of the Parties shall be construed as a waiver of rights or shall affect such rights, unless this General Agreement does provide to the contrary.

 

18.5        Alterations of and amendments to the Set of Contracts must be made in writing. This applies also to this requirement of writing.

 

18.6        If any provision of the General Agreement is held to be invalid or unenforceable, the validity of the remaining provisions shall not be affected. The Parties shall replace the invalid or unenforceable provision by a valid and enforceable provision closest to the intention of the Parties when signing the General Agreement.

 

18.7        Same shall apply to all contractual provisions that the Parties may have omitted to include in this General Agreement.

 

18.8        As far as the language of Set of Contracts uses the name under which a software is marketed all later releases shall be included.

 

18.9        FME may execute rights to hold back or to set off only upon claims uncontested by NETCARE, or sums finally awarded by DGRI under Section 17 of this General Agreement.

 

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Bad   Homburg,
    	
 
    	
Bad   Homburg,
    
	
 
    	
 
    	
 
    
	
Fresenius   Medical Care AG & Co. KGaA
    	
 
    	
Fresenius   Netcare GmbH
    
	
represented   by its General Partner
    	
 
    	
represented   by
    
	
Fresenius   Medical Care Management AG, represented by
    	
 
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    
	
[Name]
    	
 
    	
[Name]
    
	
Member   of Management Board
    	
 
    	
[Title]
    
	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    
	
[Name]
    	
 
    	
[Name]
    
	
Member   of Management Board
    	
 
    	
[Title]
    

 

29

 

	
Attachment   2:
    	
 
    	
Overview   on the volume of expected IT cost for Operations and Projects under the   General Agreement 2013 for the years 2013 to 2022 (“FNC Cost Estimate”)   including additional calculations
    

 

II

 

Attachment 2: FNC Cost Estimate including additional calculations

 

IT cost expected to be charged by FNC under the GA 2013 in EUR:

 

	
Category
    	
 
    	
2013
    	
 
    	
2014
    	
 
    	
2015
    	
 
    	
2016
    	
 
    	
2017
    	
 
    	
2018
    	
 
    	
2019
    	
 
    	
2020
    	
 
    	
2021
    	
 
    	
2022
    	
 
    	
Total
    	
 
    
	
SAP
    	
 
    	
9.629.885
    	
 
    	
10.052.242
    	
 
    	
10.515.499
    	
 
    	
11.009.333
    	
 
    	
11.530.004
    	
 
    	
11.986.358
    	
 
    	
12.464.868
    	
 
    	
13.077.427
    	
 
    	
13.727.442
    	
 
    	
14.420.068
    	
 
    	
118.413.127
    	
 
    
	
Communication
    	
 
    	
4.624.457
    	
 
    	
4.686.558
    	
 
    	
4.752.186
    	
 
    	
4.821.517
    	
 
    	
4.894.735
    	
 
    	
4.972.035
    	
 
    	
5.053.617
    	
 
    	
5.139.697
    	
 
    	
5.230.496
    	
 
    	
5.326.252
    	
 
    	
49.501.549
    	
 
    
	
Infrastructure
    	
 
    	
4.500.606
    	
 
    	
4.489.355
    	
 
    	
4.478.131
    	
 
    	
4.466.936
    	
 
    	
4.455.769
    	
 
    	
4.444.629
    	
 
    	
4.433.518
    	
 
    	
4.422.434
    	
 
    	
4.411.378
    	
 
    	
4.400.349
    	
 
    	
44.503.105
    	
 
    
	
Other
    	
 
    	
3.175.669
    	
 
    	
3.202.792
    	
 
    	
3.231.327
    	
 
    	
3.261.346
    	
 
    	
3.292.921
    	
 
    	
3.326.131
    	
 
    	
3.361.058
    	
 
    	
3.397.786
    	
 
    	
3.436.407
    	
 
    	
3.477.014
    	
 
    	
33.162.452
    	
 
    
	
Total   Operational IT cost charged by FNC
    	
 
    	
21.930.618
    	
 
    	
22.430.946
    	
 
    	
22.977.143
    	
 
    	
23.559.131
    	
 
    	
24.173.430
    	
 
    	
24.729.153
    	
 
    	
25.313.061
    	
 
    	
26.037.344
    	
 
    	
26.805.723
    	
 
    	
27.623.683
    	
 
    	
245.580.234
    	
 
    
	
Total   Operational IT cost (FNC/0.6)
    	
 
    	
36.551.030
    	
 
    	
37.384.911
    	
 
    	
38.295.239
    	
 
    	
39.265.219
    	
 
    	
40.289.050
    	
 
    	
41.215.255
    	
 
    	
42.188.435
    	
 
    	
43.395.574
    	
 
    	
44.676.206
    	
 
    	
46.039.471
    	
 
    	
409.300.389
    	
 
    
	
Projects   FNC
    	
 
    	
20.081.463
    	
 
    	
14.562.187
    	
 
    	
14.506.182
    	
 
    	
3.699.621
    	
 
    	
3.000.000
    	
 
    	
3.150.000
    	
 
    	
3.307.500
    	
 
    	
3.472.875
    	
 
    	
3.646.519
    	
 
    	
3.828.845
    	
 
    	
73.255.192
    	
 
    
	
Total   IT cost charged by FNC
    	
 
    	
42.012.081
    	
 
    	
36.993.133
    	
 
    	
37.483.325
    	
 
    	
27.258.752
    	
 
    	
27.173.430
    	
 
    	
27.879.153
    	
 
    	
28.620.561
    	
 
    	
29.510.219
    	
 
    	
30.452.242
    	
 
    	
31.452.527
    	
 
    	
318.835.425
    	
 
    
	
Total   IT Cost (FNC/0.6)
    	
 
    	
70.020.136
    	
 
    	
61.655.222
    	
 
    	
62.472.209
    	
 
    	
45.431.254
    	
 
    	
45.289.050
    	
 
    	
46.465.255
    	
 
    	
47.700.935
    	
 
    	
49.183.699
    	
 
    	
50.753.737
    	
 
    	
52.420.879
    	
 
    	
531.392.375
    	
 
    

 

Additional Calculations:

 

	
Revenue   FME EMEALA under consideration of 8% CAGR 2013-2022 on 2012 basis:
    	
 
    	
3.143.565.353,88
    	
 
    	
3.395.050.582,19
    	
 
    	
3.666.654.628,77
    	
 
    	
3.959.986.999,07
    	
 
    	
4.276.785.958,99
    	
 
    	
4.618.928.835,71
    	
 
    	
4.988.443.142,57
    	
 
    	
5.387.518.593,97
    	
 
    	
5.818.520.081,49
    	
 
    	
6.284.001.688,01
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Total   Operational IT cost als % of revenue:
    	
 
    	
1,16
    	
%
    	
1,10
    	
%
    	
1,04
    	
%
    	
0,99
    	
%
    	
0,94
    	
%
    	
0,89
    	
%
    	
0,85
    	
%
    	
0,81
    	
%
    	
0,77
    	
%
    	
0,73
    	
%
    
	
Total   IT Cost as % of revenue:
    	
 
    	
2,23
    	
%
    	
1,82
    	
%
    	
1,70
    	
%
    	
1,15
    	
%
    	
1,06
    	
%
    	
1,01
    	
%
    	
0,96
    	
%
    	
0,91
    	
%
    	
0,87
    	
%
    	
0,83
    	
%
    

 

 

Attachment 3:   General Terms and Conditions as of May 2012

 

III

 

GENERAL TERMS AND CONDITIONS

Ernst & Young GmbH Wirtschaftsprüfungsgesellschaft

as of May 2012

 

This is an English translation of the German text (please refer to http://www.ey.com/DE/DE/Home and click on “AAB” at the bottom of the website, please refer to the section “Non-Assurance Dienstleistungen”), the German text being the sole authoritative version

 

Our Relationship with You

 

1.                   We will perform the Services1 in accordance with the standards of proper professional conduct (“Grundsätze ordnungsmäßiger Berufsausübung”) for the sole benefit of you, our Client.

 

2.                   We are a member of the global network of Ernst & Young firms (“EY Firms”), each of which is a separate legal entity.

 

3.                   We will provide the Services to you as an independent contractor and not as your employee, agent, partner or joint venturer. Neither you nor we have any right, power or authority to bind the other.

 

4.                   We may subcontract portions of the Services to other EY Firms, as well as to other service providers, who may deal with you directly. Nevertheless, we alone will be responsible to you for the Reports (as defined in Section 11), the performance of the Services, and our other obligations under this Agreement1.

 

5.                   We will not assume any management responsibilities in connection with the Services. We will not be responsible for the use or implementation of the output of the Services.

 

Your Responsibilities

 

6.                   You shall assign a qualified person to oversee the Services. You are responsible for all management decisions relating to the Services, the use or implementation of the output of the Services and for determining whether the Services are appropriate for your purposes.

 

7.                   You shall provide (or cause others to provide) to us, promptly, the information, resources and assistance (including access to records, systems, premises and people) that we reasonably require to perform the Services. This also applies to those supporting documents and records, events and circumstances which first become known during our work.

 

8.                   All information provided by you or on your behalf (“Client Information”)  shall be accurate and complete. The provision of Client Information to us will not infringe any copyright or other third-party rights.

 

9.                   We may rely on Client Information made available to us and, unless we expressly agree otherwise, will have no responsibility to evaluate or verify it.

 

10.            You shall be responsible for your personnel’s compliance with your obligations under this Agreement.

 

Our Reports

 

11.            Any information, advice, recommendations or other content of any reports, presentations or other communications we provide under this Agreement (“Reports”), other than Client Information, are for your internal use only (consistent with the purpose of the Services).

 

12.            You may not disclose a Report (or any portion or summary of a Report) externally (including to your affiliates), or refer to us or to any other EY Firm in connection with the Services, except:

 

(a)    to your lawyers subject to these disclosure restrictions who may review it only in connection with advice relating to the Services,

 

(b)    to the extent, and for the purposes, required by applicable law and you will promptly notify us of such legal requirement to the extent you are permitted to do so,

 

(c)     to other persons (including your affiliates) with our prior written consent, who have executed an access letter and who may use it only as we have specified in our consent, or

 

(d)    to the extent it contains Tax Advice, as set forth in Section 13.

 

If you are permitted to disclose a Report (or a portion thereof), you shall not alter, edit or modify it from the form we provided.

 

13.            You may disclose to anyone a Report (or any portion thereof) solely to the extent that it relates to tax matters, including tax advice, tax opinions, tax returns, or the tax treatment or tax structure of any transaction to which the Services relate (“Tax Advice”). With the exception of tax authorities, you shall inform those to whom you disclose Tax Advice that they may not rely on it for any purpose without our prior written consent.

 

14.            You may incorporate into documents that you intend to use our summaries, calculations or tables based on Client Information contained in a Report, but not our recommendations, conclusions or findings. You must assume sole responsibility for the contents of those documents and you must not externally - directly or indirectly - refer to us or any other EY Firm in connection with them.

 

15.            If we are required to present the results of our work in writing, only that written presentation is authoritative.

 

You may not rely on any draft Reports (which are non-binding), but only on final written Reports. Draft Reports only serve our internal purposes and/or the coordination with you and, therefore, only constitute preliminary stages of Reports and are neither final nor binding and are subject to further review. We shall not be required to update any final Report for circumstances of which we become aware, or events occurring, after the cut-off date indicated in the Report or, in absence of such date, the delivery date of the Report, unless otherwise agreed or we are obliged to do so with regard to the Services provided by us.

 

Limitations of Our Liability

 

16.            (a) Pursuant to Section 54a para. 1 No. 2 WPO2 our liability for claims of compensatory damages of any kind - except for damages resulting from injury to life, body or health - for an individual case of damages resulting from negligence is limited to EUR 4 million; this also applies if liability to a person other than you should be established.

 

1 Terms which are not defined in these General Terms and Conditions are defined in the Cover Letter.

2 “Wirtschaftspruferordnung” (Public Accountant Act)

 

 

(b) An individual case of damages also exists in relation to a uniform damage arising from a number of breaches of duty. The individual case of damages encompasses all consequences from a breach of duty without taking into account whether the damages occurred in one year or in a number of successive years. In this case multiple acts or omissions of acts based on a similar source of error or on a source of error of an equivalent nature are deemed to be a uniform breach of duty if the matters in question are legally or economically connected to one another. In this event the claim against us is limited to EUR 5 million.

 

17.             If you consider the liability limit stipulated in Section 16 and the amount our liability is limited to where Section 16 applies (“Maximum Liability Amount”) as inappropriate, please inform us of the extension of our liability you would like to be agreed on instead. In this case we will endeavor to obtain additional insurance for such increased amount (“Increased Amount”). Provided that you are furthermore prepared to bear the additional costs arising from the additional insurance covering the Increased Amount, we are prepared to agree with you on a corresponding extension of our liability. We emphasize that an increase of Maximum Liability Amount only applies if agreed on in writing.

 

18.             If legitimate claims falling within our limitation of liability are brought against us by you and/or one or more third parties who are entitled to invoke this Agreement, the Maximum Liability Amount will be - in accordance with Section 428 BGB3 - available only once to all - including all future - claimants collectively. Hence, any payment by us to you has discharging effect towards all claimants. In case the sum of all claims (including future claims) to which our limitation-of-liability-provisions apply exceed the Maximum Liability Amount, the allocation of this Maximum Liability Amount amongst all claimants (incl. you) is entirely a matter for discussion amongst all claimants.

 

19.             A compensatory damages claim may only be lodged within a preclusive deadline of one year of the rightful claimant having become aware of the damage and of the event giving rise to the claim - at the very latest, however, within 5 years subsequent to the event giving rise to the claim. The claim expires if legal action is not taken within a six month deadline subsequent to the written refusal of acceptance of the indemnity and you were informed of this consequence. The right to assert the bar of the preclusive deadline remains unaffected.

 

20.             Should, as an exception in an individual case, any persons other than you, our Client, have a right to invoke this Agreement, the provisions of Section 16 through 21 also apply to such third parties. Section 334 BGB shall apply.

 

21.             You may not make a contractual claim or bring proceedings arising from the provision of the Services or otherwise based on this Agreement against any other EY Firm or our or its subcontractors, members, shareholders, directors, officers, partners, principals or employees (“EY Persons”). You shall make any contractual claim or bring such proceedings only against us.

 

Indemnity

 

22.             You shall indemnify us, the other EY Firms and the EY Persons against all claims by third parties (including your affiliates  and lawyers)   and   resulting  liabilities,   losses, damages, costs and expenses (including reasonable external legal costs) arising out of the third party’s use of or reliance on any Report (induding Tax Advice) disclosed to it by or through you or at your request. You shall have no obligation hereunder to the extent that we have specifically authorized, in writing, the third party’s reliance on the Report.

 

Intellectual Property Rights

 

23.             We may use data, software, designs, utilities, tools, models, systems and other methodologies and know-how (“Materials”) that we own in performing the Services. Notwithstanding the delivery of any Reports, we retain all intellectual property rights in the Materials (including any improvements or knowledge developed while performing the Services), and in any working papers compiled in connection with the Services (but not Client Information reflected in them).

 

Confidentiality

 

24.             We are bound by the strict professional confidentiality obligations as stipulated in Section 43 WPO and Section 57 StBerG4 and, except as otherwise permitted by this Agreement, neither of us may disclose to third parties the contents of this Agreement or any information (other than Tax Advice) provided by or on behalf of the other that ought reasonably to be treated as confidential and/or proprietary.

 

25.             Notwithstanding any superseding legal professional secrecy obligation, either of us may, however, disclose such information to the extent that it

 

(a)   is or becomes public other than through a breach of this Agreement,

 

(b)   is subsequently received by the recipient from a third party who, to the recipient’s knowledge, owes no obligation of confidentiality to the disclosing party with respect to that information,

 

(c)    was known to the recipient at the time of disclosure or is thereafter created independently,

 

(d)   is disclosed as necessary to enforce the recipient’s rights under this Agreement, or

 

(e)    must be disclosed under applicable law or professional regulations.

 

26.             Either of us may use electronic media to correspond or transmit information and such use will not in itself constitute a breach of any confidentiality obligations under this Agreement and acknowledge that sending information and documents in electronic form (in particular by e-mail) entails risks.

 

27.             We may disclose Client Information to other EY Firms, EY Persons, which may use, transfer, store or otherwise process it to facilitate performance of the Services, to comply with regulatory requirements, to check conflicts, or for quality, risk management or financial accounting purposes. The Client Consent for such purposes is attached to this Agreement for signature.

 

28.             With respect to any Services if U.S. Securities and Exchange Commission auditor independence regulations apply to the relationship between you or any of your associated entities and any EY Firm, you represent, to the

 

3 “Burgerliches Gesetzbuch” (German Civil Code)

4 “Steuerberatungsgesetz” (Tax Advisory Act)

 

2

 

best of your knowledge, as of the date of this Agreement, that neither you nor any of your affiliates has agreed, either orally or in writing, with any other advisor to restrict your ability to disclose to anyone the tax treatment or tax structure of any transaction to which the Services relate. An agreement of this kind could impair an EY Firm’s independence as to your audit or that of any of your affiliates, or require specific tax disclosures as to those restrictions. Accordingly, you agree that the impact of any such agreement is your responsibility.

 

Data Protection

 

29.             We may collect, use, transfer, store or otherwise process (collectively, “Process”) Client Information that can be linked to specific individuals (“Personal Data”). We may Process Personal Data in various jurisdictions in which we and the other EY Firms operate (which are listed at www.ey.com) to facilitate performance of the Services, comply with regulatory requirements, check conflicts, or for quality, risk management or financial accounting purposes. We will Process the Personal Data in accordance with applicable law and professional regulations, including (without limitation) the BDSG5. We will require any service provider that Processes Personal Data on our behalf to adhere to such requirements.

 

30.             You warrant that you have the authority to provide the Personal Data to us in connection with the performance of the Services and that the Personal Data provided to us has been processed in accordance with applicable law.

 

Fees and Expenses Generally

 

31.             You shall pay our professional fees and specific expenses in connection with the Services as detailed in the applicable Statement of Work or any of its appendices. You shall also reimburse us for other reasonable expenses incurred in performing the Services. Our fees are exclusive of taxes or similar charges, as well as customs, duties or tariffs imposed in respect of the Services, all of which you shall pay (other than taxes imposed on our income generally). We may claim appropriate advances for remuneration and reimbursement of outlays and make the rendering of our Services dependent upon complete satisfaction of our claims. Unless otherwise set forth in the applicable Statement of Work, payment is due within 30 days following receipt of each of our invoices.

 

32.             We may charge additional professional fees if events beyond our control (including your acts or omissions) affect our ability to perform the Services as originally planned or if you ask us to perform additional tasks.

 

33.             If we are required by applicable law, legal process or government action to produce information or personnel as witnesses with respect to the Services or this Agreement, you shall reimburse us for any professional time and expenses (including reasonable external legal costs) incurred to respond to the request, unless we are a party to the proceeding or the subject of the investigation or unless we do get fully reimbursed by public authorities.

 

34.             If you default in accepting the Services offered by us or if you do not provide the assistance incumbent on you pursuant to Section 7, 8 or otherwise, we are entitled to cancel the Agreement immediately. Our right to compensation for additional  expenses as well  as for damages caused by the default or the lack of assistance is not affected, even if we do not exercise our right to cancel.

 

Force Majeure

 

35.            Neither you nor we shall be liable for breach of this Agreement (other than payment obligations) caused by circumstances beyond your or our reasonable control.

 

Term and Termination

 

36.            This Agreement applies to the Services whenever performed (including before the date of this Agreement).

 

37.            This Agreement shall terminate on the completion of the Services. Either of us may terminate it, or any particular Services, earlier upon 90 days’ prior written notice to the other. In addition, we may terminate this Agreement, or any particular Services, immediately upon written notice to you if we reasonably determine that we can no longer provide the Services in accordance with applicable law or professional obligations. Sections 626 and 627 BGB shall remain unaffected.

 

38.            You shall pay us for all work-in-progress, Services already performed, and expenses incurred by us up to and including the effective date of the termination of this Agreement.

 

39.            Our respective confidentiality obligations under this Agreement, as well as other provisions of this Agreement that give either of us rights or obligations beyond its termination, shall continue indefinitely following the termination of this Agreement.

 

Governing Law and Jurisdiction

 

40.            This Agreement, and any non-contractual matters or obligations arising out of this Agreement or the Services, shall be governed by, and construed in accordance with, the laws of Germany.

 

41.            Any dispute relating to this Agreement or the Services shall be subject to the exclusive jurisdiction of the courts of Stuttgart, Germany, to which each of us agrees to submit for these purposes, or, at our discretion, (i) the court located where our office that conducted the main part of the work is registered or (ii) the courts located where you are registered.

 

Miscellaneous

 

42.            Upon our request, you must confirm in a written statement drafted by us that the supporting documents and records and the information and explanations provided are complete.

 

43.            You guarantee to refrain from everything which may endanger the independence of our staff. This particularly applies to offers of employment and offers to undertake engagements on one’s own account.

 

44.            Where there are deficiencies, you are entitled to subsequent fulfillment of the Agreement. You may demand a reduction in fees or the cancellation of the contract only for the failure to subsequently fulfill the Agreement; if the Agreement was awarded by a person carrying on a commercial business as part of that commercial business, a government-owned legal person under public law or a special government-owned fund under public law, you may demand the cancellation of the Agreement only if the Services rendered are of no interest to you due to the failure to subsequently fulfill the Agreement. Section 16

 

5  “Bundesdatenschutzgesetz” (German Data Protection Act)

 

3

 

through 21 applies to the extent that claims of damages exist beyond this.

 

You must assert your claim for the correction of deficiencies in writing without delay. Claims pursuant to the first paragraph not arising from an intentional tort cease to be enforceable one year after the commencement of the statutory time limit for enforcement.

 

Obvious deficiencies, such as typing and arithmetical errors and deficiencies associated with technicalities contained in a Report may be corrected - and also the applicable versus third parties - by us at any time. Errors which may call into question the conclusions contained in our Reports entitle us to withdraw - also versus third parties - such Reports. In the cases noted we should first hear you, if possible.

 

45.            We retain, for ten years, the supporting documents and records in connection with the completion of the Agreement - that had been provided to us and that we have prepared ourselves - as well as the correspondence with respect to the Agreement.

 

After the settlement of our claims arising from the Agreement we, upon your request, must return all supporting documents and records obtained from you or for you by reason of our work on the Agreement This does not, however, apply to correspondence exchanged between you and us and to any documents of which you have the original or a copy. We may prepare and retain copies or photocopies of supporting documents and records which we return to you.

 

46.            This Agreement constitutes the entire agreement between us as to the Services and the other matters it covers, and supersedes all prior agreements, understandings and representations with respect thereto, including any confidentiality agreements previously delivered.

 

47.            This Agreement and/or any Statement of Work hereunder (and modifications to them) must be executed in written form in the sense of Section 126 para. 1 BGB. Each of us may sign a different copy of the same document

 

48.            Each of us represents that the person signing this Agreement and/or any Statement of Work hereunder on its behalf is also authorized to execute it and to bind each of us to its terms.

 

You represent that your affiliates and any others for whom Services are performed shall be bound by the terms of this Agreement and the applicable Statement of Work.

 

49.            You agree that we and the other EY Firms may, subject to professional obligations, act for other clients, including your competitors.

 

50.            Neither of us may assign any of our rights, obligations or claims under this Agreement.

 

51.            If any provision of this Agreement (in whole or part) is held to be illegal, invalid or otherwise unenforceable, the other provisions shall remain in full force and effect.

 

52.            If there is any inconsistency between provisions in different parts of this Agreement, those parts shall have precedence as follows (unless expressly agreed otherwise): (a) the Cover Letter, (b) the applicable Statement of Work (incl. - as the case may be - the Agreement on Fees), (c) the Client Consent, (d) these General Terms and Conditions, and (e) other annexes to this Agreement

 

53.             Neither of us may use or reference the other’s name, logos or trademarks without its prior written consent. Once we have obtained your prior consent by the attached Client Consent, we are allowed to use your name publically to identify you as a client in connection with specific Services or otherwise.

 

54.             The limitations in Sections 16 to 21 and the provisions of Sections 22, 27, 29 and 49 are intended to benefit the other EY Firms and all EY Persons, who shall be entitled to enforce them.

 

4

 

ALLGEMEINE AUFTRAGSBEDINGUNGEN

der Ernst & Young GmbH Wirtschaftsprüfungsgesellschaft

Stand: Mai 2012

 

Die Grundlagen der Auftragsbeziehung

 

1.                   Die Leistungen(1)  werden von uns in Übereinstimmung mit den Grundsätzen ordnungsmäßiger Berufsausübung ausschließlich für Sie als unseren Mandanten erbracht.

 

2.                   Wir sind Mitglied des weltweiten Verbunds der Ernst & Young-Gesellschaften („EY-Mitglieder”); jedes EY-Mitglied ist ein eigenständiger Rechtsträger.

 

3.                   Die Leistungen erbringen wir für Sie als unabhängiger Vertragspartner und nicht als Ihr Mitarbeiter, Vertreter, Gesellschafter oder Mitunternehmer. Weder Sie noch wir sind berechtigt, ermächtigt oder befugt, die jeweils andere Vertragspartei zu verpflichten.

 

4.                   Wir sind berechtigt, Teile der Leistungen an andere EY-Mitglieder oder sonstige Dienstleister als Unterauftragnehmer zu vergeben, die direkt mit Ihnen in Kontakt treten können. Die Verantwortlichkeit für die Arbeitsergebnisse (vgl. Definition in Ziff. 11), die Erbringung der Leistungen und für unsere sonstigen aus der Mandatsvereinbarung resultierenden Verpflichtungen liegt ausschließlich bei uns.

 

5.                   Im Zusammenhang mit unseren Leistungen übernehmen wir keine Aufgaben der Geschäftsführung. Für die Nutzung oder Umsetzung der Ergebnisse unserer Leistungen sind wir nicht verantwortlich.

 

Ihre Verantwortlichkeiten

 

6.                   Sie benennen uns einen qualifizierten Ansprechpartner für die Begleitung unserer Leistungen. Sie sind verantwortlich für sämtliche Geschäftsführungsentscheidungen im Zusammenhang mit unseren Leistungen, die Nutzung oder Umsetzung der Ergebnisse unserer Leistungen und die Entscheidung darüber, inwieweit unsere Leistungen für Ihre Zwecke geeignet sind.

 

7.                   Sie werden (oder veranlassen andere), uns sämtliche für die Erbringung der Leistungen erforderlichen Informationen, Ressourcen und Unterstützung (einschließlich des Zugangs zu Unterlagen, Systemen, Räumlichkeiten und Personen) unverzüglich zur Verfügung stellen. Dies gilt auch für solche Unterlagen, Nachweise, Vorgänge und Umstände, die erst während unserer Tätigkeit bekannt werden.

 

8.                   Sämtliche Informationen, die uns von Ihnen oder in Ihrem Auftrag zur Verfügung gestellt werden („Mandanteninformationen“), müssen richtig und vollständig sein. Sie stellen sicher, dass uns zur Verfügung gestellte Mandanteninformationen weder Urheberrechte noch sonstige Rechte Dritter verletzen.

 

9.                   Wir sind berechtigt, uns auf uns zur Verfügung gestellte Mandanteninformationen zu verlassen und sind, sofern nicht ausdrücklich etwas Abweichendes vereinbart wurde, nicht dafür verantwortlich, diese zu bewerten oder deren Richtigkeit zu überprüfen.

 

10.            Sie übernehmen die Verantwortung dafür, dass Ihre Mitarbeiter die Ihnen gemäß der Mandatsvereinbarung obliegenden Pflichten einhalten.

 

Unsere Arbeitsergebnisse

 

11.            Mit Ausnahme der Mandanteninformationen sind sämtliche Informationen, Beratungsleistungen, Empfehlungen oder sonstige Inhalte von Berichten, Präsentationen oder sonstigen Mitteilungen, die wir Ihnen in Erfüllung der Mandatsvereinbarung zur Verfügung stellen (die „Arbeitsergebnisse”), ausschließlich (im Einklang mit dem Zweck der Leistungen) zu Ihrer internen Verwendung bestimmt.

 

12.            Sie sind nicht dazu berechtigt, Arbeitsergebnisse (ebenso wie einen Teil oder eine Zusammenfassung eines solchen) gegenüber Dritten (einschließlich Ihrer verbundenen Unternehmen) offenzulegen oder sich auf uns oder ein anderes EY-Mitglied im Zusammenhang mit den Leistungen zu beziehen; dies gilt nicht

 

(a) gegenüber Ihren Rechtsanwälten, wenn diese, vorbehaltlich dieses Offenlegungsverbots, die Arbeitsergebnisse ausschließlich dazu prüfen, Sie im Zusammenhang mit den Leistungen zu beraten,

 

(b) soweit Sie aufgrund eines Gesetzes (zur Offenlegung (über die Sie uns soweit zulässig unverzüglich in Kenntnis setzen) verpflichtet sind,

 

(c) gegenüber anderen Personen oder Unternehmen (einschließlich Ihrer verbundenen Unternehmen), wenn wir zuvor schriftlich unsere Zustimmung erteilt haben, diese unsere Informationsvereinbarung unterzeichnet haben und diese die Arbeitsergebnisse lediglich im Rahmen der erteilten Zustimmung verwenden, oder

 

(d) soweit die Arbeitsergebnisse eine Steuerberatung im Sinne der Ziff. 13 zum Gegenstand haben.

 

Soweit Sie dazu berechtigt sind, Arbeitsergebnisse (oder  Teile davon) offenzulegen, ist es Ihnen dennoch nicht gestattet, Änderungen, Bearbeitungen oder Modifizierungen der Arbeitsergebnisse vorzunehmen.

 

13.            Soweit ein Arbeitsergebnis steuerliche Angelegenheiten zum Gegenstand hat, einschließlich Steuerberatung, Steuergutachten, Steuererklärungen sowie die steuerliche Behandlung oder Gestaltung einer Transaktion, die Gegenstand der Leistungen ist (insgesamt „Steuerberatung”), sind Sie dazu berechtigt, das Arbeitsergebnis (ebenso wie einen Teil dessen) gegen-über Dritten offenzulegen. Sie bleiben jedoch dazu verpflichtet, den Dritten, dem Sie die Steuerberatung offenlegen, darüber zu informieren, dass er ohne unsere vorherige schriftliche Zustimmung für keinerlei Zwecke auf die Steuerberatung vertrauen darf. Diese Verpflichtung zur Information gilt nicht gegenüber den Steuerbehörden.

 

14.            Sie sind dazu berechtigt, Zusammenfassungen, Berechnungen oder Tabellen, die in einem Arbeitsergebnis enthalten sind und auf Mandanteninformationen basieren, in Dokumente, die Sie zu verwenden beabsichtigen, aufzunehmen, nicht jedoch unsere Empfehlungen, Schlussfolgerungen oder Feststellungen. Sie übernehmen die alleinige Verantwortung für den Inhalt solcher Dokumente, und Sie sind nicht dazu berechtigt gegenüber Dritten, - direkt oder indirekt- auf uns oder ein anderes EY-Mitglied im Zusammenhang mit diesen zu verweisen.

 

15.            Wenn wir dazu verpflichtet sind, die Ergebnisse unserer Tätigkeit schriftlich darzustellen, ist nur die schriftliche Darstellung maßgebend.

 

Sie sind nicht dazu berechtigt, sich auf die Entwurfsfassung eines Arbeitsergebnisses (die unverbindlich ist) zu verlassen, sondern lediglich auf dessen finale schriftliche Fassung. Entwurfsfassungen eines Arbeitsergebnisses dienen lediglich unseren internen Zwecken und/oder der Abstimmung mit Ihnen und stellen demzufolge nur eine Vorstufe des Arbeitsergebnisses dar und sind weder final noch verbindlich und erfordern eine weitere Durchsicht. Wir sind nicht dazu verpflichtet, ein finales Arbeitsergebnis im Hinblick auf Umstände, die uns seit dem im Arbeitsergebnis benannten Zeitpunkt des Abschlusses unserer Tätigkeit, 

 

1 Begriffe, die nicht in diesen Allgemeinen Auftragsbedingungen definiert werden, sind im Anschreiben definiert.

 

 

oder - in Ermangelung eines solchen Zeitpunkts - der Auslieferung des Arbeitsergebnisses zur Kenntnis gelangt sind oder eintreten, zu aktualisieren. Dies gilt dann nicht, wenn wir von Ihnen entsprechend beauftragt wurden oder wir aufgrund der Natur der Leistungen dazu verpflichtet sind.

 

Haftungsbeschränkung

 

16.            (a) Unsere Haftung für Schadensersatzansprüche jeder Art, mit Ausnahme von Schäden aus der Verletzung von Leben, Körper und Gesundheit, ist gemäß § 54 a Abs. 1 Nr. 2 WPO bei einem fahrlässig verursachten ein zelnen Schadensfall auf EUR 4 Mio. begrenzt; dies gilt auch dann, wenn eine Haftung gegenüber einer anderen Person als Ihnen begründet sein sollte.

 

(b) Ein einzelner Schadensfall ist auch bezüglich eines aus mehreren Pflichtverletzungen stammenden einheitlichen Schadens gegeben. Der einzelne Schadensfall umfasst sämtliche Folgen einer Pflichtverletzung ohne Rücksicht darauf, ob Schäden in einem Jahr oder in mehreren aufeinanderfolgenden Jahren entstanden sind. Dabei gilt mehrfaches auf gleicher oder gleichartiger Fehlerquelle beruhendes Tun oder Unterlassen als einheitliche Pflichtverletzung, wenn die betreffenden Angelegenheiten miteinander in rechtlichem oder wirtschaftlichem Zusammenhang stehen. In diesem Fall können wir nur bis zur Höhe von EUR 5 Mio. in Anspruch genommen werden.

 

17.            Sollte die in Ziff. 16 vorgesehene Haftungsbeschränkung und die dort genannte Haftungssumme („Haftungshöchstbetrag”) nicht angemessen sein, so teilen Sie uns bitte den von Ihnen gewünschten Haftungshöchstbetrag mit. In diesem Fall werden wir uns bemühen, einen entsprechenden zusätzlichen Versicherungsschutz zu erhalten („Höherversicherung”). Sofern Sie zudem den zusätzlichen Aufwand  aus der Höherversicherung tragen, sind wir bereit, mit Ihnen einen entsprechenden erweiterten Haftungsrahmen zu vereinbaren. Wir weisen darauf hin, dass eine Erhöhung des Haftungshöchstbetrags nur dann zur Anwendung kommt, wenn sie schriftlich zwischen uns vereinbart wurde.

 

18.            Werden berechtigte Ansprüche, die unserer Haftungsbeschränkung unterfallen, von Ihnen und/oder einem oder mehreren Dritten, die sich auf die Mandatsvereinbarung berufen dürfen, gegen uns geltend gemacht, steht der Haftungshöchstbetrag in Obereinstimmung mit § 428 BGB sämtlichen - auch künftigen - Anspruchsberechtigten gemeinsam nur einmal zu. Demnach können wir mit schuldbefreiender Wirkung gegenüber allen Gläubigern an Sie leisten. Sollte die Summe aller Ansprüche (einschließlich künftiger Ansprüche), auf die die Bestimmungen dieses Abschnitts „Haftungsbeschränkung” Anwendung finden, den Haftungshöchstbetrag überschreiten, so obliegt die Aufteilung dieses Haftungshöchstbetrags Ihnen und allen weiteren Anspruchsberechtigten.

 

19.            Ein Schadensersatzanspruch kann nur innerhalb einer Ausschlussfrist von einem Jahr geltend gemacht werden, nachdem der Anspruchsberechtigte von dem Schaden und von dem anspruchsbegründenden Ereignis Kenntnis erlangt hat, spätestens aber innerhalb von fünf Jahren nach dem anspruchsbegründenden Ereignis. Der Anspruch erlischt, wenn nicht innerhalb einer Frist von sechs Monaten seit der schriftlichen Ablehnung der Ersatzleistung Klage erhoben wird, sofern Sie auf diese Folge hingewiesen wurden. Das Recht, die Einrede der Verjährung geltend zu machen, bleibt unberührt.

 

20.            Sollten ausnahmsweise im Einzelfall auch andere Personen als Sie dazu berechtigt sein, Ansprüche aus der Mandatsvereinbarung gegen uns geltend zu machen, so gelten auch gegenüber solchen Dritten die Bestimmungen der Ziff. 16 bis 21. §334 BGB findet Anwendung.

 

21.            Sie sind nicht dazu berechtigt, vertragliche Ansprüche oder Verfahren im Zusammenhang mit den Leistungen oder generell auf der Grundlage der Mandatsvereinbarung gegen ein anderes EY-Mitglied oder dessen oder unsere Unterauftragnehmer, Mitglieder, Anteilseigner, Geschäftsführungsmitglieder, Partner oder Mitarbeiter („EY-Personen’) geltend zu machen bzw. anzustrengen. Sie verpflichten sich, vertragliche Ansprüche ausschließlich uns gegenüber geltend zu machen bzw. Verfahren nur uns gegenüber anzustrengen.

 

Haftungsfreistellung

 

22.            Sie sind dazu verpflichtet, uns, andere EY-Mitglieder und EY-Personen von allen Ansprüchen Dritter (einschließlich Ihrer verbundenen Unternehmen und Anwälte) sowie daraus folgenden Verpflichtungen, Schäden, Kosten und Aufwendungen (insbesondere angemessene externe Anwaltskosten) freizustellen, die aus der Verwendung des Arbeitsergebnisses durch Dritte oder weil ein Dritter auf das Arbeitsergebnis (einschließlich Steuerberatung) vertraut, resultieren und die Weitergabe direkt oder indirekt durch Sie oder auf Ihre Veranlassung erfolgt ist. Diese Verpflichtung besteht nicht, sofern wir uns ausdrücklich schriftlich damit einverstanden erklärt haben, dass der Dritte auf das Arbeitsergebnis vertrauen darf.

 

Nutzungsrechte

 

23.            Im Rahmen der Erbringung unserer Leistungen sind wir berechtigt, Daten, Software, Muster, Hilfsmittel, Tools, Modelle, Systeme sowie  andere Methoden und Fachwissen („Know-How“) zu nutzen, die in unserem Eigentum stehen. Ungeachtet der Auslieferung des Arbeitsergebnisses verbleibt das geistige Eigentum am Know-How (einschließlich der im Rahmen der Erbringung der Leistungen entwickelten Verbesserungen oder der erworbenen Kenntnisse) und an sämtlichen im Rahmen der Leistungen zusammengestellten Arbeitspapieren (mit Ausnahme der in diesen wiedergegebenen Mandanteninformationen) weiterhin bei uns.

 

Vertraulichkeit

 

24.            Wir sind an die strengen berufsrechtlichen Verschwiegenheitspflichten gemäß § 43 WPO und § 57 StBerG gebunden. Soweit in der Mandatsvereinbarung nichts Anderweitiges geregelt ist, ist keine der Vertragsparteien dazu berechtigt, die Inhalte der Mandatsvereinbarung oder sonstige Informationen (mit Ausnahme der Steuerberatung), die von der jeweils anderen Vertragspartei oder in deren Namen zur Verfügung gestellt wurden und nach vernünftigen Erwägungen vertraulich sind und/oder als schützenswert zu behandeln sind, gegenüber Dritten offenzulegen.

 

25.            Vorbehaltlich vorrangiger gesetzlicher Verschwiegenheitspflichten ist den Vertragsparteien eine Offenlegung solcher Informationen jedoch gestattet, soweit sie

 

(a) ohne Verstoß gegen die Mandatsvereinbarung öffentlich bekannt geworden sind oder öffentlich bekannt werden,

 

(b) der Empfänger nach Abschluss der Mandatsvereinbarung von einem Dritten erhalten hat, der nach Kenntnis des Empfängers gegenüber der offenlegenden Partei im Hinblick auf die Informationen nicht zur Vertraulichkeit verpflichtet ist,

 

2

 

(c) dem Empfänger bereits zum Zeitpunkt der Offenlegung bekannt waren oder danach unabhängig entwickelt wurden,

 

(d) offengelegt werden, soweit dies erforderlich ist, um die Rechte des Empfängers aus der Mandatsvereinbarung durchzusetzen,

 

(e) aufgrund gesetzlicher Vorschriften oder berufsrechtlicher Vorgaben offengelegt werden müssen.

 

26.            Den Vertragsparteien ist die Verwendung elektronischer Medien zum Austausch und zur Übermittlung von Informationen gestattet. Eine solche Verwendung stellt per se keinen Verstoß gegen die Verschwiegenheitspflichten gemäß der Mandatsvereinbarung dar. Den Vertragsparteien ist bewusst, dass die elektronische Übermittlung von Informationen (insbesondere per E-Mail) Risiken birgt.

 

27.            Wir sind berechtigt, zum Zwecke der Erbringung unserer Leistungen, zur Einhaltung berufsrechtlicher Vorschriften, zur Vermeidung von Interessenskonflikten und zum Zwecke des Qualitäts- und Risikomanagements sowie der Rechnungslegung Mandanteninformationen an andere EY-Mitglieder und EY-Personen, die solche Daten verwenden, übertragen, speichern oder anderweitig verarbeiten können, weiterzugeben. Eine entsprechende Einwilligungserklärung ist der Mandatsvereinbarung zur Unterschrift beigefügt.

 

28.            Soweit die Unabhängigkeitsvorschriften der U.S. Security and Exchange Commission für die Mandatsbeziehung zwischen Ihnen bzw. einem Ihrer verbundenen Unternehmen und einem EY-Mitglied gelten, bestätigen Sie nach bestem Wissen und Gewissen in Bezug auf sämtliche Leistungen, dass bei Abschluss der Mandatsvereinbarung weder Sie noch eines Ihrer verbundenen Unternehmen mit einem anderen Berater schriftlich oder mündlich Beschränkungen für die Offenlegung der steuerlichen Behandlung oder der steuerlichen Gestaltung einer Transaktion, die Gegenstand der Leistungen sind, vereinbart haben. Eine derartige Vereinbarung könnte die Unabhängigkeit eines EY-Mitglieds hinsichtlich Ihrer Prüfung oder der Prüfung eines Ihrer verbundenen Unternehmen beeinträchtigen bzw. bestimmte steuerliche Angaben zu diesen Beschränkungen erforderlich machen. Demzufolge stimmen Sie zu, dass Konsequenzen einer solchen Vereinbarung allein in Ihrer Verantwortung liegen.

 

Datenschutz

 

29.            Wir sind dazu berechtigt, Mandanteninformationen, die bestimmten Personen zugeordnet werden können (,personenbezogene Daten”), zu erheben, zu verwenden, zu übertragen, zu speichern oder anderweitig zu verarbeiten (zusammen „verarbeiten”). Zum Zwecke der Erbringung unserer Leistungen, zur Einhaltung berufsrechtlicher Vorschriften, zur Vermeidung von Interessenskonflikten und zum Zwecke des Qualitäts- und Risikomanagements sowie der Rechnungslegung sind wir berechtigt, personenbezogene Daten in den verschiedenen Jurisdiktionen, in denen wir und die anderen EY-Mitglieder tätig sind (eine Aufstellung ist unter www.ey.com abrufbar), zu verarbeiten. Wir verarbeiten personenbezogene Daten ausschließlich in Übereinstimmung mit berufsrechtlichen Vorschriften und geltendem Recht, insbesondere unter Beachtung des BDSG. Wir verpflichten sämtliche Auftragnehmer, die in unserem Auftrag personenbezogene Daten verarbeiten, sich ebenfalls an diese Bestimmungen zu halten.

 

30.            Sie garantieren uns, dass Sie befugt sind, uns personenbezogene Daten im Zusammenhang mit der Erbringung unserer Leistungen zur Verfügung zu stellen und dass die uns zur Verfügung gestellten personenbezogenen Daten in Übereinstimmung mit geltendem Recht verarbeitet wurden.

 

Vergütung

 

31.            Ihre Vergütungsverpflichtung umfasst die Zahlung unserer Vergütung und bestimmter Auslagen für unsere Leistungen in Übereinstimmung mit der entsprechenden Leistungsbeschreibung bzw. deren Anlagen. Sie sind zudem verpflichtet, uns weitere angemessene Auslagen zu erstatten, die uns im Rahmen der Erbringung unserer Leistungen entstanden sind. Unsere Vergütung versteht sich exklusive Steuern oder ähnlichen Aufwendungen oder Zöllen, Gebühren oder Abgaben, die im Zusammenhang mit den Leistungen anfallen; diese sind von Ihnen zu tragen (mit Ausnahme der allgemeinen Besteuerung des Einkommens). Wir können angemessene Vorschüsse auf unsere Vergütung und Auslagenersatz verlangen und die Auslieferung unserer Arbeitsergebnisse von der vollen Befriedigung unserer Ansprüche abhängig machen. Soweit in der Leistungsbeschreibung nicht anderweitig geregelt, ist die Vergütung 30 Tage nach Zugang unserer Rechnung fällig.

 

32.            Wir haben Anspruch auf eine zusätzliche Vergütung, soweit Ereignisse außerhalb unseres Einflussbereichs (einschließlich Ihrer Handlungen oder Unterlassungen) uns daran hindern, die Leistungen wie ursprünglich geplant zu erbringen oder wenn Sie uns mit der Wahrnehmung zusätzlicher Aufgaben betrauen.

 

33.            Soweit wir von Gesetzes wegen oder aufgrund richterlicher oder sonstiger hoheitlicher Anordnung verpflichtet sind, Informationen als Beweismittel oder Personal als Zeugen im Zusammenhang mit unseren Leistungen oder der Mandatsvereinbarung zur Verfügung zu stellen, sind Sie dazu verpflichtet, uns den dadurch entstandenen Zeit- und Kostenaufwand (inklusive externer Rechtsberatungskosten) zu erstalten, sofern wir nicht selbst Partei des Verfahrens bzw. Subjekt der Ermittlungen sind oder soweit wir nicht durch staatliche Stellen entschädigt werden.

 

34.            Kommen Sie mit der Annahme der von uns angebotenen Leistungen in Verzug oder unterlassen Sie eine Ihnen nach Ziff. 7, 8 oder anderweitig obliegende Mitwirkungshandlung, so sind wir zur fristlosen Kündigung der Mandatsvereinbarung berechtigt. Unberührt bleibt unser Anspruch auf Ersatz zusätzlich entstandener Kosten sowie der uns durch den Verzug oder die von Ihnen unterlassene Mitwirkung entstandenen Schäden, und zwar auch dann, wenn wir von dem Kündigungsrecht keinen Gebrauch machen.

 

Höhere Gewalt

 

35.            Keine der Vertragsparteien ist für einen Bruch der Mandatsvereinbarung verantwortlich (mit Ausnahme von Zahlungsverpflichtungen), wenn diese durch Umstände verursacht wurde, die außerhalb des Einflussbereiches der Vertragsparteien liegen („höhere Gewalt“).

 

Laufzeit und Beendigung

 

36.            Die Bedingungen der Mandatsvereinbarung finden unabhängig vom Zeitpunkt ihrer Ausführung für die Leistungen dieser Mandatsvereinbarung Anwendung (einschließlich solcher Leistungen, die vor Unterzeichnung der Mandatsvereinbarung erbracht wurden).

 

37.            Die Mandatsvereinbarung endet mit dem Abschluss der Leistungen. Jede Vertragspartei ist berechtigt, die Mandatsvereinbarung bzw. eine bestimmte Leistung vorzeitig unter Einhaltung einer Frist von 90 Tagen schriftlich zu kündigen. Darüber hinaus sind wir zur fristlosen Kündigung der Mandatsvereinbarung bzw. einer bestimmten Leistung berechtigt, wenn wir aus vernünftigen Erwägungen zu dem Schluss kommen, die Leistungen nicht mehr in Übereinstimmung 

 

3

 

mit geltendem Recht oder unseren Berufspflichten erbringen zu können. §§ 626 und 627 BGB bleiben unberührt.

 

38.            Sie sind verpflichtet, uns bereits begonnene oder abgeschlossene Leistungen zu vergüten sowie entstandene Aufwendungen und Auslagen zu ersetzen, die uns bis zum Tag der Beendigung der Mandatsvereinbanjng entstanden sind.

 

39.            Unsere Verschwiegenheitspflichten gemäß der Mandatsvereinbanjng sowie andere Bestimmungen der Mandatsvereinbarung, die Rechte und Pflichten der Vertragsparteien über die Beendigung der Mandalsvereinbarung hinaus begründen, bestehen auch nach Beendigung der Mandatsvereinbarung zeitlich unbegrenzt fort.

 

Anwendbares Recht und Gerichtsstand

 

40.            Auf die Mandatsvereinbarung und sämtliche außervertraglichen Angelegenheiten oder Verpflichtungen, die sich aus der Mandatsvereinbarung oder den Leistungen ergeben, findet deutsches Recht Anwendung.

 

41.            Ausschließlicher Gerichtsstand für alle in Verbindung mit der Mandatsvereinbarung oder den Leistungen entstehenden Rechtsstreitigkeiten ist Stuttgart, Deutschland, oder nach unserer Wahl, (i) das Gericht, bei dem unsere mit der Erbringung der Leistungen schwerpunktmäßig befassle Niederlassung ihren Sitz hat oder (ii) die Gerichte an dem Ort, an dem Sie Ihren Sitz haben.

 

Sonstiges

 

42.            Auf unsere Aufforderung hin werden Sie uns in einer schriftlichen von uns vorformulierten Erklärung bestätigen, dass die unserer Beratung zugrunde gelegten Dokumente und Ihre Informationen und Erklärungen vollständig sind.

 

43.            Sie sichern zu, alles zu unterlassen, was die Unabhängigkeit unserer Mitarbeiter gefährden könnte. Dies gilt insbesondere für Angebote auf Anstellung und für Angebote, Aufträge auf eigene Rechnung zu übernehmen.

 

44.            Bei etwaigen Mängeln haben Sie Anspruch auf Nacherfüllung durch uns. Nur bei Fehlschlagen der Nacherfüllung können Sie Herabsetzung der Vergütung oder Rückgängigmachung der Mandatsvereinbarung verlangen; wenn der Auftrag von einem Kaufmann im Rahmen seines Handelsgewerbes, einer juristischen Person des öffentlichen Rechts oder von einem öffentlichrechtlichen Sondervermögen erteilt wurde, so können Sie die Rückgängigmachung der Mandatsvereinbarung nur verlangen, wenn die erbrachten Leistungen wegen Fehlschlagens der Nacherfüllung für Sie ohne Interesse sind. Soweit darüber hinaus Schadensersatzansprüche bestehen, gelten Ziff. 16 bis 21.

 

Der Anspruch auf Beseitigung von Mängeln muss von Ihnen unverzüglich schriftlich geltend gemacht werden. Ansprüche nach dem vorstehenden Absatz, die nicht auf einer vorsätzlichen Handlung beruhen, verjähren nach Ablauf eines Jahres ab dem gesetzlichen Verjährungs-beginn.

 

Offensichtliche Unrichtigkeiten, wie z. B. Schreibfehler, Rechenfehler und formelle Mängel, die in einem Arbeitsergebnis enthalten sind, können jederzeit von uns - auch Dritten gegenüber - berichtigt werden. Unrichtigkeiten, die geeignet sind, in unserem Arbeitsergebnis enthaltene Ergebnisse in Frage zu stellen, berechtigen uns, das Arbeitsergebnis auch Dritten gegenüber zurückzunehmen. Sofern dies möglich und zumutbar ist, werden wir Ihnen in den vorgenannten Fällen vorab Gelegenheit zur Stellungnahme geben.

 

45.            Wir bewahren die im Zusammenhang mit der Erfüllung der Mandatsvereinbarung uns übergebenen und von uns selbst angefertigten Unterlagen sowie den in Zusammen hang mit der Mandatsvereinbarung geführten Schrift wechsel zehn Jahre auf.

 

Nach Befriedigung unserer Ansprüche aus der Mandatsvereinbarung haben wir auf Ihr Verlangen alle Unterlagen herauszugeben, die wir in Erfüllung der Mandatsvereinbarung von Ihnen oder für Sie erhalten haben. Dies gilt jedoch nicht für den Schriftwechsel avischen Ihnen und uns und für Schriftstücke, die Ihnen bereits in Urschrift oder Abschrift vorliegen. Wir sind berechtigt, von Unterlagen, die wir an Sie zurückgeben, Abschriften oder Fotokopien zum Verbleib anzufertigen.

 

46.            Die Mandatsvereinbarung stellt die gesamte Vereinbarung im Hinblick auf die Leistungen und die sonstigen in der Mandatsvereinbarung geregelten Angelegenheiten zwischen den Vertragsparteien dar und ersetzt alle vorangegangenen diesbezüglichen Vereinbarungen, Übereinkünfte und Erklärungen einschließlich früher geschlossener Vertraulichkeitsvereinbarungen.

 

47.            Die Mandatsvereinbarung und/oder die Leistungsbeschreibung (sowie Änderungen derselben) bedürfen der Schriftform gem. §126 Abs. 1 BGB. Für die Wirksamkeit der Mandatsvereinbarung ist es ausreichend, wenn jede der Vertragsparteien eine separate Ausfertigung desselben Dokuments unterzeichnet

 

48.            Jede Partei sichert der anderen zu, dass die Personen, die die Mandatsvereinbarung und/oder die Leistungsbeschreibung in ihrem Namen unterzeichnen, berechtigt sind, die jeweilige Partei vertraglich zu binden.

 

Sie sichern zu, dass Ihre verbundenen Unternehmen oder andere Parteien, für die die Leistungen erbracht werden, und die Bedingungen der Mandatsvereinbarung und der Leistungsbeschreibung gebunden sind.

 

49.            Sie stimmen hiermit zu, dass wir und die anderen EY-Mitglieder unter Einhaltung der berufsrechtlichen Vorschriften für andere Mandanten - einschließlich Ihrer Wettbewerber - tätig werden dürfen.

 

50.            Eine Abtretung der Rechte, Pflichten oder Ansprüche aus der Mandatsvereinbarung ist nicht zulässig.

 

51.            Sollten eine oder mehrere Bestimmungen der Mandatsvereinbarung teilweise oder vollständig unwirksam, nichtig oder in sonstiger Weise undurchführbar sein, so berührt dies nicht die Wirksamkeit der übrigen Bestimmungen.

 

52.            Bei Widersprüchen oder Unklarheiten zwischen den Bestimmungen der Mandatsvereinbarung gilt folgende Rangfolge (sofern nicht ausdrücklich etwas anderes vereinbart ist): (a) das Anschreiben, (b) die entsprechende Leistungsbeschreibung (ggf. inkl. Vergütungsvereinbarung). (c) Einwilligungserklärung, (d) diese Allgemeinen Auftragsbedingungen und (e) die übrigen Anlagen zur Mandatsvereinbarung.

 

53.            Keine Partei ist berechtigt, den Namen, das Logo oder die Marke der jeweils anderen Partei ohne deren vorherige Zustimmung zu verwenden oder darauf Bezug zu nehmen. Sofern wir Ihre vorherige Zustimmung durch die beiliegende Einwilligungserklärung erhalten, dürfen wir Ihre Firmierung öffentlich im Zusammenhang mit den erbrachten Leistungen oder auf andere Art Sie als unseren Mandanten nennen.

 

54.            EY-Mitglieder und EY-Personen sind berechtigt, sich auf die Beschränkungen aus Ziff. 16 bis 21 und die Bestimmungen der Ziff. 22, 27, 29 und 49 zu berufen.

 

4

 

	

    	

    

 

Glossary

 

to the General Agreement 2013

 

between

 

Fresenius Medical Care AG & Co. KGaA

Else-Kröner-Straße 1

D-61352 Bad Homburg

(„FME”)

and

 

Fresenius Netcare GmbH

Else-Kröner-Straße 1

D-61352 Bad Homburg

(„NETCARE”)

 

	
Current status
    	
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22.01.2013
    
	
 
    	
 
    	
 
    
	
Last printed
    	
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18-Jul-13 10:08:00
    
	
 
    	
 
    	
 
    
	
Version
    	
:
    	
1.0
    

 

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Version History

 

This section ensures tracking of changes and thereby enhances the quality of the document. Each change has to be documented up to the final version. The next subversion will start from beginning.

 

New releases as a result of major reviews of the service model will cause a higher number before the dot. Therefore all service descriptions have the same release number at a certain time, starting with 1.x after initial release.

 

Updated versions as a result of general maintenance work will cause a higher number behind the dot, starting with .01, continuing with .02, .03 and so on.

 

This document is an attachment to the General Agreement and may be updated regularly by the Service Management Units of the Parties. Changes to this Glossary require the approval of the Steering Committee.

 

	
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FNC-ITSM   / 04.10.2012
    	
 
    	
FME-ITC   / 11.10.2012
    	
 
    	
Steering   Committee / 26.10.2012
    

 

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Definitions

 

	
Acceptance
    	
 
    	
means the acknowledgement by FME to NETCARE that the   Project or Service has been received as defined in the respective Service   Agreement.
    
	
 
    	
 
    	
 
    
	
Annex
    	
 
    	
means an annex to the General Agreement, including   but not limited to the MSD, this Glossary, Fairness Opinion.
    
	
 
    	
 
    	
 
    
	
Change Management
    	
 
    	
means the handling of changes and change requests in   accordance with the processes defined either in the GA or the MSD.
    
	
 
    	
 
    	
 
    
	
Confidential Information
    	
 
    	
means any information as defined in Section 8   of the General Agreement.
    
	
 
    	
 
    	
 
    
	
Continuous Improvement Process
    	
 
    	
means an ongoing effort to improve Services or   processes.
    
	
 
    	
 
    	
 
    
	
Contractual Change
    	
 
    	
means any changes to the contractual provisions as   defined in Section 7 of the GA.
    
	
 
    	
 
    	
 
    
	
Customer
    	
 
    	
means, for the purposes of invoicing and billing, an   individual unit or entity of FME as defined in the NETCARE invoicing system.
    
	
 
    	
 
    	
 
    
	
Defects
    	
 
    	
means non-compliance with any Service Levels or the   specifications agreed with respect to a Service or a defect in the priorities   level 1, 2 or 3 as defined in the MSD and the GA.
    
	
 
    	
 
    	
 
    
	
Emergency Support Service
    	
 
    	
means NETCARE’s Service providing support outside   the regular service times as described in the Standard Service Agreement.
    
	
 
    	
 
    	
 
    
	
Escalation Level
    	
 
    	
means the various management levels 1, 2 and 3 for   the clearance and settlement of any disputes between the Parties as defined   in the MSD.
    
	
 
    	
 
    	
 
    
	
Escalation Management Process
    	
 
    	
is the process for involving higher level management   in the course of the handling of a critical issue or dispute as defined in   Section 4 of the MSD.
    
	
 
    	
 
    	
 
    
	
FME
    	
 
    	
means Fresenius Medical Care AG & Co. KGaA.
    
	
 
    	
 
    	
 
    
	
FME EMEALA
    	
 
    	
means FME regions Europe, Africa, Middle East and   Latin 
    

 

3

 

	
 
    	
 
    	
America.
    
	
 
    	
 
    	
 
    
	
GA
    	
 
    	
means General Agreement. This is the framework   agreement governing the contractual relationship between FME and NETCARE with   respect to IT Services to be provided with effect from 1 January 2013   and replacing the General Agreement dated 8 December 2003.
    
	
 
    	
 
    	
 
    
	
GxP
    	
 
    	
Means Good Practice guidelines as applicable and   agreed, e.g. GMP (Good Manufacturing Practice).
    
	
 
    	
 
    	
 
    
	
Group of Services
    	
 
    	
means a group of Services that form a comprehensible   package to be defined by the Parties in connection with a benchmarking   request.
    
	
 
    	
 
    	
 
    
	
Incident
    	
 
    	
is any event, which is not part of the standard   operation of a Service and which causes an interruption to, or a reduction in   the quality of the Service including Defects.
    
	
 
    	
 
    	
 
    
	
Individual Service
    	
 
    	
means a service which is not (yet) covered via the   Standard Service Agreement, i.e. not yet covered via the Service Catalogue.
    
	
 
    	
 
    	
 
    
	
Individual Service Agreement
    	
 
    	
means an agreement between the Parties with respect   to an Individual Service.
    
	
 
    	
 
    	
 
    
	
Intellectual Property Rights
    	
 
    	
means any rights relating to trademarks, registered   designs, patents, applications for any of the foregoing, copyrights, design   rights, know-how, trade and business names, publication rights, goodwill and   any other similar rights which are protected by law in a country in the   Territory.
    
	
 
    	
 
    	
 
    
	
Known Error
    	
 
    	
is a problem that has a documented root cause and a   Workaround.
    
	
 
    	
 
    	
 
    
	
Known Error Database
    	
 
    	
is created by Problem Management and used by   Incident and Problem Management to manage all Known Errors.
    
	
 
    	
 
    	
 
    
	
Management Board
    	
 
    	
means the highest level in the approval process,   Escalation Management Process and management of the service relationship   between the Parties as defined in detail in the MSD.
    
	
 
    	
 
    	
 
    
	
MSD
    	
 
    	
means the Master Service Description.
    

 

4

 

	
NETCARE
    	
 
    	
means Fresenius Netcare GmbH.
    
	
 
    	
 
    	
 
    
	
Operation Units
    	
 
    	
mean the local units of FME and NETCARE involved in   the daily management of service operation under the Set of Contracts at an   operational level.
    
	
 
    	
 
    	
 
    
	
Party
    	
 
    	
means either FME or NETCARE.
    
	
 
    	
 
    	
 
    
	
Parties
    	
 
    	
means collectively FME and NETCARE.
    
	
 
    	
 
    	
 
    
	
FNC Price List
    	
 
    	
means NETCARE’s standard price list “Summary of   Standard Services, Prices and Charging Conditions” available on NETCARE ́s   Intranet.
    
	
 
    	
 
    	
 
    
	
Person Days
    	
 
    	
means the time period of 8 business hours.
    
	
 
    	
 
    	
 
    
	
Price List
    	
 
    	
means a price list for FME as agreed by the Steering   Committee each year based on the FNC Price List.
    
	
 
    	
 
    	
 
    
	
Problem
    	
 
    	
means a cause of one or more Incidents. The cause is   not usually known at the time a Problem is created.
    
	
 
    	
 
    	
 
    
	
Project
    	
 
    	
means a temporary endeavor with defined time, budget   and scope in order to develop or implement a Service.
    
	
 
    	
 
    	
 
    
	
Project Leading Committee
    	
 
    	
means a specific steering committee in connection   with a Project.
    
	
 
    	
 
    	
 
    
	
Operation Units
    	
 
    	
focus on the daily management of the Service   provisioning.
    
	
 
    	
 
    	
 
    
	
Request for Change
    	
 
    	
means a request for a Technical Change submitted by   FME or NETCARE.
    
	
 
    	
 
    	
 
    
	
Service Agreement
    	
 
    	
means any agreement between the Parties with respect   to any standard or individual services provided by NETCARE to FME under the   General Agreement and includes the Individual Service Agreements and Standard   Service Agreements.
    
	
 
    	
 
    	
 
    
	
Service Catalogue
    	
 
    	
means a catalogue of standard services published on   NETCARE ́s Intranet.
    
	
 
    	
 
    	
 
    
	
Service Desk
    	
 
    	
means a single point of contact for FME employees   requiring IT support.
    
	
 
    	
 
    	
 
    
	
Service Level
    	
 
    	
means those service standards in relation to a   Service which are to be achieved by NETCARE and which are specified in a   Service 
    

 

5

 

	
 
    	
 
    	
Agreement relating to a specific Service.
    
	
 
    	
 
    	
 
    
	
Service Level Agreement
    	
 
    	
means a Service Agreement with defined Service   Levels.
    
	
 
    	
 
    	
 
    
	
Service Management Units
    	
 
    	
are generally focused on the operational management   of the Service provision from NETCARE to FME as agreed under the Set of   Contracts.
    
	
 
    	
 
    	
 
    
	
Service Meeting
    	
 
    	
means a regular meeting of the Service Management   Units.
    
	
 
    	
 
    	
 
    
	
Services
    	
 
    	
means any services or works performed by NETCARE in   accordance with the terms of the Set of Contracts and defined in a Standard   Service Agreement or an Individual Service Agreement.
    
	
 
    	
 
    	
 
    
	
Service Change
    	
 
    	
means a change with respect to the type, scope,   price or quality of a Service or any other change with an impact on a   Service.
    
	
 
    	
 
    	
 
    
	
Service Component Description
    	
 
    	
means description of in-scope and out-of-scope   activities, availability of the Service, the order process, and optionally   selectable service features.
    
	
 
    	
 
    	
 
    
	
Set of Contracts
    	
 
    	
means collectively the terms of the General   Agreement, any Annexes and Service Agreements and any other documents which   may be referenced therein (and as may be amended from time to time), between   the Parties.
    
	
 
    	
 
    	
 
    
	
Service Request
    	
 
    	
means any kind of request by FME for the provision   of a Service.
    
	
 
    	
 
    	
 
    
	
Standard Service
    	
 
    	
means a service which covers recurring customer   requests as defined in a Service Catalogue and agreed in a Standard Service   Agreement.
    
	
 
    	
 
    	
 
    
	
Standard Service Agreement
    	
 
    	
means an agreement between the Parties regarding   Standard Services based on NETCARE ́s Service Catalogue.
    
	
 
    	
 
    	
 
    
	
Standard Software
    	
 
    	
means any third party standard software or NETCARE’s   own software not specifically and exclusively developed for FME.
    
	
 
    	
 
    	
 
    
	
Steering Committee
    	
 
    	
forms the central steering body of the service   relationship between the contractual bodies as defined in detail in the MSD.
    
	
 
    	
 
    	
 
    
	
Support Level
    	
 
    	
means First-Level-Support (Service Desk) and further   support levels like Second-Level-Support and Third-Level-Support as described   in the MSD.
    

 

6

 

	
Systems
    	
 
    	
means the hardware and/or operating software needed   for the provision of the Services.
    
	
 
    	
 
    	
 
    
	
Technical Changes
    	
 
    	
The addition, modification or removal of Hardware   and Software that could have an effect on IT services.
    
	
 
    	
 
    	
 
    
	
Territory
    	
 
    	
means FME regions Europe, Africa, Middle East and   Latin America.
    
	
 
    	
 
    	
 
    
	
Third Party
    	
 
    	
means a person or company other than NETCARE or FME   or any of their respective affiliates.
    

 

7

 

	

    	

    

 

Master Service Description

to the General Agreement 2013

 

between

 

Fresenius Medical Care AG & Co. KGaA

Else-Kröner-Straße 1

D-61352 Bad Homburg

(„FME”)

 

and

 

Fresenius Netcare GmbH

Else-Kröner-Straße 1

D-61352 Bad Homburg

(„NETCARE”)

 

	
Current status
    	
:
    	
23.01.2013
    
	
 
    	
 
    	
 
    
	
Last printed
    	
:
    	
23.1.2013
    
	
 
    	
 
    	
 
    
	
Version
    	
:
    	
1.0
    

 

1

 

Index

 

	
1.
    	
Introduction
    	
4
    
	
 
    	
1.1
    	
Version History
    	
4
    
	
 
    	
1.2
    	
Contractual Structure
    	
5
    
	
 
    	
 
    	
 
    
	
2.
    	
Governance
    	
7
    
	
 
    	
2.1
    	
Contractual Bodies
    	
8
    
	
 
    	
 
    	
2.1.1
    	
Management Board
    	
9
    
	
 
    	
 
    	
2.1.2
    	
Steering Committee
    	
9
    
	
 
    	
 
    	
2.1.3
    	
Service Management Units
    	
10
    
	
 
    	
 
    	
2.1.4
    	
Operation Units
    	
10
    
	
 
    	
2.2
    	
Risk Management
    	
10
    
	
 
    	
 
    	
 
    
	
3.
    	
Service Change   Management
    	
11
    
	
 
    	
3.1
    	
Principles of Service Change Management:
    	
11
    
	
 
    	
3.2
    	
Principles of Change Approval
    	
12
    
	
 
    	
3.3
    	
Principles of Signatures
    	
13
    
	
 
    	
 
    	
 
    
	
4.
    	
Escalation   Management
    	
14
    
	
 
    	
 
    
	
5.
    	
IT Service   Management
    	
15
    
	
 
    	
5.1
    	
Service Level Management
    	
16
    
	
 
    	
5.2
    	
Incident Management
    	
17
    
	
 
    	
 
    	
5.2.1
    	
Ticket Lifecycle
    	
18
    
	
 
    	
 
    	
5.2.2
    	
Support Channels
    	
19
    
	
 
    	
 
    	
5.2.2.1
    	
Central Service Desk Bad Homburg
    	
19
    
	
 
    	
 
    	
5.2.2.2
    	
Central SAP Service Desk Bad Homburg
    	
19
    
	
 
    	
 
    	
5.2.2.3
    	
Decentralized Service Desks
    	
19
    
	
 
    	
5.3
    	
Technical Change Management
    	
20
    
	
 
    	
5.4
    	
IT Service Continuity Management
    	
20
    
	
 
    	
5.5
    	
IT Security Management
    	
21
    
	
 
    	
5.6
    	
Service Catalogue Management
    	
21
    
	
 
    	
 
    	
 
    
	
6.
    	
Standard Service   Requests
    	
22
    
	
 
    	
 
    
	
7.
    	
Individual Service   Requests
    	
22
    
	
 
    	
 
    
	
8.
    	
Projects
    	
23
    
	
 
    	
8.1
    	
Project Management Method
    	
23
    
	
 
    	
 
    	
8.1.1
    	
Project Definition
    	
24
    
	
 
    	
 
    	
8.1.2
    	
Project Planning
    	
24
    
	
 
    	
 
    	
8.1.3
    	
Project Execution
    	
24
    
	
 
    	
 
    	
8.1.4
    	
Project Closure
    	
24
    

 

2

 

	
 
    	
8.2
    	
Project Changes
    	
24
    
	
 
    	
8.3
    	
Committees 
    	
25
    
	
 
    	
8.4
    	
Responsibilities within an Individual Project 
    	
25
    
	
 
    	
 
    	
8.4.1
    	
NETCARE’s Responsibilities and Services 
    	
25
    
	
 
    	
 
    	
8.4.2
    	
FME Responsibilities and Services 
    	
26
    
	
 
    	
8.5
    	
Project and Service Approval 
    	
26
    
	
 
    	
8.6
    	
General Terms for Project Pricing 
    	
28
    
	
 
    	
8.7
    	
Advanced Termination of Projects
    	
29
    
	
 
    	
 
    	
 
    
	
9.
    	
Continual Service   Improvement 
    	
30
    
	
 
    	
9.1
    	
Service Meeting 
    	
30
    
	
 
    	
9.2
    	
Continuous Improvement Process (CIP) 
    	
30
    
	
 
    	
9.3
    	
Complaint Management 
    	
31
    
	
 
    	
 
    	
 
    
	
10.
    	
Service   Accounting & Charging 
    	
31
    
	
 
    	
10.1
    	
Price Model 
    	
31
    
	
 
    	
10.2
    	
Price Setting for Standard Services 
    	
32
    
	
 
    	
10.3
    	
Service Volume 
    	
33
    
	
 
    	
10.4
    	
Volume and Master Data Variations 
    	
33
    
	
 
    	
10.5
    	
Yearly Reconciliation with FME 
    	
33
    
	
 
    	
10.6
    	
Invoice Reporting 
    	
34
    
	
 
    	
 
    	
 
    
	
11.
    	
Technical and   organizational measures (9 BDSG)
    	
34
    
	
 
    	
11.1
    	
Access Control to Premises and Facilities   (Entry Control) 
    	
34
    
	
 
    	
11.2
    	
Access Control to Systems (Admission Control)
    	
34
    
	
 
    	
11.3
    	
Data Access Control
    	
35
    
	
 
    	
11.4
    	
Disclosure Control 
    	
35
    
	
 
    	
11.5
    	
Input Control
    	
35
    
	
 
    	
11.6
    	
Job Control
    	
35
    
	
 
    	
11.7
    	
Availability Control
    	
36
    
	
 
    	
11.8
    	
Segregation Control 
    	
36
    

 

3

 

1.              Introduction

 

1.1            Version  History

 

This Section ensures tracking of changes and thereby enhances the quality of the document. Each change has to be documented up to the final version. The next subversion will start from beginning.

 

New releases as a result of major reviews of the Service model will cause a higher number before the dot. Therefore all Service descriptions have the same release number at a certain time, starting with 1.x after initial release.

 

Updated versions as a result of general maintenance work will cause a higher number behind the dot, starting with .01, continuing with .02, .03 and so on.

 

This document is an attachment to the General Agreement and may be updated regularly by the Service Management Units of the Parties. Changes to this MSD require the approval of the Steering Committee.

 

	
Vers.
    	
 
    	
Change
    	
 
    	
Section
    	
 
    	
Created by
   / When
    	
 
    	
Reviewed by
   / When
    	
 
    	
Approved by/
   When
    
	
1.0
    	
 
    	
Creation of the document
    	
 
    	
all
    	
 
    	
FNC-ITSM / 04.10.2012
    	
 
    	
FME-ITC / 11.10.2012
    	
 
    	
Steering Committee / 26.10.2012
    

 

4

 

1.2            Contractual Structure

 

The complete agreement between the Parties and the contractual structure defined as “Set of Contracts” consists of:

 

a)                  this General Agreement; and

 

b)                  related documents (the Annexes) such as:

 

i.                  Master Service Description;

 

ii.               Glossary

 

iii.            Fairness Opinion

 

iv.           List of Affiliates

 

v.              others

 

c)                   Service Agreements

 

i.                  Standard Service Agreements

 

ii.               Individual Service Agreements.

 

The order of precedence of the documents under the Set of Contracts is defined in the General Agreement in Section 1. The General Agreement provides the legal framework that shall govern the cooperation between, and the overall relationship and general obligations of, the Parties.

 

The List of Affiliates shall be amended according to the procedure defined in Section 10.5.

 

5

 

 

The MSD is structured according to the interfaces between NETCARE and FME extended by additional topics which describe the general processes necessary for a high quality Service provision from NETCARE to FME.

 

6

 

 

2.                            Governance

 

In addition to the general governance structure set forth in the GA, the Parties agreed upon the committees and their roles, focus, tasks and responsibilities as described in this Section. The defined contractual bodies shall be staffed with equal representation of FME and NETCARE and decisions shall be mutually agreed.

 

The Parties commit themselves to collaborate at least with the below mentioned and described bodies:

 

7

 

2.1          Contractual Bodies

 

Management Board (meeting cycle: on request)

 

	
Party
    	
 
    	
Participating Roles
    	
 
    	
Person Acting
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
FME
    	
 
    	
Board Member for Global Manufacturing   Operations
    	
 
    	
Kent Wanzek
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
CEO of Region EMEALA
    	
 
    	
Dr. Emanuele Gatti
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
Board Member for Global Law, Compliance, Intellectual   Property, Corporate Business Development
    	
 
    	
Dr. Rainer Runte
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
NETCARE
    	
 
    	
Chairman
    	
 
    	
Klaus Kieren
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
Vice Chairman
    	
 
    	
Jürgen Kunze
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
Member of the Management Board
    	
 
    	
Stephan Sturm
    

 

Steering Committee (meeting cycle: regular, minimum four times per year (quarterly)

 

	
Party
    	
 
    	
Participating Roles
    	
 
    	
Person Acting
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
FME
    	
 
    	
Chief Financial Officer EMEALA
    	
 
    	
Thomas Dimt
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
Head of IT Coordination EMEALA
    	
 
    	
Klaus Grimm
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
NETCARE
    	
 
    	
Vice Chairman
    	
 
    	
Jürgen Kunze
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
Head of Global IT Service Office &   European Regions
    	
 
    	
Ralf Ehrenborg
    

 

8

 

Service Management Units (meeting cycle: regular, minimum on monthly basis

 

	
Party
    	
 
    	
Participating Roles
    	
 
    	
Person Acting
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
FME
    	
 
    	
Head of IT Service Management
    	
 
    	
Winfried Döll
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
IT Service Coordinator
    	
 
    	
Florian Griesenbeck
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
Controlling EMEALA
    	
 
    	
Holger Neumann
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
NETCARE
    	
 
    	
Head of IT Service Management
    	
 
    	
Hermann Luckhardt
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
Head of Commercial Business
    	
 
    	
Andreas Standfest
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
Consultant IT Service Management
    	
 
    	
Sebastian Biebl
    

 

Operation Units (meeting cycle: on request)

 

	
Party
    	
 
    	
Participating Roles
    	
 
    	
Person Acting
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
FMER
    	
 
    	
Participants on request from local Operation   Units
    	
 
    	
On request
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
NETCARE
    	
 
    	
Participants on request from local Operation   Units
    	
 
    	
On request
    

 

2.1.1       Management Board

 

The Management Board as defined hereunder shall be consistent of at least 2 representatives of both Parties’ Management Boards.

 

The Management Board agrees on the Set of Contracts in general and acts as highest escalation level in case of any dispute, controversy or claim arising out of or in connection with the Set of Contracts.

 

The Management Board will make every effort to settle amicably any escalation and avoid a lawsuit. Furthermore the Management Board has an important role for contractual management as described in Section 3.

 

2.1.2       Steering Committee

 

The Steering Committee forms the central steering body of the Service relationship between the contractual bodies. In addition to relationship and Escalation Management, its main focus is the examination of operative and strategic plans and the related achievement of

 

9

 

objectives. This body decides about production and process issues and controls and evaluates the Services rendered by NETCARE with regards to quality, continuity and risk.

 

The Steering Committee allocates necessary budgets and resources and initiates Projects or working groups. In this respect the Steering Committee centrally steers and supervises measures and Projects related to the Service relationship of the Parties.

 

In addition, the Steering Committee is the last Escalation Level before the Management Board. FME and NETCARE aim at resolving or settling preferably all escalations and conflicts on the level of the Steering Committee. The Steering Committee meets at regular intervals or if necessary.

 

2.1.3       Service Management Units

 

The Service Management Units comprehend FME Information Technology Coordination EMEALA Department (ITC), NETCARE IT Service Management (ITSM) and NETCARE Commercial Business. This contractual body is generally focused on the operational management of the Service provision from NETCARE to FME as agreed under the Set of Contracts. Also monitoring of Service Levels and scope of Services as well as Service Changes during the period of Service provisioning shall be the responsibility of such units.

 

2.1.4       Operation Units

 

The Operation Units comprehend FME local units and NETCARE departments on an operational level. The Operation Units provide the governance for the daily management of the Service provisioning.

 

2.2          Risk Management

 

NETCARE performs risk management with the aim to identify the GMP-critical processes for a prospective validation of the business processes based on the process description and other related documentation. The risk analysis will be executed and documented. Furthermore the risk management is one of the core elements within NETCARE’s quality management system. The figure below describes NETCARE’s approach to ensure GxP-compliant IT Services.

 

10

 

 

3.      Service Change Management

 

In accordance with §7 of the General Agreement, changes with an impact on the specifications or scope of the Services (Service Changes) will be handled as described hereunder. Contractual Changes will be handled according to the change procedure as defined in the General Agreement.

 

3.1          Principles of Service Change Management:

 

Service Changes have to be discussed and prepared on certain levels:

 

1.     Changes with impact to the General Agreement, Master Service Description, global Standard Services and global Individual Services are in the responsibility of the defined Service Management Units.

 

2.     Changes with impact to local Individual Services and local Standard Services are in the responsibility of the respective Operation Units.

 

11

 

 

3.2          Principles of Change Approval

 

Service Changes have to be approved on certain levels:

 

1.     Changes with impact to the General Agreement, Master Service Description, global Standard Services and global Individual Services are in the responsibility of the defined Steering Committee.

 

2.     Changes with impact to local Standard Services and local Individual Services are in the responsibility of the Service Management Units.

 

12

 

 

3.3          Principles of Signatures

 

Service Changes have to be signed on certain levels:

 

1.     Changes with impact to the General Agreement are in the responsibility of the Management Board.

 

2.     Changes with impact to the Master Service Description, global Standard Services and global Individual Services are in the responsibility of the Steering Committee.

 

3.     Changes with impact to local Standard Services and local Individual Services are in the responsibility of the respective Operation Units.

 

The principles defined above shall not affect the signature authorities defined in the relevant signature policies (Unterschriftenrichtlinie) of the Parties.

 

13

 

 

4.     Escalation Management

 

Both Parties agree to cooperate in good faith as it is outlined in §5 of the General Agreement. Nevertheless there is a need for an Escalation Management in order to manage the collaboration efficiently and effectively, to solve issues on the appropriate organizational level and to proactively prevent any potential law suits.

 

The Parties agree to institute the Escalation Management Process described hereunder before taking any other legal steps including initiation of arbitration proceedings as specified in the General Agreement. Furthermore the Parties agree to mutually tend to find a consensus involving the respective Operation Units of FME and NETCARE, as far as reasonable, before instituting the Escalation Management Process.

 

Any disagreements shall first be discussed on operational level. As far as a consensus cannot be reached each Party may initiate the following Escalation Management Process in case of dissension regarding Service provisioning, Service quality, operational topics or dissension about any other agreement in the context of the Set of Contracts.

 

1. Escalation Level: The Party initiating the Escalation Management Process is obliged to provide a statement in writing or text outlining the reasons for the dissension and the

 

14

 

escalation to the first Escalation Level being the Service Management Unit of both Parties. The statement shall include at least the reason for the dissension, the reference to the relevant provisions and documents in the Set of Contracts and possible alternatives to settle the dissension. The other Party is obliged to react with a statement in writing or text on the dissension. The Service Management Units shall discuss the dissension and agree on a settlement as soon as reasonable.

 

2. Escalation Level: If no settlement can be reached by the Service Management Units (this requires in general unanimity) the request for further escalation including the statements shall be processed to the next Escalation Level being the Steering Committee. The Steering Committee shall discuss the dissension and agree on a settlement as soon as reasonable.

 

3. Escalation Level: If no settlement can be reached in the Steering Committee the request for further escalation including the statements shall be processed to the last Escalation Level being the Management Board. If the Management Board is not able to reach a unanimous settlement agreement each Party may independently from the other declare the Escalation Management Process as failed and initiate arbitration proceedings as defined in the General Agreement.

 

5.     IT Service Management

 

NETCARE shall establish and maintain a state of the art Service management which orientates on the good practices collected in the IT Infrastructure Library (currently version V3). The objective of NETCARE’s IT Service management is to ensure that their IT Services provide best possible support for FME’s business. The established Service management processes include but are not limited to:

 

·              NETCARE’s Service management processes with interface to FME

 

·                 Service Level Management

 

·                 Incident Management

 

·                 Technical Change Management

 

·                 IT Service Continuity Management

 

·                 IT Security Management

 

·                 Service Catalogue Management

 

·              NETCARE’s internal Service management processes

 

15

 

·      Availability Management

 

·      Event Management

 

·      Financial Management

 

·      Knowledge Management

 

·      Problem Management

 

·      Release & Deployment Management

 

·      Request Fulfillment.

 

This MSD focuses on the above mentioned Service management processes with interface to FME and does not describe NETCARE’s internal processes implemented to ensure that the Service provision meets the agreed Service Levels.

 

5.1          Service Level Management

 

Service Level Management includes the processes of planning, coordinating, drafting, agreeing, monitoring and reporting of Service Agreements, and the ongoing review of Service achievements to ensure that the required and cost-justifiable Service quality is maintained and gradually improved.

 

The Service Agreements agreed between the Parties shall comprise at least the following provisions:

 

·      introduction

 

·      version, change history, author

 

·      validity

 

·      territory

 

·      timeframe

 

·      Service description

 

·      overview

 

·      short summary

 

·      assumptions

 

·      scope of Services

 

·      detailed Service description

 

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·      in-scope Services

 

·      out-of-scope Services

 

·      optional Services

 

·      dependencies

 

·      obligation of FME

 

·      Service Level

 

·      definition of Service Level and/or classes of Service Levels

 

·      definition of measurements (KPIs) and measurement methods

 

·      reporting

 

·      conditions and exceptions of Service provision

 

·      deviances from the GA; MSD or other agreements under the Set of Contracts

 

·      service price (if not covered within the Price List)

 

·      signatures

 

·      glossary

 

·      attachments

 

NETCARE performs Service Level Management in order to conclude Service Agreements with FME. In terms of Service Agreements the Parties distinguish between Individual Service Agreements and Standard Service Agreements.

 

The differentiation between Individual and Standard Service Agreement depends on the kind of demand of FME. If FME has a new demand not covered via an existing Service Agreement or a demand for a change to an existing Service Agreement this shall be covered via an Individual Service Agreement. If the demand of FME shows that there is a need for certain recurring requests this shall be covered within the umbrella of the Standard Service Agreement between NETCARE and FME, i.e. via the Services from the Service Catalogue. If no deviance from NETCAREs Service Catalogue is agreed by the Parties the Service Catalogue acts as Standard Service Agreement.

 

Furthermore NETCARE’s Service Level Management monitors the adherence to the agreed Service Levels and ensures a regular discussion within the Service Meetings as described in Section 9.1.

 

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5.2            Incident Management

 

NETCARE provides FME with a state of the art Incident Management. The aim of this Incident Management is to resolve any Incidents causing an interruption of Service provided by NETCARE to FME in the quickest and most effective way possible. This includes also monitoring the effectiveness and efficiency of the IT support. FME can trigger the Incident Management process via user calls or mails to the Service Desk as described in Section 5.2.2. Furthermore NETCARE performs a state of the art Event Management in order to proactively avoid any Incidents. Therefore Incidents can be triggered by system monitoring or information from NETCARE staff as well.

 

The Incident Management performed by NETCARE comprises:

 

·                  registration of Incidents,

 

·                  prioritization of Incidents,

 

·                  direct resolution of Incidents (First Level Support),

 

·                  resolution of complex Incidents (Second & Third Level Support),

 

·                  closure of Incidents and analysis of Incidents,

 

·                  performance of Incident Management reporting,

 

·                  monitoring and escalation of Incidents,

 

·                  proactive information of the users,

 

·                  maintenance of the Support Knowledge Base.

 

Beside the Incident Management NETCARE performs Problem Management with the purpose to manage all Problems throughout their lifecycle, proactively identify similar support cases with unknown cause and provide and maintain a Known Error Database. The goal is to identify the root cause of a Problem and develop a solution that eliminates this root cause in order to prevent potential or further occurrences of similar Incidents. If it is not possible to avoid support cases, the goal is to minimize the impact on FME.

 

5.2.1   Ticket Lifecycle

 

NETCARE shall ensure that every Incident is inserted in the Service Desk’s ticketing system and the information received is registered, such as name of the FME user, date and time of registration, short text and description, category of request, priority, etc. If the Incident can be resolved immediately by the Service Desk (First Level Support), the ticket will be closed. If not, the ticket will be prioritized and then passed to the appropriate department (Second Level Support, Third Level Support, third party suppliers). A reminder function is active for the Service Desk, so the state of the ticket will be requested, if not solved/closed after the appropriate period. The Service Desk is responsible for the coordination of all Incidents up to

 

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a final closure of the tickets. NETCARE shall notify the requesting FME employee after an Incident has been closed.

 

5.2.2   Support Channels

 

NETCARE provides FME with a decentralized support concept that considers the local conditions and/or specific requirements as described in the Service Catalogue. This Section is a summary of the available support channels. The NETCARE Intranet contains information regarding the Service Desks which enables the user to choose the correct support channel. In general the Service Desk(s) can be contacted by FME via e-mail or phone.

 

NETCARE’s decentralized support concept differentiates the Central Service Desk Bad Homburg, the Central SAP Service Desk Bad Homburg and the decentralized Service Desks.

 

Outside the regular Service times NETCARE provides an Emergency Support Service in order to support business critical IT Systems and their supportive infrastructure. Furthermore NETCARE provides FME with Onsite Support such as providing IMAC Services (IMAC = install, move, add, change) which comprise the setup, disassembly and move of NETCARE’s Services as well as the elimination of interferences and changes to the FME user’s IT equipment.

 

5.2.2.1   Central Service Desk Bad Homburg

 

The Central Service Desk is the single point of contact for all non-SAP-Services provided by NETCARE in the Rhine-Main region (e.g. standard applications, Services, hardware, user administration, contact details, non-standard applications where possible).

 

5.2.2.2   Central SAP Service Desk Bad Homburg

 

The Central SAP Service Desk is the single point of contact for all SAP-Services provided by NETCARE in the Rhine-Main region.

 

5.2.2.3   Decentralized Service Desks

 

The decentralized Service Desks cover each a location and/or several locations in a country or region. They are specialized on the service portfolio that is used at the particular location. Whenever there is a local Service Desk available for a location, this is the first point of contact for NETCARE’s Services provided in the specific region / location. As far as a local SAP Service Desk is available this is the first point of contact for SAP Services provided in the specific region / location.

 

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5.3                     Technical Change Management

 

NETCARE performs a state of the art Technical Change management with the aim to ensure the adherence to internal and external guidelines regarding the operation of Systems and applications. Thereby the Technical Change Management enables NETCARE to maintain a validated status of the Systems and applications and ensures the consistence of FME requirements and available functionalities. NETCARE’s Technical Change Management has additionally the objectives to reduce the number of Incidents and to increase the stability of the IT environment.

 

In general the Technical Change management process is triggered by Incidents, Problems, requests, ideas or during Projects. The initiation of the Technical Change management process is always a Request for Change (RfC) which runs through a two-tier procedure based on permission and approval, involving customers’ test contribution and explicit customer approvals.

 

The permission of RFCs requires a description of the change, its organizational and technical classification and the agreement of actions and documentation requirements necessary for an RfC-approval and following go-live.

 

The RfC-approval, which is the second step in the two-tier procedure, ensures the adherence to the agreed actions and documentation requirements before a go-live can take place.

 

Thereby NETCARE’s Technical Change management process ensures that legal requirements are fulfilled and that changes affecting configuration items within the productive environment are traceable, documented, coordinated and planned.

 

5.4                     IT Service Continuity Management

 

As agreed in the respective Service Agreements NETCARE performs IT Service Continuity Management for IT Services belonging to critical business Services in order to enable FME’s business continuity with a defined minimum Service provision in case of a disaster. Main steps to reach this objective are:

 

·                  the creation of a Service criticality description or risk assessment document based on a risk or availability assessment,

 

·                  the creation of a recovery plan for data or IT Services covering the requirements of the respective Service Agreement including the definition of the recovery time objective and recovery point objective,

 

·                  the deployment and testing of the recovery plan.

 

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5.5                     IT Security Management

 

NETCARE performs IT Security Management on behalf of FME in order to enable and maintain a secure IT environment. In general both Parties maintain an IT security framework. NETCARE implements the defined technical security measures on behalf of FME and assures Service delivery in line with FME’s IT security guidelines. State of the art IT security processes are performed by NETCARE in all relevant areas.

 

This includes but is not limited to antivirus, data encryption, penetration tests and intrusion detection systems. NETCARE IT Security Management covers all Systems and Services provided by NETCARE if not otherwise agreed between the Parties in Service Agreements.

 

The collaboration of NETCARE and FME related to IT Security Management happens on two levels:

 

1.              Governance level: Security governance, checklists and policies are discussed and coordinated by the IT Security Managers of FME and NETCARE. They collaborate within the Risk, Security & Compliance Working Group (RSCWG) to be established by the Parties.

 

2.              Operational level: NETCARE provides security support for FME through the proactive analysis and management of security advisories. A security advisory is a notification about a potential or existing security gap which is currently provided to NETCARE by third-party. These security advisories are monitored and categorized on a regular basis and if necessary appropriate actions are performed in order to maintain a secure IT environment for FME. Furthermore NETCARE’s Service Desk acts as single point of contact for FME users in case of security issues. NETCARE’s Service Desk involves the respective technical support teams as necessary in case of Incidents. Additionally the Service Desk informs user groups about important security information via e-mail if necessary.

 

5.6                     Service Catalogue Management

 

NETCARE performs Service Catalogue Management in order to ensure that a Service Catalogue is produced and maintained, containing accurate information on all operational Services. Service Catalogue Management provides vital information for all other Service management processes including Service details and the Services’ interdependencies. FME can order Services from the Service Catalogue via Standard Service Requests as described in Section 6.

 

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6.  Standard Service Requests

 

Standard Service Requests shall cover recurring customer requests in order to reach the Parties’ mutual target to save fulfillment time and costs. FME users may request Standard Services via the NETCARE Intranet based on NETCARE’s general Service Catalogue.

 

Under the Set of Contracts FME and NETCARE agree on a certain level of Service provisioning based on this Service Catalogue, called Standard Service Agreement. The MSD applies for all Services listed in the Service Catalogue.

 

The NETCARE Service Catalogue consists of two parts:

 

·                  Standard Services, which are described in a clear and comprehensive language, free from IT-specific terminology whenever possible.

 

·                  Service Component Descriptions, which provide information concerning in-scope and out-of-scope activities, availability of the Service, the order process, and optionally selectable service features.

 

7.  Individual Service Requests

 

Individual Service Requests shall be placed if FME has a demand which is not (yet) covered via Standard Services in the Service Catalogue. This can include the establishment of new Services, Service Changes, feasibility studies, concepts or other Projects. Any FME employee is enabled and allowed to place an IT request with respect to the local guidelines defined by FME. Whenever FME plans to involve IT resources or spend IT budget and order NETCARE, a request in FME’s demand management tool has to be placed which ensures that the FME approval process is adhered to.

 

The order process contains the following steps:

 

1.         Request for Quotation (RFQ): FME describes the request from business perspective and transfers it to NETCARE. NETCARE provides FME an offer covering the demand described in the RFQ.

 

2.         Approval Process: All FME Project and change requests run through the FME approval process.

 

3.         Order Process: With successful completion of the approval process the order is officially placed to NETCARE and the related fulfillment processes to the request are triggered.

 

No work shall be performed by NETCARE without an officially placed order by FME. NETCARE is not allowed to accept any request by FME which is not submitted via the procedure mentioned above.

 

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The responsibility for the customizing and the development of applications shall solely be assigned to NETCARE and such Services shall be handled in a separate Project to be agreed between the Parties according to the regulations outlined in the GA and this MSD. Both the above mentioned written offer by NETCARE detailing the specification of the Individual Service Request and the price of Services to be rendered by NETCARE thereunder and an order confirmation by FME lead to an Individual Service Agreement mutually agreed between the Parties.

 

8.  Projects

 

This Section shall govern all Projects which have been mutually agreed between FME and NETCARE and are not superseded by stipulations set forth in Individual Service Agreements for specific Projects.

 

8.1                     Project Management Method

 

The procedure for executing Projects is described in the NETCARE Project Management Manual (PM@FNC) that applies to all employees of NETCARE and/or subcontractors commissioned by NETCARE who are either involved in the execution of Projects, are processing activities with a project character or are responsible for providing project management services and/or having such services provided. PM@FNC is aligned with the V-Model for Software Development & Implementation. In general NETCARE’s project methodology PM@FNC will be used for Projects with a budget volume higher than 35.000 € if not otherwise agreed between the Parties.

 

The project management activities performed by the defined project team during a Project shall cover:

 

·                  roles & responsibilities

 

·                  project plan

 

·                  risk management

 

·                  quality management

 

·                  escalation & issue management

 

·                  communication & stakeholder management

 

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·                  standard reporting.

 

Each Project shall be divided in the following phases:

 

8.1.1   Project Definition

 

The goal of this first phase of the project management lifecycle is to provide all necessary information for the approval of the Project.

 

8.1.2   Project Planning

 

The goal of this phase is to establish solid foundation for the Project enabling the management to understand the work that needs to be done to deliver the Service before the implementation of the Project is approved.

 

8.1.3   Project Execution

 

In this phase the defined requirements are realized.

 

8.1.4   Project Closure

 

During this phase the official closure of the Project is performed and finally documented (e. g. end project report including follow-on action recommendations and lessons learned, validation accept, FME approval).

 

8.2                     Project Changes

 

FME reserves the right to demand from NETCARE, at any time during the performance of an individual Project, to carry out changes in such individual Project including alterations, modifications in the type or extent of the individual Project being an amendment, omission or addition, increase or decrease in its quantity, acceleration etc. whichever FME in its sole discretion considers necessary or desirable. NETCARE shall be obligated to carry out such changes, if mutually agreed upon between the Parties. NETCARE shall only be entitled to withhold its consent to any such change requests if NETCARE can show that such change request were to materially violate NETCARE’s rights.

 

During the performance of the individual Project NETCARE may propose in writing to FME any changes that NETCARE considers necessary and/or desirable in order to effect cost savings and/or improve the quality, efficiency of the individual Project and/or

 

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otherwise to the benefit of FME. FME shall be entitled, at its sole discretion, to approve or reject any changes proposed by NETCARE.

 

NETCARE shall submit to FME for its proper evaluation a written summary of such changes requested and/or proposed such as but not limited to indicating the time required for carrying out the change and any effect on the schedule, as well as the costs associated therewith.

 

If FME desires to accept such change the Parties shall add such corresponding changes to the scope of Services, the schedule, and the agreed costs as reduced into writing by the project managers.

 

8.3                     Committees

 

Individual project values of more than 100.000 € shall require a mandatory implementation of a Project Leading Committee according to the PM@FNC project methodology. The participants of the Project Leading Committee shall at least consist of one member of FME and NETCARE senior management.

 

8.4                     Responsibilities within an Individual Project

 

The following general responsibilities apply to all Projects in addition to the responsibilities set forth in the GA.

 

8.4.1   NETCARE’s Responsibilities and Services

 

·                  A removal of NETCARE employees from the project team within an ongoing Project needs to be discussed with FME in advance.

 

·                  If NETCARE removes project members from the project team, NETCARE is obliged to replace the resource with internal or external resources with the same skill level. Any additional costs caused by the replacement will not be charged to FME, unless it has been agreed otherwise between the two Parties.

 

·                  As far as no fixed payment terms have been agreed upon between the Parties, services rendered by NETCARE shall be payable only upon sufficient proof such as a detailed report of performed activities which shall be made available to FME with each monthly invoice. Detailed regulations shall be agreed upon between the Parties and shall then be part of the Individual Service Agreement.

 

·                  The individual Project has to be fulfilled by NETCARE according to the NETCARE project guidelines mentioned in Section 8.1 and regulations of NETCARE and FME. In case of conflicts between such guidelines and regulations, the project managers of both, FME and NETCARE, shall undertake to find a compromise. If such conflict

 

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persists the issue shall be submitted to the Project Leading Committee and, if the conflict cannot be settled, further escalated to the Steering Committee in accordance with the Escalation Management Process.

 

·                  Responsibilities of NETCARE and third parties, if any, shall be agreed upon by the Parties in greater detail in each Individual Service Agreement and shall be binding with respect to the individual Project.

 

8.4.2   FME Responsibilities and Services

 

·                  A removal of FME employees from the project team within an ongoing project needs to be discussed with NETCARE in advance.

 

·                  If FME removes project members from the project team, FME is obliged to replace the resource with internal or external resources with the same skill level. Any additional costs caused by the replacement will be covered by FME, unless it has been agreed between the two Parties.

 

·                  For each individual Project one responsible FME project manager has to be assigned by FME.

 

·                  Responsibilities of FME shall be agreed upon by the Parties in greater detail in each Individual Service Agreement and shall be binding with respect to the individual Project.

 

8.5                     Project and Service Approval

 

NETCARE shall inform FME of the readiness for testing and Acceptance upon completion of the Project. Where the Parties have agreed on certain delivery dates for the deliverable under the Project, NETCARE shall inform FME of the readiness for testing and Acceptance 15 days prior to the delivery date.

 

Within a period of 10 days after receipt of the notification NETCARE and FME shall carry out an acceptance test and review in accordance with the acceptance and test plan agreed for the relevant deliverable or as appropriate for the Acceptance of the deliverable.

 

Defects ascertained during the acceptance testing and review shall be documented by FME and reported to NETCARE without undue delay. NETCARE shall subsequently remedy these Defects in accordance with the priorities and categories defined below.

 

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Defects determined in the performance or part performance under review shall be divided into the following error categories:

 

Category 1: As a result of the error, the System as a whole or the part of the System under review cannot be used. If the effect of simultaneous existence of Defects in category 2 and category 3 is equivalent to that of a category 1 Defect, such simultaneous Defects shall constitute a category 1 Defect.

 

Category 2: The error causes substantial restrictions in the use of important functions, which cannot be circumvented by suitable measures for a reasonable time from FME’s point of view. If the effect of simultaneous existence of Defects in category 3 is equivalent to that of a category 2 Defect, such simultaneous Defects shall constitute a category 2 Defect.

 

Category 3: All other errors.

 

The Parties shall agree on the classification of a Defect to a category. If this cannot be achieved within undue delay after identification of such Defect, the matter shall be resolved through the Escalation Management Process.

 

FME shall only be entitled to refuse its Acceptance as a result of Defects in the categories 1 and 2. Category 3 Defects shall not prevent the Acceptance of the performance, but shall be remedied as part of the rights in case of Defects. Such Defects shall be recorded as Defects in the written acceptance declaration. Following remedy of the Defects relevant for Acceptance, the Parties shall without undue delay repeat the acceptance testing. If Defects are still discovered during the testing, NETCARE shall undertake further remedial work to correct such Defects. Where, after the third acceptance testing Defects are still discovered relevant for Acceptance, the Parties may agree and declare the remedy as failed and FME shall be entitled to either require NETCARE to provide at no extra charge such replacement or additional services as will enable such deliverable to pass the acceptance testing within a reasonable time or accept such deliverable with a reasonable abatement of charges for such deliverable.

 

After the acceptance review has been successfully completed, FME must declare its Acceptance without undue delay, to be made in writing if requested by NETCARE. If FME does not declare its Acceptance within a period of 30 business days upon completion of the acceptance review, NETCARE shall be entitled to request Acceptance from FME within an additional period of 20 business days. The deliverable shall be deemed accepted upon

 

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expiry of such period unless FME notifies NETCARE of any material Defects of categories 1 or 2 in the deliverable and rejects Acceptance within such period.

 

Acceptance of a final deliverable will be deemed Acceptance of parts included and incorporated into the final deliverable.

 

If there can be no Acceptance because of the nature of the services rendered under the Project, then the provision and delivery of the services shall replace such Acceptance.

 

Where a Service qualifies as a works result or NETCARE is obliged to provide a deliverable, Acceptance shall be required in accordance with the acceptance testing and review procedure set forth in this Section 8.5.

 

8.6       General Terms for Project Pricing

 

The Parties agree to the following terms, unless different conditions have been defined in the respective Individual Service Agreement:

 

·                  In general Projects are offered by NETCARE on time & material basis.

 

·                  The prices per person day are applied as specified in the Price List in and outside of regular business hours.

 

·                  Any additional costs for external resources need to be negotiated between NETCARE and FME in the Individual Service Agreement.

 

·                  If the Services rendered by NETCARE or, as far as applicable by subcontractors on behalf of NETCARE, do not require full Person Days, such Services shall be reimbursed by FME pro rata temporis.

 

·                  All expenditures (e.g. travel expenses, travel time, out-of-pocket expenses) which will be charged to FME by NETCARE have to be documented and to be acknowledged by FME in advance, unless otherwise agreed within the respective Individual Service Agreement.

 

·                  Alternatively and upon FME’s request, NETCARE shall offer one of the following pricing models:

 

·                  fixed price for the overall individual Project:

 

·                  realization of defined requirements at an agreed price and date

 

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·                  upper price limit for the overall individual Project:

 

·                agreement of an upper price limit which may not be exceeded

 

·                 charging according to services rendered on the basis of Person Days

 

·                  If FME acknowledges in writing a request by NETCARE to increase prices, the respective Individual Service Agreement shall be modified accordingly. Otherwise the individual Project shall be fulfilled as already stipulated in the respective Individual Service Agreement.

 

·                  If the Parties agree upon one of the pricing models as outlined above, such terms and details shall be implemented in the respective Individual Service Agreement.

 

·                  If NETCARE foresees that in case of fixed price or upper price limit agreements, the costs might exceed the agreed upon price, for example due to additional requirements, NETCARE shall:

 

·                  immediately inform FME thereof and state reasons

 

·                  not be entitled to invoice higher cost if such cost is not caused by additional requirements requested by FME (following the above mentioned change procedure).

 

·                 If the price is an “upper limit price” NETCARE shall not charge FME for the capacity which NETCARE has kept available but which was not required for the finalization of the individual Project.

 

·                 Should the estimated and agreed upon time and material for effort Projects be exceeded by 10% or more (Additional Costs), NETCARE shall immediately inform FME thereof and shall state reasons. Only after written approval by FME such Additional Costs shall be deemed accepted and refundable by FME. If FME does not respond within one business day after the receipt of NETCARE’s notification the progress of the individual Project is agreed. NETCARE bears the onus of proof that such notification has been received by the respective FME project manager.

 

8.7       Advanced Termination of Projects

 

FME may, at any time and at its sole discretion, terminate individual Projects by giving NETCARE written notice thereof. Immediately after receipt of written notice for termination, NETCARE shall terminate its Services according to such terminated individual Project. FME shall be obligated to reimburse NETCARE for the services

 

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rendered until the termination date. Furthermore, FME shall be obligated to reimburse NETCARE with 15% of the remaining budget, as agreed in the respective Individual Service Agreement as compensation for free capacities which cannot be utilized according to the termination of the Individual Service Agreement. NETCARE shall be obliged to utilize the free capacity in other Projects, if possible, and the above mentioned reimbursement of 15% shall then be reduced accordingly. NETCARE is obliged to negotiate identical terms with subcontractors involved in individual Projects to reduce risk for FME in the case of prior termination. As far as the subcontractor is not willing to accept such terms FME’s written confirmation has to be obtained. In case of FME’s acknowledgement in writing to such deviating terms, FME is obliged to pay all costs which may be caused by prior termination with subcontractors. No additional payment obligations or compensation of whatsoever nature shall vest in FME with respect to the terminated Individual Service Agreement.

 

9. Continual Service Improvement

 

9.1       Service Meeting

 

NETCARE and FME agree to perform regular Service Meetings with the objective to reach customer satisfaction through the delivery of the right Service at the right time within the defined Service Level. These meetings are performed on operational level on a monthly basis involving the Service Management Units of NETCARE and FME and the agenda shall cover at least:

 

·                  A discussion about the reports provided by NETCARE in the last reporting period.

 

·                  A discussion about the service portfolio of NETCARE focusing not only on the currently productive Services but also on new demands of FME or Services which are close to the end of their lifecycle and can be withdrawn from NETCARE’s current service portfolio.

 

·                  A handling of issues or requests for Service Changes. In case of dissension the Service Management Units shall initiate the Escalation Management Process.

 

9.2       Continuous Improvement Process (CIP)

 

NETCARE’s quality management comprises a Continuous Improvement Process (CIP). CIP is an instrument used for process optimization to continuously check NETCARE’s quality management system for its effectiveness and to update it at regular intervals to reflect the

 

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state of the art. The following two basic approaches are used for the continuous improvement of the quality management system, the processes as well as Services:

 

·                  Deming Cycle approach - Plan - Do - Check - Act (PDCA)

 

·                  QM documentation.

 

9.3       Complaint Management

 

Complaint management provides the FME users with the possibility to raise a complaint if a NETCARE Service is perceived less than satisfactory. A complaint has to be differentiated from a Defect of a Service. Defects shall be handled in the Incident Management as described in Section 5.2.

 

NETCARE’s Service Desks serve as preferred point of contact for all FME users having a complaint regarding Services provided by NETCARE. After a complaint has been reported by FME, NETCARE analyzes the complaint and triggers Problem Management or the Continuous Improvement Process if necessary. Until the complaint is finally closed NETCARE keeps in touch with the user who raised the complaint and regularly informs him about the actions taken in order to recover customer satisfaction.

 

10. Service Accounting & Charging

 

10.1        Price Model

 

Unless otherwise agreed in Section 8.6 the Parties agree upon monthly payment for the Services rendered by NETCARE under the Set of Contracts. The price model is based on unit prices and the actual quantity ordered and received by FME.

 

This price model defines charging criteria for each Service depending on utilization (such as number of end devices for a defined category, number of mailboxes, file space used, etc.).

 

The price model is based on:

 

·                  Prices for Standard Services according to Price List

 

·                  Prices for Individual Services as agreed between the Parties in the Individual Service Agreements

 

Optional Services can be charged based on daily rates according to skill level or special conditions (monthly fixed prices). The Price List for FME is generated based on the standard FNC Price List available on NETCARE ́s Intranet and is agreed by the Steering Committee each year as described in Section 10.5.

 

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10.2                        Price Setting for Standard Services

 

Each Service has a specific material number. The unit price per Service and the related material number for a Service are named in the Price List.

 

For charging the IT Standard Services, each entity and unit of FME will be defined as Customer in NETCARE’s invoicing system. A Customer may involve several internal FME cost centers but NETCARE will only charge to a single clearing cost center to be provided by the Customer. FME shall be solely responsible for the allocation of the users / Services to the individual internal FME cost centers.

 

The particular Services will be captured and administered in sub systems containing data relevant for the invoicing process. These sub systems will be summarized monthly in one NETCARE invoice.

 

Planned Time Schedule Invoicing

 

	
From 12th to 17th day of the month
    	
·  Accumulation of invoicing data
    
	
 
    	
 
    
	
From 17th — 19th day of the month
    	
·  Inspection of invoicing data
    
	
 
    	
 
    
	
From 20th to 23rd day of the month
    	
·  Generation of invoices followed by dispatch
    
	
 
    	
 
    
	
From 23rd day of the month
    	
·  Data import into Business Warehouse (P20/Portal)
    

 

If the above mentioned dates do not occur on a weekend or public holiday, the above mentioned time schedule should be observed.

 

In December the dates will vary well-planned from the above mentioned time schedule as charging has to be carried out one week in advance due to year-end closing activities of the businesses in Germany and abroad. Hence in December, three weeks of Services will be charged and five weeks the following January correspondingly. This mainly concerns Services depending on volume such as SAP usage, telephone charge units and Internet volume.

 

Due to the time schedule, changes (cancellations and transfer registrations) of names, cost centers or Services can only be considered until the 14th day of a current month within an invoicing cycle. Changes received later will be processed during the following billing process.

 

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10.3                        Service Volume

 

In the course of the yearly budget processes (Group regulation) the Customers are provided with the current data in due time (end of June / beginning of July) adjusted to the known volume variations as expectation values for the following year.

 

The actual volumes per Customer are determined on a monthly basis and transferred to the charging system per Service.

 

10.4                        Volume and Master Data Variations

 

Master data (names, cost centers and customer assignments) are maintained by the respective Operation Units of NETCARE.

 

Changes to master data can be considered until the 14th day of a current month.

 

·                  Master data for equipment (including PC back-up and Credant) can be entered by the respective user at the beginning of the month via self-service in the “inventory inquiry”.

 

·                  It is possible to make use of a registration / deregistration tool for user or Service Changes

 

·                  In case of substantial changes, it is advisable to prepare an Excel Sheet. These changes will be carried out by Commercial Business or forwarded to the respective Operation Units.

 

10.5                        Yearly Reconciliation with FME

 

Within the yearly budget process the following activities have to be coordinated with FME IT Coordination:

 

·                  Agree on scheduling at the beginning of each budget process

 

·                  Alignment of Customer master data (new customers, changes in organization, cost centers, etc.). This results in an update of the List of Affiliates which contains FME’s affiliated companies receiving Services from NETCARE. If necessary the list shall be updated during the year.

 

·                  Verification of Service volume

 

·                  Agreement on prices for new Services and price changes for existing Services - if any.

 

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·                 Provision of Service Agreement per Customer incl. Standard and Individual Services

 

The result of the reconciliation process has to be presented to and approved by the Steering Committee.

 

10.6                        Invoice Reporting

 

A contact person from Commercial Business will grant the authorizations necessary to access invoice details per Customer. Sending an email request is sufficient. Data can be accessed via the SAP BI system (P20) or portal. This service is free of charge for FME.

 

11. Technical and organizational measures (9 BDSG)

 

NETCARE is obliged to pursue the following general technical and organizational measures in order to adhere to Section §9 BDSG and annex.

 

11.1                        Access Control to Premises and Facilities (Entry Control)

 

Unauthorized access (in the physical sense) must be prevented. Technical and organizational measures to control access to premises and facilities, particularly to check authorization may include but are not limited to:

 

·                  establishing and maintaining staggered access authorizations for employees and third parties

 

·                  close loop lifecycle process for employees and visitors identity cards

 

·                  guarding by security Service outside working hours

 

·                  appropriate physical security measures

 

·                  any other appropriate measures for data security.

 

11.2                        Access Control to Systems (Admission Control)

 

Unauthorized access to IT Systems by NETCARE personnel must be prevented.

 

Technical (ID/password security) and organizational (user master data) measures for user identification and authentication for NETCARE personnel may include but are not limited to:

 

·                  definition of authorized persons

 

·                  personalized user account and password

 

·                  password procedures

 

·                  segmentation of networks

 

·                  use of antivirus software and personal firewalls

 

·                  rules of behavior for the use of mobile devices and laptops

 

34

 

·                  appropriate WLAN security

 

11.3                        Data Access Control

 

Access to processed data not covered by the allocated access rights must be prevented. 

 

Definition of the authorization scheme and access rights driven by data security requirements may include but are not limited to:

 

·                  differentiated access rights

 

·                  monitoring and logging of violations

 

·                  restrictions of access rights of non-administrators

 

·                  management of access rights only by administrators

 

·                  usage of data processing equipment only after identifying and authenticating the user.

 

11.4                        Disclosure Control

 

Aspects of the disclosure of personal data must be controlled and monitored.

 

Measures for storing, transporting or transmitting data may include but are not limited to:

 

·                  appropriate measures must be in place while transmitting or transporting data

 

·                  appropriate security for data on mobile devices

 

·                  disclosure of data to third parties contracted by NETCARE only with legal permit

 

·                  restrictions of persons authorized to transfer data.

 

11.5                        Input Control

 

Documentation of data management and maintenance must be maintained.

 

Measures for subsequent checking whether data have been entered, changed or removed (deleted), and by whom:

 

·                  instructions for the collection of data

 

·                  logging and reporting systems 

 

·                  write access by role

 

11.6                        Job Control

 

Commissioned data processing must be carried out according to instructions.

 

Measures (technical/organizational) to segregate the responsibilities between FME and the NETCARE:

 

35

 

·                  unambiguous wording of the contract

 

·                  formal commissioning (request form) in accordance to BDSG

 

·                  criteria for selecting the NETCARE as processor

 

·                  regular monitoring and control of contract performance by NETCARE

 

·                  subcontract only with equivalent level of safety.

 

11.7                        Availability Control

 

The data must be protected against accidental destruction or loss.

 

Measures to assure data security (physical/logical) may include but are not limited to:

 

·                  backup procedures

 

·                  mirroring of hard disks

 

·                  uninterruptible power supply (UPS)

 

·                  malicious software

 

·                  disaster recovery plan based on the requirements provided by FME.

 

11.8                        Segregation Control

 

Data collected for different purposes must be processed separately.

 

Measures to provide separate processing (storage, amendment, deletion, transmission) of data for different purposes may include but are not limited to:

 

·                  segregation of functions (production/testing)

 

·                  logical or physical data separation

 

·                  Multi-Client-System, except the systems which are as of the effective date One- Client-Systems. Within such clients, for “cost-sharing” purposes, applications of other Fresenius companies are operated.

 

36

 

	

    	

    

 

Standard Service Agreement

to the General Agreement

 

between

 

Fresenius Medical Care AG & Co. KGaA 

Else-Kröner-Straße 1

D-61352 Bad Homburg

(„FME”)

 

and

 

Fresenius Netcare GmbH 

Else-Kröner-Straße 1

D-61352 Bad Homburg

(„NETCARE”)

 

	
Table of Content
    
	
 
    
	
Servicecatalog   2013 - EN, 11.12.2012 V. 02.02
    
	
 
    
	
Price   List 2013 - EN, 29.10.2012 V. 01.4
    
	
 
    
	
Signatures
    

 

	
Current status
    	
:
    	
22.01.2013
    
	
Last printed
    	
:
    	
12/21/2012 11:48:00 AM
    
	
Version
    	
:
    	
1.0
    

 

 

 

SERVICE CATALOG 2013

 

 

Fresenius Netcare GmbH

Else-Kröner Straße 1

61352 Bad Hornburg v.d.H.

 

T: +49 (0) 6172 608 0

E: service@fresenius-netcare.com

I: www.fresenius-netcare.com

 

Stand: December 2012

 

 

Inhalt

 

	
·
    	
Servicecatalog
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
IT Workstation
    	
6
    
	
 
    	
Email Communication Services
    	
9
    
	
 
    	
Telephony at Workstation
    	
12
    
	
 
    	
Mobile Phones and Data Connections
    	
14
    
	
 
    	
Home office
    	
16
    
	
 
    	
FAX Connection Service
    	
19
    
	
 
    	
Secure Data Connections to Fresenius
    	
20
    
	
 
    	
Conferencing Services
    	
22
    
	
 
    	
Service Desk & Support
    	
24
    
	
 
    	
Terminal Server (Citrix)
    	
29
    
	
 
    	
 
    	
 
    
	
·
    	
End User Services
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
Basic IT Operation Package
    	
31
    
	
 
    	
Client Backup
    	
33
    
	
 
    	
Hard Drive Protection
    	
34
    
	
 
    	
First Installation Service
    	
35
    
	
 
    	
IT Equipment Moving Service
    	
36
    
	
 
    	
On-site Support
    	
37
    
	
 
    	
Computer Pick-up Service
    	
38
    
	
 
    	
Central Service Desk Bad Homburg
    	
39
    
	
 
    	
Decentralized Service Desks
    	
41
    
	
 
    	
FNC Emergency Support
    	
43
    
	
 
    	
Email Plus with User Support
    	
45
    
	
 
    	
Email Facility Connection Standard
    	
47
    
	
 
    	
Email Facility Connection Plus
    	
49
    
	
 
    	
Email Web Solution Basic
    	
51
    
	
 
    	
Email Web Solution Extended
    	
53
    
	
 
    	
Mobile Email for BlackBerrys
    	
55
    
	
 
    	
Software Packaging and Deployment
    	
57
    
	
 
    	
Terminal Server
    	
59
    
	
 
    	
E-Fax
    	
61
    
	
 
    	
 
    	
 
    
	
·
    	
Network- and Telecommunications
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
Network Printer Access
    	
62
    
	
 
    	
Internet Access Basic
    	
63
    
	
 
    	
VPN Connect Full Access
    	
65
    
	
 
    	
VPN Connect Basic Application
    	
67
    
	
 
    	
VPN WEB Connect
    	
69
    
	
 
    	
Home Office Basic
    	
71
    
	
 
    	
Home Office Comfort
    	
73
    
	
 
    	
Voice Telephone
    	
75
    
	
 
    	
Voice Mailbox
    	
77
    
	
 
    	
Fax Connection
    	
78
    
	
 
    	
Mobile Phones and Data Connections
    	
79
    
	
 
    	
Audio Conferencing
    	
81
    
	
 
    	
Room Video Conferencing
    	
82
    
	
 
    	
Desktop Video Conferencing
    	
83
    

 

 

	
·
    	
Hosting
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
Output   Management Internal
    	
85
    
	
 
    	
Output   Management External
    	
86
    
	
 
    	
 
    	
 
    
	
·
    	
Application-Management
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
One-time   License Fee SAP ERP 6.0 and SAP Maintenance
    	
87
    
	
 
    	
SAP   Usage
    	
89
    
	
 
    	
SAP   Support
    	
90
    
	
 
    	
SAP   Project capacity for application development
    	
91
    
	
 
    	
Electronic   Data Interchange
    	
93
    
	
 
    	
IT   Training
    	
94
    
	
 
    	
SAP   Travel Management
    	
95
    
	
 
    	
Online   Learning Center
    	
97
    

 

Health is everything we lay its foundation

 

 

	
 
    	
IT Workstation

 

Desktop computers and laptops for the mobile workstation
   or the office workstation
    

 

Contact Person:

Lothar Gützkow

 

Which service suits me best?

 

In the service “IT Workstation” you find all FNC services to equip your workstation with a computer or laptop. This portfolio includes a data protection package that protects your important data from any third party and from loss in a reliable manner. Should you require support with an error that occurs at your IT workstation, the central service desk will gladly assist you at the following telephone number: +49-6172-608-1111 and our on-site technicians are available as well.

 

You can combine whichever service components you want. To provide you with some assistance, we have assembled two different recommendations for an optimal workstation. Please select the appropriate services:

 

	
Service components
    	
 
    	
Standard
   workstation
    	
 
    	
Mobile
   workstation
    	
 
    	
Description
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Hardware   and related equipment
    	
 
    	
X
    	
 
    	
X
    	
 
    	
Select   a desktop computer or laptop from our standard portfolio.
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Basic   package - workstation connection
    	
 
    	
X
    	
 
    	
X
    	
 
    	
Infrastructure   (e.g. network, standard office programs, antivirus protection)
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Applications
   (subject to licensing)
    	
 
    	
X
    	
 
    	
X
    	
 
    	
Use   professional software to optimize your results. In addition to the standard   applications included, you can also purchase software that is subject to   licensing.
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Laptop   / Computer data backup (Client Backup)
    	
 
    	
X
    	
 
    	
X
    	
 
    	
Protect   your local data automatically from data loss.
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Internet   access
    	
 
    	
X
    	
 
    	
X
    	
 
    	
Access   to internet.
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Hard   disk encryption
    	
 
    	
 
    	
 
    	
X
    	
 
    	
With   the service “Hard Disk Encryption”, sensitive data is inaccessible for third   parties if your laptop is lost or stolen.
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
VPN   Connect - full access
    	
 
    	
 
    	
 
    	
X
    	
 
    	
Access   your internal resources, such as data and applications, while on the go.
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Mobile   data connection
    	
 
    	
 
    	
 
    	
X
    	
 
    	
By   using an UMTS card, connect to the internet or the Fresenius resources via   the mobile phone network.
    

 

6

 

How can I obtain this service?

 

Hardware and Related Equipment*

 

Choose Standard Computer / Laptop in the FNC-Intranet. Relay purchase requisition (BANF) to FNC purchasing department.

 

* Service fees are calculated per order item (I00084) 23,62 € or bundle (I000285) 50,00 €

 

	
Basic   Package - Workstation Connection (I000045)
   (Basic IT-Operation Package)
    	
 
    	
per device € 85.00 / month
    

 

After ordering the hardware with FNC Procurement, you will receive a configuration form by email. Please complete this form and have it signed by your line manager. Afterwards please fax the form to Hardware Delivery (fax number +49-(0)-6172-608-7513).

 

	
Applications   (subject to licensing)
    	
 
    	
The   price depends on the applicable license fees plus a flat rate for the   software procurement
    

 

Please complete the order specifications for the application to be procured and send these to FNC Procurement (fax number: +49 6172 608 395655). Then the application is purchased for you and activated in the software depot, if possible. Alternatively, the software is delivered to your workstation. Our User Support will gladly assist you (where possible) with the installation.

 

	
Laptop   / Computer Data Backup (I000222)
    	
 
    	
per device € 11.80 / month
    
	
(Client   Backup)
    	
 
    	
 
    

 

You obtain the Client Backup via the software depot (Start - Software Depot). You will be prompted to enter your cost unit. Please provide the necessary information. The service will be invoiced automatically every month.

 

	
Internet-Access   (I000048)

Internet-Access   Volume (I000081)
    	
 
    	
€   4.00 incl. 20 MB data volume / month each additional MB € 0.14
    

 

For data volumes exceeding 3 GB, we charge an additional fee of € 31.50 per GB and month.

 

	
Hard   Disk Encryption (I000269)
    	
per device € 4.85 / month
    

 

You obtain the Hard Disk Encryption via the software depot (Start - Software - Depot - Security - Credant Mobile Guardian). You will be prompted to enter your cost unit. Please provide the necessary information. The service will be invoiced automatically every month.

 

	
VPN   Connect — Full Access (I000171)
    	
€ 23.75 plus data volume / month
    

 

See FNC Services “Secure Data Connection to Fresenius”

 

7

 

On-Site Assignments

 

See FNC Services “FNC User Support”

 

	
On-site services
    	
 
    	
Description
    	
 
    	
Price per hour
   (target prices)*
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
One-site   Support 
   (I000205)
    	
 
    	
Interference elimination and changing of IT equipment 
   (e.g. adding memory)
    	
 
    	
84 €
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
First   Installation Service
   (1000203)
    	
 
    	
Configuring, delivering and installing new IT equipment
    	
 
    	
84 €
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
IT   Equipment Moving Service
   (1000204)
    	
 
    	
Moving IT equipment
   (order through Central Services)
    	
 
    	
84 €
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
Computer   Pick-up Service
   (1000211)
    	
 
    	
Disposing of used devices and returning to lessor, as well as backing   up your data
    	
 
    	
84 €
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
Software   Packaging and Deployment
    	
 
    	
Mass rollout of software components Installation, update,   de-installation
   (software life cycle management)
    	
 
    	
by request
    

 

	
Terminal   Server (Citrix): (I000252)
    	
per device 19.90 € / month
    

 

Please fill out a requisition form, in which you specify the number of your order item or send an email to: lothar.guetzkow@fresenius-netcare.com

 

With the aid of the terminal server (Citrix) technology, office applications (currently Office 2003 / 2010, Kipdips, Applix, SPAGUI (current version)) are operated in the FNC Data Center. In this way, you have — independent of your end device - a secure and fast working environment. Software installations and updates of existing programs are executed centrally by FNC so that they are available to all users within a very short time. By request, we will also provide you with other applications via Citrix. The work required for this is invoiced according to time and effort.

 

Note: License fees are not included!

 

Where can I get help?

 

If you have questions or problems, please contact our service desk from Monday through Friday (except public holidays) from 06:00 to 18:00 CET at the following telephone number: +49 6172 608 1111.

 

8

 

	
Email Communication Services

 

Worldwide email communication and scheduling
    	
 
    

 

Contact Person:

Gianpietro Alpiani

 

Which service suits me best?

 

The Fresenius communication platform — based on Lotus Notes — provides you with a wide range of functions for your daily communication with customers, suppliers and colleagues. In addition to sending emails, you can also use the platform for scheduling and task management. The setup of new Notes user accounts and the user support will be provided either by FNC or by a local administrator, depending on the Fresenius location.

 

Please select the appropriate service:

 

	
 
    	
 
    	
Email Plus with
   User Support
   (I000051)
    	
 
    	
Email Location
   Integration Standard
   (I000036)
    	
 
    	
Email Web
   Solution Basic
   (I000173)
    	
 
    	
Email Web
   Solution Extended
   (I000305)
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Availability
    	
 
    	
Rhine-Main Area
    	
 
    	
worldwide
    	
 
    	
worldwide
    	
 
    	
worldwide
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Mailbox   size in MB
    	
 
    	
300
    	
 
    	
depending   on local memory
    	
 
    	
100
    	
 
    	
100
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
User   support
    	
 
    	
Service   Desk
    	
 
    	
provided   by the location
    	
 
    	
provided   by the location
    	
 
    	
provided   by the location
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Email   server operation
    	
 
    	
by   FNC
    	
 
    	
provided   by the location
    	
 
    	
by   FNC
    	
 
    	
by   FNC
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
One-time   license fees per user (I000054)
    	
 
    	
€   47.25
    	
 
    	
€   47.25
    	
 
    	
none
    	
 
    	
none
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Price   per user per month
    	
 
    	
€   9.50
    	
 
    	
€   7.53
    	
 
    	
€   2.50
    	
 
    	
€   3.50
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Available   extensions
    	
 
    	
· mailbox   extension

· E-fax

· mobile email

· BlackBerrys

· email

·   long-term-archiving
    	
 
    	
· email location   integration plus

· mobile email BlackBerrys
    	
 
    	
none
    	
 
    	
· mobile email
    

 

9

 

Which extensions are available?

 

	
Email   Mailbox Extension (I000087)
    	
per   additional 50 MB € 3.88 per month
    

 

With the service component “Email Plus with User Support”, the mailbox size is limited to 300 MB. This is the total size of emails including all folders, such as “inbox”, “sent”, etc. Shortly before this limit is reached - at 280 MB -, you will automatically receive a warning by email. You can request an expansion* of your mailbox by sending an email to the central service desk (hotline-pc@fresenius-netcare.com), in which you specify your cost unit.

 

*for FMC max. extension up to 500 MB possible

 

	
Email   Facility Connection Plus (I000051)
    	
per   user / month € 9.50
    

 

For locations that do not want to operate their own email infrastructure, FNC provides and operates the infrastructure with the aid of local partners.

 

The following services are provided by FNC:

 

· Deployment and maintenance of required email hardware 

(email server - without local IT infrastructure)

· Installation of new releases (operating system software versions) for server application

 

	
E-Fax   (I000033)
    	
per   user / month € 4.00
    

 

With the extension package “E-Fax”, you can receive and send faxes via your email mailbox. Additionally, you will receive your personal fax number next to your existing telephone number. In addition to faxing emails, you can also fax email attachments, e.g. Excel, Word or PowerPoint files. The document is automatically opened and reaches the recipient as a fax.

 

	
Mobile   Email BlackBerrys (I000172)
    	
per   connection / month € 13.75
    

 

Connect your mailbox to your BlackBerry. With this service you can send and receive emails; furthermore, you have access to your calendar. As a result, information concerning your latest scheduling is readily available, and in this way you are in a position to send or respond to invitations while on the go.

 

Please find additional information under the service “Mobile Phones and Data Connections”.

 

	
Email   Long-Term Archiving onto Server (I000277)
    	
per   10 MB /month € 0.14
    

 

With the option “Email Long-Term Archiving onto Server” you can back up your actual email correspondence at a reasonable price and you can access it again when needed. With long-term archiving you can keep your mailbox ‘slim’.

 

10

 

How can I obtain this service?

 

Email Plus with User Support:

 

Request a new Lotus Notes user account via the IT requests in the FNC intranet:

You will find these in the FNC intranet portal under “IT Requests”

 

	
Bad Homburg
    	
Friedberg
    
	
Network and Notes users
    	
Service Desk Pfingstweide 53
    
	
Central Service Desk
    	
T: +49 6172 686 - 8823
    
	
T: +49 6172 608 - 1111
    	
Service Desk Freseniusstr. 1
    
	
E: hotline-pc@fresenius-netcare.com
    	
T: +49 6172 686 - 6135
    
	
 
    	
 
    
	
St. Wendel
    	
Oberursel (Borkenberg) 
    
	
Service Desk St. Wendel
    	
Network and Notes users 
    
	
T: +49 6851 807 - 555
    	
Service Desk Borkenberg
    
	
E:   de-wn.it-support@fresenius-netcare.com
    	
T: +49 6172 608 - 4444
    
	
 
    	
E: B14-FNC@fresenius-netcare.com
    

 

Please find additional user information, such as “First Steps in Lotus Notes”, in IT Proficiency (“IT-Führerschein”) in the FNC intranet.

 

Email Location Integration Standard and Email Web Solution:

 

To request a new Lotus Notes user account, please contact the Lotus Notes administrator responsible for your location. If the local administrator is not known, please contact the central service desk.

 

11

 

	
 
    	
Telephony at Workstation

 

Digital landline telephone connections, -end devices
   and telephony features for the office workstation
    

 

Contact Person: 

Gerhard Rettenbacher

 

Which service suits me best?

 

FNC provides you with a digital landline telephone with a wide range of business func-tions at your office workstation. By request, you can individually extend the standard scope of service. Please select the appropriate option from our service portfolio below:

 

Digital Office Telephone:

 

FNC provides you with a digital landline telephone with business functions - such as call forwarding, call re-routing or conference calls - at your office workstation, at your workplace in the production department, or in your meeting room.

 

Related Equipment for Office Telephones:

 

You have the option to enhance your office telephone with different headset solutions. This is especially useful, if you spend most of your daily working time answering and conducting telephone calls. You will find an overview of the related equipment in the FNC intranet.

 

Voice Mailbox Standard:

 

The free voice mailbox is a virtual answering machine which enables you to never miss another call. You can listen to your voice mailbox from your telephone at any time.

 

Voice to Mail:

 

With the option “Voice-to-Mail”, your voice mailbox is extended. With this extension, all recorded calls are sent to you as an audio file from your voice mailbox via email.

 

You will find the instruction manuals in the intranet under:

Infos & News / Technical Directions and Info / Phone Devices Quick Guides

 

How can I obtain this service?

 

	
Digital   Office Telephone (I000075):
    	
€   21.50 month per device
    
	
Invoicing   per unit (I000080):
    	
€   0,013 per unit
    

 

You wil find the IT request in the FNC-Intranet under:

IT requests / Phone Service Request

 

12

 

	
Voice   Mailbox Standard (Voice Mailbox)
    	
(included   in the digital telephone connection)
    

 

You can order the voice mailbox through the service desk via email (informal text). Contact: hotline-pc@fresenius-netcare.com

 

	
Voice   to Mail (I000033):
    	
€   4 per device / month
    
	
 
    	
€   52.50 one time fee per device
    

 

1.              An existing Lotus Notes account and an existing telephone number are required

2.              Ordering a new Lotus Notes fax account in the intranet 
 (IT-requests - Network & Notes HG - request type: New Lotus Notes Fax Account)

3.              After ordering you will receive an email with all necessary information and brief instructions. 
 For further information and/or questions, please contact the central service desk.

 

You can order the voice mailbox through the service desk via email (informal text).

 

Note: In your order, please provide the telephone number for which you require the installation.

 

Contact: hotline-pc@fresenius-netcare.com

 

Where can I get help?

 

If you have questions or problems, please contact our service desk from Monday through Friday (except public holidays) from 06:00 to 18:00 CET at the following telephone number: +49 6172 608 – 1111.

 

13

 

	
 
    	
Mobile Phones and Data Connections

 

Models and information concerning mobile phones,
   smartphones and mobile telephoning with Fresenius
    

 

Contact Person:

Jürgen Schulz

 

Which service suits me best?

 

Together, FNC and D2 Vodafone offer mobile phones (handys), smartphones (BlackBerrys) and data connections for mobile internet. When signing a new contract or after a contract duration of two years, you can acquire a subsidized end device.

 

For the models from the Fresenius standard portfolio, FNC ensures full integration into the Fresenius infrastructure (e. g. email programs) and extensive support. When purchasing an end device that is not part of the Fresenius portfolio, increased support expenditures become necessary, which will be invoiced separately.

 

The information mentioned here are refer to the Rhein-Main region. Other locations may have diverging regulations.

 

To choose the service best suited for you, please download the current prices from the FNC intranet: (Services & Produkte - Mobilfunk - Standard mobile phones)

 

Further information to specific tariffs and options can be found in the telephone guidelines:
 (Services & Produkte - Mobilfunk - Standard mobile phones)

 

If you require a mobile phone handsfree set for your car, please contact the following contact person with regards to availability:

Mister Joerg Buckisch (Joerg.buckisch@fmc-ag.de or under the direct dial +49 6172 8383).

 

How can I obtain this service?

 

Mobile Phones and Data Connections:

 

Please fill out a purchase requisition and send it to:

Telecommunicationfnc@fresenius-netcare.com

 

Mobile E-Mail (BlackBerrys):

 

For ordering a BlackBerry, you merely need the form that can be found by following this link: http://fnc.intra.fresenius.de/cps/rde/xfw/fnc-intranet/Order_Form_BB(1).XLS 

Simply fill out the form, have it signed by your superior and fax it to: 

+49 6172 608 - 7513.

Employees of Fresenius SE and Fresenius Medical Care, please use the following approval workflow:

(Approval form) notes://FRE-DE-RM-A07/apps/fmc/bbwf.nsf

By following this link, you can take a look at the current BlackBerry models:

http://fnc.intra.fresenius.de/cps/rde/xfw/fnc-intranet/Fresenius-Standard.pdf

 

14

 

Where can I get help?

 

Technical disturbances and defektive end devices:

 

Central service desk in Bad Homburg

Monday through Friday (except public holidays) from 06:00 – 18:00 CET 

T: +49 6172 608 – 1111

E: hotline-pc@fresenius-netcare.com

 

Advanced questions:

 

Vodafone-Business-Team-Hotline

Monday through Friday from 06:00 – 24:00 CET

toll-free when calling from German Vodafone network as well as from German landline.

T: +49 172 1234 oder +49 800 1721234

 

If you have questions concerning:

 

·                  Tariffs

·                  Bills and frame conditions

·                  Renewal of contracts

·                  Eligibility for subsidies

·                  Loss of card

·                  Rental devices

 

please contact: 

 

Juergen Schulz

Telecommunications

T: +49 6172 608 - 7543

F: +49 6172 608 39 -7543

E: telecommunicationfnc@fresenius-netcare.com

 

15

 

	
 
    	
Home office

 

Staff members in their home office have
   access to internal Fresenius IT resources
    

 

Contact Person: 

Gerhard Rettenbacher

 

Which service suits me best?

 

FNC equips your home work station with a secure and reliable connection to your Fresenius resources. In addition, we set up a telephone connection for you. Please select the appropriate service from our range of services below:

 

Home Office: Telephone ISDN Connection

 

For a home workstation, an ISDN connection is requested. The features of the connection correspond to the most reasonable base line available at the time of installation. If the installation of a digital connection is not possible due to time constraints, structural or similar reasons, an analog connection, if applicable, will be installed for the time being.

 

Landline hardware for a home office

 

Siemens Gigaset SX795 ISDN

 

Price: approx € 103

 

· Integrated answering machine with 30-minutes of recording time

· Completely compatible with ISDN

· Integrated Bluetooth® wireless technology

· Caller display with picture (Picture CLIP)

 

Home Office: Internet Connection

 

FNC offers you two different services to establish a connection from your home office to internal Fresenius IT resources. Please select the appropriate option:

 

16

 

The variations and their performance characteristics.

 

	
 
    	
 
    	
Basic
    	
 
    	
Comfort
    
	
 
    	
 
    	
(I000202)
    	
 
    	
(I000213)
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
Incident   resolution on router or DSL line via remote connection
    	
 
    	
optional
    	
 
    	
yes
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
Replacing   defective end devices (router)
    	
 
    	
optional
    	
 
    	
yes
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
Wi-Fi
    	
 
    	
optional
    	
 
    	
yes
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
Feasible   statistics about utilization / performance
    	
 
    	
no
    	
 
    	
yes
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
Performing   necessary hardware/software maintenance for router (proactive)
    	
 
    	
no
    	
 
    	
yes
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
Alternative   connection (second ISDN line) to Fresenius re-sources possible (separate   compensation)
    	
 
    	
no
    	
 
    	
yes
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
Charge   per month
    	
 
    	
€ 67
    	
 
    	
€ 90
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
One-time   setup fee per user
    	
 
    	
€ 700
    	
 
    	
€ 400
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
VPN   Connect Full Access
    	
 
    	
yes
    	
 
    	
yes
    

 

	
Basic
    	
The   service includes the hardware required to access internal Fresenius IT   resources. Any maintenance and support services are invoiced according to   time and effort. Hardware that enables wireless (Wi-Fi) internet access is   available, subject to an additional charge.
    
	
 
    	
 
    
	
Comfort
    	
With   “Home Office Comfort” you obtain the carefree package for your workstation at   home. FNC provides all necessary maintenance for your internet and Fresenius   access. Should the connection be down, FNC makes certain that the components   are repaired or replaced as quickly as possible.
    

 

17

 

For information concerning DSL availability at your home workstation, and for questions about new or existing contracts, please contact:

 

Telecommunications

 

Jürgen Schulz

T: +49 6172 608 - 7543

F: +49 6172 608 39 - 7543

E: telecommunicationfnc@fresenius-netcare.com

 

Service Desk in Bad Homburg

 

T: +49 6172 608 - 1111

E: fgn@fresenius-netcare.com

 

If you are ecountering technical difficulties with your existing home office connection, please contact our service desk.

 

How can I obtain this service?

 

Please request the home office connections via BANF to Mr. Schulz.

 

Where can I get help?

 

If you have questions or problems, please contact our service desk from Monday through Friday (except public holidays) from 06:00 to18:00 CET at the following telephone number: +49 6172 608 – 1111.

 

18

 

FAX Connection Service

 

Sending and receiving faxes by fax machine, multi-function device or via the Lotus Notes email mailbox 

 

Contact Person: 

Gerhard Rettenbacher

 

Which service suits me best?

 

With this service you can send and receive faxes with your own fax machine at your workstation or via a multi-function device with a fax function. Alternatively, you can receive and send faxes directly via your Lotus Notes mailbox. Please select the appropriate option:

 

·                  Fax machines: You receive a lot of faxes and need your own fax machine at your workstation or in your department.

·                  Multi-function devices: You need or already have a multi-function device in your department for faxing, copying and printing.

·                  E-Fax: You compose faxes on your own computer and you want to send and receive them directly via Lotus Notes.

 

How can I obtain this service?

 

	
Fax   Machines / Faxing via Multi-function Devices (I000075)
    	
€ 21.50 per device / month
    

 

1.              Selecting the fax machine or multi-function device in the FNC intranet. FNC Procurement will gladly assist you with your selection (telephone: +49 6172 608 7512). You will find an overview of the currently available hardware in the FNC intranet under the following link:(Service & Products - Workstation - User Equipment - Fax) (Service & Products - Workstation - User Equipment - Multi-function Devices)

2.              Ordering a fax connection in the FNC intranet. If you need assistance with completing the form, please contact the central service desk at: +49 6172 608 – 1111. 
 (IT Requests - Requesting Telephone Service)

3.              After delivery of the fax machines, please request their setup and configuration with the service desk at: +49 6172 608 – 1111.

The setup and installation of multi-function devices is provided by the supplier.

 

	
E-Fax   (I000033)
    	
€ 4 per device / month
    

 

1.              An existing Lotus Notes account and an existing telephone number are required

2.              Ordering a new Lotus Notes fax account in the intranet (IT Requests - Network Access HG - Request Type: New Lotus Notes Fax Account)

3.              After ordering you will receive an email with all necessary information and brief instructions. For further information and/or questions, please contact the central service desk at: +49 6172 608 - 1111.

 

19

 

	
 
    	
Secure Data Connections to Fresenius

 

Secure worldwide access to Fresenius information,
   applications and data networks
    

 

Contact Person: 

Gerhard Rettenbacher

 

Which service suits me best?

 

With the FNC services “Secure Data Connections to Fresenius” you can access the Fresenius network via the internet. Please select the appropriate service, depending on your specific requirements:

 

	
VPN-Connect
   Basic Applications
    	
 
    	
For   Fresenius staff members who only want to use the Fresenius core applications   (email, SAP and intranet) while on the go. The access method is tied to a   selected computer.
    
	
 
    	
 
    	
 
    
	
VPN Connect
   Full Access
    	
 
    	
For   Fresenius staff members who want to use all Fresenius applications with their   Fresenius standard computer, as usual, while on the go. The access method is   tied to a selected computer.
    
	
 
    	
 
    	
 
    
	
VPN WEB Access
    	
 
    	
For   Fresenius staff members or external staff and/or business partners who want   to use Fresenius email, SAP or intranet contents while on the go. The   connection to the Fresenius network can be established from any   internet-capable computer. The token - an external password generator —   ensures maximum security when logging in.
    

 

20

 

	
 
    	
 
    	
VPN Connect
    	
 
    	
VPN Connect
    	
 
    	
VPN-WEB 
    
	
Service name
    	
 
    	
Basic Applications
    	
 
    	
Full Access
    	
 
    	
Access
    
	
Order number
    	
 
    	
(I000228)
    	
 
    	
(I000171)
    	
 
    	
(I000227)
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Support   by FNC service desk
    	
 
    	
included
    	
 
    	
included
    	
 
    	
included
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Suitable   for the following computers
    	
 
    	
Run on a Fresenius computer
    	
 
    	
Tied to a Fresenius computer
    	
 
    	
Computer independent
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Suitable   for external staff / external suppliers
    	
 
    	
no
    	
 
    	
no
    	
 
    	
yes
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Access   to the following Fresenius applications
    	
 
    	
Core applications
    	
 
    	
All applications
    	
 
    	
Core applications
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
One-time   configuration on computer necessary
    	
 
    	
no
    	
 
    	
yes
    	
 
    	
no
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Requirements
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Internet   connection required
    	
 
    	
yes
    	
 
    	
yes
    	
 
    	
yes
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Service   features
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Guaranteed   service times: 
   Monday through Friday 
   (except public holidays)
   06:00-18:00 CET
    	
 
    	
yes
    	
 
    	
yes
    	
 
    	
yes
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Prices
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
VPN   service incl. 5 GB data transmission
    	
 
    	
€ 14 per month
    	
 
    	
€ 23.75 per month
    	
 
    	
€ 21 per month
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
One-time   setup fee
    	
 
    	
€ 105
    	
 
    	
€ 105
    	
 
    	
€ 105
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Additional   GB transmission
    	
 
    	
€ 31.50 per GB
    	
 
    	
€ 31.50 per GB
    	
 
    	
€ 31.50 per GB
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
On-site   support by FNC technician
    	
 
    	
€ 84 per hour
    	
 
    	
€ 84 per hour
    	
 
    	
€ 84 per hour
    

 

How can I obtain this service?

 

VPN-Connect Basic Applications (I000228)

 

1.              Please request the service via the FNC intranet (IT requests - combined VPN-request)

2.              You will receive an email with further instructions on installing your Fresenius connection

 

VPN-Connect Full Access (I000171)

 

1.              Please request the service via the FNC intranet

2.              You will receive an email with further instructions on installing your Fresenius connection

 

VPN-WEB Access (I000227)

 

1.              Please request the service via the FNC intranet (IT requests - combined VPN-request)

2.              You will receive an email with further instructions on installing your Fresenius connection

3.              Your personal password generator will be sent to you by postal mail

 

21

 

	
 
    	
Conferencing Services

 

Video and telephone conferencing services for conference rooms /   workplace
    

 

Contact Person: 

Andreas Schaubert

 

Which service suits me best?

 

The “FNC Conference Services” connect you and your business partners worldwide via video or telephone conference. FNC offers you telephone conferences with up to 60 participants. Additionally, FNC cooperates with external service providers in order to organize mass-conferences. You have the option of having your conference channel monitored by a professional administrator. Please choose the most suitable conference service from the following chart:

 

	
Service Component
    	
 
    	
Description
    
	
 
    	
 
    	
 
    
	
Telephone   Conferencing
    	
 
    	
You   receive a central telephone number and necessary access codes for your   telephone conference with up to 60 participants
    
	
 
    	
 
    	
 
    
	
Videoconferencing   at the workplace*
    	
 
    	
This   service grants you the option of initiating or participating in video   conferences from your workplace.
    
	
 
    	
 
    	
 
    
	
Videoconferencing   from conference room
    	
 
    	
Equip   your conference rooms with videoconferencing systems and perform worldwide   video conferences with your locations and business partners.
    

 

	
Functions
    	
 
    	
Telephone Conference
   (I000262)
    	
 
    	
Videoconferencing
   at the workplace
   (I000261)
    	
 
    	
Videoconferencing from
   conference room
   (I000262)
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Dial-Up   Options
    	
 
    	
Mobile Phone / Conference Phone
    	
 
    	
Workplace Computer / Laptop with connection to the Fresenius Network*
    	
 
    	
Conference rooms with videoconferencing systems
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Max.   Participants
    	
 
    	
60
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Connection   Informationn
    	
 
    	
Email
    	
 
    	
Email and address list
    	
 
    	
Email and conference room list
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Monitoring   of the connection by an operator
    	
 
    	
 
    	
 
    	
Optional € 1.00 per minute
    	
 
    	
Optional € 1.00 per minute
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Price
    	
 
    	
€ 0.06 per minute per user
    	
 
    	
€ 19.70 per month plus € 100.00 one time installation fee
    	
 
    	
€ 19.70 per month zzgl. 100,00 € one time installation fee
    	
 
    

 

* Requirement for the use of the desktop video conferencing component is - if not integrated in the device - a headset and a video camera.

 

22

 

How can I obtain this service?

 

Telephone and video conferencing:

 

Please write an informal email to the contact person of the specialized department with reference to the required component. Afterwards, you will receive the installation as well as all additionally necessary information.

 

If you need audio and/ or video conferencing regularly, you will receive access to a Lotus Notes databank, with which you can book the required service directly.

 

Contact person for telephone and videoconferencing:

 

Erkan.Taskor@fresenius-netcare.com

Joerg.Hagemeyer@fresenius-netcare.com

 

Where can I get help?

 

If you have questions or problems, please contact our service desk from Monday through Friday (except public holidays) from 06:00 to 18:00 CET at the following telephone number: +49 6172 608 – 1111.

 

23

 

	
 
    	
Service Desk & Support

 

Worldwide support for dependable IT services
    

 

Contact Person: 

Branimir Madzarevic

 

How is the FNC support organized?

 

FNC offers a decentralized support concept that considers local conditions and specific requirements. At most greater Fresenius locations, FNC offers its own support crew in order to provide the best possible help to local users.

 

We provide you information on planned maintenance and present disturbances of the IT systems. These can be found at “Maintenance & Disturbances” on the FNC intranet.

 

If you would like to actively be informed on disturbances, then please register with the Customer Alert Tool. This service includes the sending of disturbance and status notices via email and/or IM.

 

Which service desk should I contact?

 

Central Service Desk Bad Homburg (Central Service HG)

 

The central service desk provides aid and consultation for all your question and problems concerning FNC services such as standard applications, standard services, standard hardware, user administration, contact data and — as far as possible — nonstandard applications. If you are looking for a local FNC contact person of a contact person for specific applications, the central service desk is also your single point of contact. If you have questions about SAP, please consult with the SAP service desk (see paragraph SAP Support Service).

 

	
Service Desk
    	
 
    	
Contact Information
    	
 
    	
Service Times
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
Central   Service Desk Bad Homburg
    	
 
    	
+49 6172 608 - 1111 hotline-pc@fresenius-netcare.com
    	
 
    	
Mo.-Fr. 06:00 - 18:00 GMT +1
    

 

24

 

Decentralized Service Desks

 

The decentralized service desks serve either a single or multiple locations of a state or region. They are specialized on the service offers that are mostly used at the location. If your location offers a local service desk then that is your first contact point for your questions and problems concerning FNC services. If you have questions about SAP, please consult with the SAP service desk (see paragraph SAP Support Service).

 

	
Service Desk
    	
 
    	
Contact Information
    	
 
    	
Service Times
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
IT   Service Oberursel / B14
    	
 
    	
+49 (6172) 608 – 4444 
   B14-FNC@fresenius-netcare.com
    	
 
    	
Mo.-Fr. 09.00 - 17:00 GMT +1
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
IT   Service Desk St. Wendel
    	
 
    	
+49 (6851) 807 – 555 
   de-wn.it-support@fresenius-netcare.com
    	
 
    	
Mo.-Fr. 08:00 - 17:00 GMT +1
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
Service   Desk UK & Ireland
    	
 
    	
+44 (1928) 533 – 700 
   IT.Helpdesk-UK@fresenius-netcare.com
    	
 
    	
Mo.-Fr. 08.30 - 17.30 GMT
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
IT   Service Desk Emmer-Compascuum
    	
 
    	
+31 (591) 355 – 874 
   (Intern: 666) 
   IT-Helpdesk.FHCN@fresenius-netcare.com
    	
 
    	
Mo.- Fr. 08:00 - 17:00 GMT +1
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
APP   Service and Support Center
    	
 
    	
+1 (888) 254 – 3954 
   SSC@fresenius-kabi.com
    	
 
    	
Mo.-Fr. 5.30 - 20.00 GMT -6
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
IT   Support Center China
    	
 
    	
+86 510 85960190
    	
 
    	
Mo.-Fr. 08.00 - 17:00 GMT +8
    

 

SAP Support Service

 

Fresenius’ business operations are primarily supported by SAP. In order to give you the best possible support with questions revolving around SAP, FNC runs an extensive SAP support organization.

 

Please select your local SAP service desk:

 

	
Service Desk
    	
 
    	
Contact Information
    	
 
    	
Service Times
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
SAP   Service Desk Bad Homburg
    	
 
    	
+49 6172 608 - 7577 
   hotline-sap@fresenius-netcare.com
    	
 
    	
Mo.-Fr. 08.00 - 18:00 GMT +1
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
SAP   Support St. Wendel
    	
 
    	
+49 6851 807 - 666 
   de-wn.sap@fresenius-netcare.com
    	
 
    	
Mo.-Fr. 08.00 - 17:00 GMT +1
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
SAP   Support Austria
    	
 
    	
+43 316 249 - 1111 | +43 732 7651 - 1111 
   austria.sap-hotline@fresenius-kabi.com
    	
 
    	
Mo.-Th. 08:00 - 17:00 und Fr. 08:00 - 14.00 GMT +1
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
Sam.ware   Support
    	
 
    	
+49 6851 807 - 123 
   de-wn.samware@fresenius-netcare.com
    	
 
    	
Mo.-Fr. 08:00 - 17:00 GMT +1
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
SAP   Service Desk Netcare France
    	
 
    	
+ 33 1 41 14 26 00 (Paris) | + 33 474 01 60 00 (Lyon)
   fnc-hotline.france@fresenius-netcare.com
    	
 
    	
Mo.-Fr. 9:00 - 18.00 GMT +1
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
SAP   Support Munich
    	
 
    	
+49 8165 901 560 
   helmut.spindler@fresenius-netcare.com
    	
 
    	
Mo.- Fr. 09:00 -   16:00 GMT +1
    

 

25

 

	
Service Desk
    	
 
    	
Kontaktdaten
    	
 
    	
Bürozeiten
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
SAP   Support Uppsala / Sweden
    	
 
    	
+46 18644550
    	
 
    	
Mo.- Fr. 08:30 - 17:00 GMT +1
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
SAP   Support Emmer-Compascuum
    	
 
    	
+31 591 355 768 SAP-Hotline.FHCN@fresenius-netcare.com
    	
 
    	
Mo.- Fr. 08:00 - 17:00 GMT +1
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
SAP   Support Belgium & Netherlands
    	
 
    	
+49 6851 807 666 de-wn.sap@fresenius-netcare.com
    	
 
    	
Mo.- Fr. 08:00 - 17:00 GMT +1
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
SAP   Support Switzerland
    	
 
    	
+49 6851 807 666 de-wn.sap@fresenius-netcare.com
    	
 
    	
Mo.- Fr. 08:00 - 17:00 GMT +1
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
SAP   Support Russia
    	
 
    	
+7 495 789 - 64 # 54
    	
 
    	
Mo.- Fr. 09:30 - 17:30 GMT +2
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
SAP   Service Italy
    	
 
    	
+39 0373 275 420 fnc-hotline.italy@fresenius-netcare.com
    	
 
    	
Mo.-Fr. 9:00 - 13:00 und 14:00 - 18:00 GMT +1
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
SAP   Service Turkey
    	
 
    	
+39 0373 275 420 fnc-hotline.italy@fresenius-netcare.com
    	
 
    	
Mo.-Fr. 9:00 - 13:00 und 14:00 - 18:00 GMT +1
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
SAP   Service Greece
    	
 
    	
+39 0373 275 420 fnc-hotline.italy@fresenius-netcare.com
    	
 
    	
Mo.-Fr. 9:00 - 13:00 und   14:00 - 18:00 GMT +1
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
SAP Service Switzerland
    	
 
    	
+39 0373 275 420   fnc-hotline.italy@fresenius-netcare.com
    	
 
    	
Mo.-Fr. 9:00 - 13:00 und 14:00 - 18:00 GMT +1
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
SAP   Service Spain
    	
 
    	
+34 932 256 583 fnc-hotline.italy@fresenius-netcare.com
    	
 
    	
Mo.-Fr. 9:00 - 13:00 und 14:00 - 18:00 GMT +1
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
SAP   Service Portugal
    	
 
    	
+35 1232 831 253
    	
 
    	
Mo.-Fr. 9:00 - 13:00 und 14:00 - 18:00 GMT
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
SAP   Service Chile & Argentina
    	
 
    	
+54 11 4130 1143
    	
 
    	
Mo.-Fr. 09:00 - 18:00 GMT-4
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
SAP   Service Mexico & Colombia
    	
 
    	
+52 333 540 4312
    	
 
    	
Mo.-Fr. 09:00 - 18:00 GMT-6
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
SAP   Service Brazil
    	
 
    	
+55 19 3847 9742
    	
 
    	
Mo.-Fr. 09:00 - 18:00 GMT-4
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
SAP   Service Desk China
    	
 
    	
+86 105 909 6937
    	
 
    	
Mo.-Fr. 09:00 - 18:00 GMT +8
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
SAP   Service Desk Hong Kong
    	
 
    	
+85 221 521 318
    	
 
    	
Mo.-Fr. 09:00 - 18:00 GMT +8
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
SAP   Service Desk Taiwan
    	
 
    	
+886 227 398 800 # 151
    	
 
    	
Mo.-Fr. 09:00 - 18:00 GMT +8
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
SAP   Service Desk Japan & Korea
    	
 
    	
+82 10 2688 3457
    	
 
    	
Mo.-Fr. 09:00 - 18:00 GMT +9
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
SAP   Service Desk Australia
    	
 
    	
+61 2 9391 5553
    	
 
    	
Mo.-Fr. 09:00 - 18:00 GMT +10
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
SAP   Service Desk Thailand
    	
 
    	
+66 2651 8245 | +66 81753 5192
    	
 
    	
Mo.-Fr. 09:00 - 18:00 GMT +7
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
SAP   Service Desk India
    	
 
    	
+91 1244 885 286
    	
 
    	
Mo.-Fr. 09:00 - 18:00 GMT +5.5
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
Healthcare   Service Desk
    	
 
    	
+49 6172 608 - 5199
    	
 
    	
Mo.-Fr. 09:00 - 16:00 GMT +1
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
HCM   Service Desk
    	
 
    	
+49 6172 608 - 7699
    	
 
    	
Mo.-Do. 09:00 - 17:00 und Fr. 09:00 - 16:00 GMT +1
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
SEM   Service
    	
 
    	
+49 6172 608 - 4000
    	
 
    	
According to service agreement
    

 

26

 

	
Emergency   Support
    	
from € 480.00
    

 

The emergency support is available for the main Fresenius systems. With the emergency support, the support times outside the regular service times are provided. Attention please! The service shall only be used for major IT problems that fundamentally affect smooth business processes.

 

When using the emergency support, the following charges apply:

 

·             Each case / incident is invoiced at € 480 (up to two hours).

·             If the efforts on the case exceed two hours, each additional hour commenced is invoiced at € 240.

·             All other services that are not described in the service component “FNC Emergency Support” are invoiced according to time and effort.

 

	
Service Desk
    	
 
    	
Kontaktdaten
    	
 
    	
Bürozeiten
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
Emergency Support
    	
 
    	
+49 6172 608 - 7877
    	
 
    	
Mo.-Fr. 18:00 - 08:00 GMT +1 Sa, Su, bank   holidays 0:00 - 24:00
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
Emergency   Support St. Wendel
    	
 
    	
+49 6851 807 - 100
    	
 
    	
Mo.-Su. 04:00 - 08:00 GMT +1   Sa, Su, bank holidays 08:00 - 12:00 GMT +1
    

 

Which on-site support services does FNC provide for my IT equipment?

 

	
IMAC   - Services and On Site Support
    	
€ 84.00
    

 

With the IMAC services (IMAC = Install, Move, Add, Change), the FNC technicians provide setup, disassembly, moving services and interference elimination as well as any changes to your IT equipment. The service is available for locations in the Rhine-Main area. On-site services are invoiced according to time and effort or at a flat rate.

 

	
Services
    	
 
    	
Description
    	
 
    	
Price per hour (target prices)*
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
On-site   Support (I000205)
    	
 
    	
Interference elimination and changing of IT equipment
   (e.g. adding memory)
    	
 
    	
€
    	
 84
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
First   Installation Service (1000203)
    	
 
    	
Configuring, delivering and installing new IT equipment
    	
 
    	
€
    	
 84
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
IT   Equipment Moving Service (1000204)
    	
 
    	
Moving IT equipment
   (order through Central Services)
    	
 
    	
€
    	
 84
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
Computer   Pick-up-Service (1000211)
    	
 
    	
Disposing of used devices and returning to lessor, as well as backing   up your data
    	
 
    	
€
    	
 84
    

 

* The services are always invoiced according to time and effort. The target prices are based on empirical values of average time and effort.

 

27

 

How is the FNC incident priority assigned?

 

After receipt of an Incident, the processing front line staff shall prioritize the ticket. All received tickets shall be processed according to the priority of the ticket. The following priorities shall apply (for the avoidance of doubt, the requirements in each priority hereunder shall be cumulative only if explicitly indicated by the use of the word “and”):

 

Priority 1: Critical

 

A service in its entirety or an important part of a service is not available and processes important or critical to FME’s businesses cannot be used or are materially affected by a problem. Service levels are violated or such violation is very probable. The Incident may seriously affect FME’s business relationships. A material number of FME’s staff cannot perform their assigned duties or are materially affected in performing their permanent du- ties. FME has no immediate alternative in order to perform the affected business process.

 

Priority 2: High

 

A material function of an Application is not available and no workaround is available for an immediate solution. Frequently used business processes are affected by the Incident and a violation of service levels is probable. It is likely that the Incident may affect FME’s business relationships. Numerous FME staff may be frequently affected in performing their temporarily assigned duties or a single staff cannot perform his/her permanently assigned duties. This priority is applicable, e.g., if order registration and commissioning is affected. For the avoidance of doubt, events more critical than the ones defined under Priority 2 shall be exclusively governed by Priority 1.

 

Priority 3: Medium

 

An Application is not complying with specifications and/or a workaround for a Priority 1 or Priority 2 Incident is available. The effect on business process is of non-material nature. Violations of Service Levels are of non-material nature or not likely. Effects on FME’s business relationships are non-material. FME staff is affected in performing their duties only occasionally or they may perform other duties during Incident solution. Priority 3 shall apply if procurement orders, booking of cost accounts except for the purpose of month end closing and invoicing review is affected.

 

Priority 4: Low

 

An Incident not or minimally affecting business processes. There is no direct effect on FME’s clients. The Inci- dent may cause an inconvenience to single employees. E.g., Incidents may affect reporting, headlines are not formatted, sums and selections are not correct.

 

28

 

Terminal Server (Citrix)

 

Virtual hardware independent from working environment

 

	
Contact   Person: 
   Lothar Gützkow
    	
 
    

 

Which service suits me best?

 

Your application program is available to you on a central server. This allows a safe and fast working environment, since data management and processing power of the active program are run on the central server as well. Software installations and updates of current programs are run centrally, making them available to all users within a very short timeframe.

 

How can I obtain this service?

 

Provision of basic applications (currently Office 2003 / 2010, Kipdips, Applix, SPAGUI (recent version)):

 

Note: License fees are not included!

 

	
Rhine-Main-Area:   (I000252)
    	
€   19.50 per device / month
    

 

Please fill out the BANF, in which you specify the number of your order item and send to: 

lothar.guetzkow@fresenius-netcare.com

 

	
Other   locations: (I000252)
    	
€   19.50 per device / month
    

 

Please write an informal email, in which you specify the service “Terminal Server” to:

lothar.guetzkow@fresenius-netcare.com

 

By request, we will also provide you with other applications via Citrix. The work required for this is invoiced according to time and effort.

 

Where can I get help?

 

If you have questions or problems, please contact our service desk from Monday through Friday (except public holidays) from 06:00 to 18:00 CET at the following telephone number: +49 6172 608 1111.

 

29

 

Component catalog

 

	

    	
End   User Services
    
	
 
    	
 
    
	

    	
Network and Telecommunication Services

 
    
	
 
    	
 
    
	

    	
Hosting
    

 

 

	
 
    	
Basic IT Operation Package
    
	
 
    	
 
    
	
 
    	
Operating hardware and   software in the
   Fresenius systems landscape
    

 

	
Contact Person: Lothar Gützkow | Availability:   Rhine-Main-Area 
    	
Material   No.: I000045
    

 

SERVICE COMPONENT DESCRIPTION

 

The software and/or hardware used in the Fresenius IT landscape has to be integrated into the Fresenius systems landscape after the purchase. Therefore, it is necessary to install software for the distribution and to configure the hardware and the software products in such a way that they can be used in the Fresenius network. All of those individual and in part very complex tasks, as well as the operation, are combined in this service component.

 

QUALITY PARAMETERS

 

	
Operating times:
    	
24/7
    
	
 
    	
 
    
	
Guaranteed service times:
    	
Montag bis Freitag (außer an   Feiertagen) 06:00-18:00Uhr
    
	
 
    	
 
    
	
Maintenance window in hours per

week:
    	
10

(Saturdays 16:00 – 20:00 CET

Sundays 08:00 – 14:00 CET or

by arrangement)
    
	
 
    	
 
    
	
Availability in %

per month:
    	
98*
    

 

* Based on a three month average

 

FUNCTIONALITIES

 

·                       File, backup, restore for backend systems (DC-relevant systems)

·                       Data server standard is 100 MB

·                       Network access to Fresenius Global Network

·                       Network printing (print server)

·                       Client security (firewall, antivirus, malware, intrusion detection)

·                       Software distribution via push and pull

·                       Central firewall

 

DEPLOYMENT

 

·                       Installation, configuration and integration of:

·  Backend hardware and software

·  Frontend software for standard applications

·                       Installation of releases, patches, updates, for standard applications

 

PROVISIONS BY FNC

 

·                       Infrastructure provided by FNC Data Center in Bad Homburg/Germany

·                       LAN connection (connected to the Fresenius Global Network)

·                       Storage space on file server

·                       Domain controller

·                       Print service

·                       Client protection (e.g. antivirus firewall,...)

·                       Software depot service

·                       System-related software (e.g. network client, PDF viewer, backend infrastructure licenses, browser, MS CAL, archive tool (zip)...)

·                       User and directory services

·                       Network services (DHCP, WINS, DNS, ...)

 

31

 

	
Basic IT Operation Package
    	
 
    
	
 
    	
 
    
	
Operating   hardware and software in the Fresenius systems landscape
    	
 
    

 

OPERATIONS

 

·                       Concept design of standard system configurations

·                       Maintenance of software standards

·                       Maintenance and further development of technology

·                       Implementation of current security standards

·                       Infrastructure operation and maintenance

·                       Domains management

·                       Policies for client configuration per Group Policies (GPOs)

·                       Availability monitoring for file and print services

·                       Availability reporting for file and print services

·                       Maintenance of standard applications (deployment, patches, updates); distribution is carried out via software depot

·                       Hardware maintenance for backend systems

·                       Software Deployment for standard applications

 

INCIDENT MANAGEMENT & SUPPORT

 

·                       2nd and 3rd Level Support

 

OPTIONAL EXTENSIONS

 

·                       Connecting and configuring local printers

·                       Connecting peripheral devices

·                       Client / user configuration

·                       Additional storage space for file server

 

USER / CUSTOMER PARTICIPATION

 

·                       Maintaining master data

·                       Reporting changes within your organisation (e.g. the company changes) to service desk

 

OUT OF SCOPE

 

·                       Laptop client / desktop client (hardware & software)

·                       Printers, peripherals and other hardware

·                       Operating system software for clients

·                       Internet access

·                       Messaging and email services

·                       Terminal server services

·                       Remote access services (RAS, VPN)

·                       User training sessions and consultations

·                       Installation, configuration and integration of frontend hardware

·                       Upgrading/rebuilding of:

·                       Desktop hardware, peripherals, components

·                       Backend hardware, peripherals, components

·                       Installation and de-installation of software

·                       IT workstation moves

·                       Removal and disposal of hardware, if applicable

·                       Extraction of software from the system environment

 

32

 

	
 
    	
Client Backup
    
	
 
    	
 
    
	
 
    	
Data backup of workstation computers used by the Fresenius staff
    

 

	
Contact Person: Lothar Gützkow | Availability: worldwide
    	
Material   No.: I000222
    

 

SERVICE COMPONENT DESCRIPTION

 

The volume of important data increases continuously on the hard disks of mobile computers. That is why regular backups are so essential. If, for example, a local hard disk becomes defective or is stolen, the data is usually irretrievably lost. The service component “Client Backup” by FNC addresses this risk and provides you with the complete solution for protecting the data on mobile clients.

 

QUALITY PARAMETERS

 

	
Operating times:
    	
24/7
    
	
 
    	
 
    
	
Guaranteed service times:
    	
Monday through Friday (except public holidays)

06:00 - 18:00 CET
    
	
 
    	
 
    
	
Maintenance window in hours 

per week:
    	
24

At the weekend with advance notice

 
    
	
 
    	
 
    
	
Availability in % per month:
    	
98*
    
	
 
    	
 
    
	
Max. recovery period for selected

backup sets in days:
    	
30
    
	
 
    	
 
    
	
Versions of data backup:
    	
10
    

 

* Based on a three month average

 

FUNCTIONALITIES

 

·                       Automatic data backups on central backup server 
 (Rechenzentrum Bad Homburg)

 

PROVISIONS BY FNC

 

·                       Backup software

 

OPERATIONS

 

·                       Define client backup concept (recommendation for client backup)

·                       Carry out necessary systems maintenance

·                       Performing backup and restore for:

·             user data

·             systems data (the user can configure this with the software)

·                       Test restore concept at regular intervals

·                       Availability monitoring

·                       Create / adjust user documentation

 

DEPLOYMENT

 

·                       Client software via software depot

·                       Release installation software via software depot (if available)

·                       Installation of patches, updates for software, deployment via client backup server

·                       Capacity, utilisation and performance monitoring

 

INCIDENT MANAGEMENT & SUPPORT

 

·                       2nd and 3rd Level Support

 

USER / CUSTOMER PARTICIPATION

 

·                       Installing software via software depot

·                       Observing user documentation (backup concept)

·                       Restore has to be triggered by the customer

 

33

 

	
Hard   Drive Protection
    	
 
    
	
 
    	
 
    
	
Reliable hard drive   data protection for Fresenius computers
    	
 
    

 

	
Contact   Person: Lothar Gützkow | Availability: worldwide
    	
Material No.: I000269
    

 

SERVICE COMPONENT DESCRIPTION

 

Continuously increasing user mobility in the form of laptops, CDs, DVDs, USB sticks or external hard disks entails high risks. Especially the loss of such devices or media — for instance through theft — poses a high risk. In this way company secrets or patient data can quickly fall into the wrong hands and lead to serious problems. By using this service component “Harddisk Protection”, the risk is minimized to a great extent due to data encryption.

 

QUALITY PARAMETERS

 

	
Operating times:
    	
24/7
    
	
 
    	
 
    
	
Guaranteed   service times:
    	
Monday through   Friday (except public holidays)

06:00 - 18:00   CET
    
	
 
    	
 
    
	
Maintenance window in hours per

week:
    	
4

Saturdays 16:00 –   20:00 CET, after announcement
    

 

 

FUNCTIONALITIES

 

·                       Identifying the user via domain user

·                       Client file encryption

·                       Encryption of USB removable storage media

·                       Encryption of CD and DVD

 

PROVISIONS BY FNC

 

·                       Encryption software

·                       Patches, client updates, releases

·                       Deployment of key recovery technology

 

DEPLOYMENT

 

·                       Installation via software distribution (if available) or via email dispatch

 

OPERATIONS

 

·                       Defining standard encryption policy

·                       Capacity and performance planning for the infrastructure

·                       Central key management

·                       Policy management

 

INCIDENT MANAGEMENT & SUPPORT

 

·                       2nd and 3rd Level Support

 

OPTIONAL EXTENSIONS

 

·                       Recovery installations, e.g. in case of hardware damage or hardware exchange

 

USER / CUSTOMER PARTICIPATION

 

·                       Installation of software via software depot (if possible) with declaration concerning the assumption of costs

·                       Request for new user via email to 2nd Level, if Empirum is not available

 

34

 

	
 
    	
First   Installation Service
    
	
 
    	
 
    
	
 
    	
Setup and   Configuration of a new computer for your workstation
    

 

	
Contact   Person: Christian Scheerer | Availability: Rhine-Main Area
    	
Material No.: I000203
    

 

SERVICE COMPONENT DESCRIPTION

 

With the service component “First Installation Service “ FNC configures your new computer for the Fresenius IT environment. In addition to the configuration, a service technician sets up your new computer — by request at your workstation - and carries out a first functional check.

 

QUALITY PARAMETERS

 

	
Request   handling:
    	
Monday through   Friday (except public holidays) 
   08:00 - 16:30 CET
    
	
 
    	
 
    
	
Installation of   a new workstation:
    	
One week after   the hardware and the completed configuration sheet are available
    

 

OPERATIONS

 

·                       IMAC preparation, scheduling and coordination

·                       Image installation on Clients (Fresenius standard)

·                       Setting up the hardware at the workstation, by request in compliance with the German Ordinance on Working with Screens, incl. functional check and acceptance

·                       Installation, configuration and integration of hardware and software

·                       Systems inventory and personalization

·                       Initial instructions for users

·                       Network connection setup

·                       User instructions

·                       Functional check and acceptance

·                       Documentation of the procedure

·                       Data migration < 1 GB

 

INCIDENT MANAGEMENT & SUPPORT

 

·                       2nd and 3rd Level Support

 

OPTIONAL EXTENSIONS

 

·                       Data migration > 1 GB

·                       Software/hardware installation beyond the standard

·                       Short instructions for additional persons

 

USER / CUSTOMER PARTICIPATION

 

·                       Scheduling a date and place for installation

·                       Opening a ticket at service desk

·                       If necessary, completing IT request / orders

·                       Necessary requirements (requests / orders etc.) have to be fulfilled

 

OUT OF SCOPE

 

·                       Travelling to on-site assignments (expenses)

·                       Consumables

 

35

 

	
IT   Equipment Moving Service
    	
 
    
	
 
    	
 
    
	
Moving IT workstations   and IT systems
    	
 
    

 

	
Contact   Person: Christian Scheerer | Availability: Rhine-Main Area
    	
Material No.: I000204
    

 

SERVICE COMPONENT DESCRIPTION

 

With the service component “IT Equipment Moving Service” you obtain professional preparation and execution of IT moves. The Fresenius IT equipment that needs to be moved is subject to a functional check after the move. Installation / de-installation and the removal of the equipment will be carried out by specially trained staff.

 

QUALITY PARAMETERS

 

	
Operating times:
    	
Monday through   Friday (except public holidays)

08:00 - 16:30   CET
    
	
 
    	
 
    
	
Moving and   dismantling of system:
    	
Within a week*
    

 

*For single moving

 

OPERATIONS

 

·                       Preparation, scheduling and coordinating of IT moves

·                       On-site setup / removal of devices

·                       Installation of system incl. functional check and acceptance

·                       Patching LAN connection

·                       Logical move (assigning printer, IP area etc.)

·                       Setup of telephone connection to the Fresenius telephone server

·                       Selection and coordination of local IT suppliers for infrastructure, if required

 

INCIDENT MANAGEMENT & SUPPORT

 

·                       2nd Level Support

 

USER / CUSTOMER PARTICIPATION

 

·                       Scheduling a date and time for the IT move

·                       Opening a ticket at service desk

·                       If necessary, completing IT request / orders

 

OUT OF SCOPE

 

·                       Travelling to on-site assignments (expenses)

·                       Consumables

·                       Transport between the sites

·                       Mass move ( > 3)

·                       Packing, preparing for the transport (carried out by an external service provider)

 

36

 

	
 
    	
On-site   Support
    
	
 
    	
 
    
	
 
    	
On-site IT   support for hardware and software by FNC technicians
    

 

	
Contact   Person: Christian Scheerer | Availability: Rhine-Main Area
    	
Material No.:  I000205 
    

 

SERVICE COMPONENT DESCRIPTION

 

With the service component “On-site Support” you obtain the FNC on-site IT support. The FNC staff member comes directly to your workstation for support and for the resolution of IT incidents, for upgrading your hardware (e.g. increasing the main memory or software installation, software update), for replacing a defective device/component or exchanging it for a higher-performance model/ component. Administrative incident resolution (e.g. password reset) is provided via remote support. The service component is invoiced according to time and effort.

 

QUALITY PARAMETERS

 

	
Guaranteed   service times:
    	
Monday through   Friday (except public holidays)

08:00 - 16:30   CET
    

 

OPERATIONS

 

·                       IMACs preparation, scheduling and coordination

·                       1st and 2nd Level Support

·                       Software and hardware installation, incl. functional check and acceptance

·                       Systems inventory and personalization

·                       User instructions in case of new hardware

·                       Coordinating the replacement of defective end devices by supplier (only within the supplier ́s warranty)

·                       Hardware refurbishment (refurbishing and checking the hardware), return to customer, if applicable

·                       On-site incident isolation / resolution and repair

·                       Remote interference elimination

·                       Feedback to 1st Level Support

·                       Escalation to 3rd Level Support

·                       Scheduling the Installation, Move, Add and Change measures (IMAC)

·                       Virus removal, removal of spy- and malware

·                       Data backup and restore

·                       Setting up the hardware, by request in compliance with the German Ordinance on Screens

·                       Hardware upgrading / rebuilding and adjusting

·                       Remote “Incident Resolution” Technical

·                       support during conferences Forwarding

·                       repair requests to manufacturer (within the manufacturer ́s warranty)

 

USER / CUSTOMER PARTICIPATION

 

·                       Scheduling a date and time for on-site support

·                       Opening a ticket at service desk

·                       If necessary, completing IT request and/or orders

·                       Necessary requirements (requests / orders etc.) have to be fulfilled

 

OUT OF SCOPE

 

·                       User training sessions and consultations

·                       Group training sessions

·                       Travelling to the place of the assignment (expenses)

·                       Consumables

 

37

 

	
Computer   Pick-up Service
    	
 
    
	
 
    	
 
    
	
De-installation of your   Fresenius hardware or software
    	
 
    

 

	
Contact   Person: Christian Scheerer | Availability: Rhine-Main Area
    	
Material No.: I000211
    

 

SERVICE COMPONENT DESCRIPTION

 

The service component “Computer Pick-up Service” contains the disassembling of a device / component and/or de-installation of the software. Prior to the proper return to the lessor, existing data shall be backed up — depending on the component — and deleted on the device that needs to be returned.

 

QUALITY PARAMETERS

 

	
Request handling
    	
Monday through   Friday (except public holidays)

08:00-16:30 CET
    

 

OPERATIONS

 

·                       Preparation, scheduling and coordination

·                       Pickup of device

·                       Software and hardware de-installation service, incl. functional check and acceptance

·                       Systems inventory and personalization

·                       Disassebly and disposal or return to hardware lessor, if applicable

·                       Deletion of hard disk in case of a hardware return

·                       Remote support for de-install

 

INCIDENT MANAGEMENT & SUPPORT

 

·                       2nd Level Support

 

USER / CUSTOMER PARTICIPATION

 

·                       Scheduling a date and place for de-installation

·                       Opening a ticket at service desk

·                       If necessary, completing IT request / orders

·                       Necessary requirements (requests / orders etc.) have to be fulfilled

 

OUT OF SCOPE

 

·                       Travelling to on-site assignments

 

38

 

	
 
    	
Central   Service Desk Bad Homburg
    
	
 
    	
 
    
	
 
    	
The central   service desk is the main point of contact for
   all service requests within our organizational structure
    

 

	
Contact   Person: Marc Kreischer | Availability: Bad Homburg
    	
 
    

 

SERVICE COMPONENT DESCRIPTION

 

The Central Service Desk is your first point of contact whenever you have problems revolving around your computer workstation. In addition to the central service desk in Bad Homburg/Germany, there are local service desks that cover the respective specific local requirements. You will find the latest service desks` contact details in the FNC intranet under “Service Desk / Hotline”.

 

What we offer our customers:

 

·                       Personal contact, no voice computer

·                       No re-directing or long, cost-intensive waiting loops — on average, 80% of the calls are answered within 30 seconds (see also “Service Reporting”)

·                       Friendly, quick and reliable assistance

·                       Trained service desk staff for the particular IT environments

·                       A high direct incident resolution rate at the service desk (“Skilled Service Desk”)

·                       Defining workarounds

·                       Monitoring the service levels within the scope of ITIL-based incident management

 

Processing time

 

	
Service times

(active call   answering):
    	
Monday through   Friday (except public holidays)

06:00 - 18:00 CET
    
	
 
    	
 
    
	
Accepting calls:
    	
75% of all   incoming calls*
    
	
 
    	
 
    
	
Response time:
    	
75% of accepting calls in less than

30 seconds*
    
	
 
    	
 
    
	
Initial incident   first time:
    	
80%*
    

 

* Based on a three month average

 

PROVISIONS BY FNC

 

·                       Single point of contact

·                       Ticketing system

·                       Processing of:

· Information and service requests

· Hardware / software incidents

· Password resets (automatic process)

· Non-standard application incidents (where possible)

·                       Request / contact acceptance via: telephone, email, fax

 

REPORTING

 

·                       Monthly service reports shall be provided by FNC and published in the FNC intranet

 

39

 

	
Central Service Desk Bad Homburg
    	
 
    
	
 
    	
 
    
	
The   central service desk is the main point of contact for 

all   service requests within our organizational structure
    	
 
    

 

OPERATIONS

 

·                  Scheduling the Installation Move, Add, Change (IMAC) process

·                  Incident analysis, prioritisation, classification and documentation in the ticketing system

·                  User administration on the application level (users, groups, rights,... .) for selected software

·                  Ad-hoc assistance / incident resolution (by back office)

·                  Remote support in accordance with Fresenius policy (IMAC, subject to a charge)

·                  Escalation management

·                  Current information to customer in the event of an escalation

·                  Forwarding / escalating and tracking of tickets to 2nd Level Support

·                  Instructions, individual user training sessions up to 30 minutes for selected software

·                  Consultation on hardware, applications and training options

 

QUALITÄTSPARAMETER

 

	
Resolution   time for priority 1:
    	
90% in 6 hours (business hours)*
    
	
 
    	
 
    
	
Resolution   time for priority 2:
    	
90% on the next business day*
    
	
 
    	
 
    
	
Resolution   time for priority 3
    	
90% within 3 business days*
    
	
 
    	
 
    
	
Resolution   time for priority 4:
    	
Status report after one week
    

 

* Based on a three month average

 

	
Processing time for creating, 

changing or deleting user accounts:
    	
80% within 3 business days
    

 

USER / CUSTOMER PARTICIPATION

 

·                  Keeping information about the incident ready

·                  Contacting service desk in charge

·                  Using tips, FAQ and/or user manuals for possible own incident resolution

·                  Contacting service desk via defined paths

·                  Required request forms have to be completely filled in and released

 

OUT OF SCOPE

 

·                  Accepting requests / contacts via web self service

·                  On-site incident resolution 
 (applies also to IMAC actions which are carried out via remote connection)

 

40

 

	
 
    	
Decentralized   Service Desks
    
	
 
    	
 

FNC provides the appropriate support structure for
   on-site services or special applications
    

 

Contact Person: Branimir Madzarevic | Availability: worldwide

 

SERVICE COMPONENT DESCRIPTION

 

FNC provides you with a decentralized support concept which takes the local conditions and/or specific requirements of our customers into account. At most of the larger Fresenius locations, FNC has its own staff in order to offer the best possible support to the local users. In addition to the central service desk in Bad Homburg/Germany, there are local service desks that cover the respective specific requirements. You will find the latest service desks ́ contact details in the FNC intranet under “Service Desk / Hotline”.

 

Processing time

 

	
Service times 
   (active call answering):
    	
 
    	
See local service times
    
	
 
    	
 
    	
 
    
	
Accepting calls:
    	
 
    	
75% of all incoming calls*
    
	
 
    	
 
    	
 
    
	
Response time:
    	
 
    	
75% of accepting calls in less than 30 seconds*
    
	
 
    	
 
    	
 
    
	
Initial incident first time:
    	
 
    	
80%*
    

 

*Based on a three month average

 

PROVISIONS BY FNC

                                                                                                                          

·                  Single point of contact for local site

·                  Ticketing system

·                  Proc1essing of:

·   Information and service requests

·   Hardware / software incidents

·   Password resets (automatic process)

·   Non-standard application incidents (where possible)

·   Incidents in the Fresenius SAP systems

·   Request / contact acceptance via: telephone, e-mail, fax

 

REPORTING

 

·                  Monthly service reports shall be provided by FNC and published in the FNC intranet (depending on the local infrastructure)

 

OPERATIONS

 

·                  Scheduling the Installation Move, Add, Change (IMAC) process

·                  Incident analysis, prioritisation, classification and documentation in the ticketing system

·                  User administration on the application level (users, groups, rights,...) for selected software

·                  Ad-hoc assistance / incident resolution (by back office)

·                  Remote support in accordance with Fresenius policy (IMAC, subject to a charge)

·                  Escalation management

·                  Forwarding / escalating and tracking of tickets to 2nd Level Support

·                  Current information to customer in the event of an escalation

·                  Instructions, individual user training sessions up to 30 minutes for selected software

·                  Consultation on hardware, applications and training options

 

41

 

	
Decentralized Service Desks
    	
 
    
	
 
    	
 
    
	
FNC   provides the appropriate support structure for
   on-site services or special applications
    	
 
    

 

QUALITY PARAMETERS

 

	
Resolution time for priority 1
    	
 
    	
90% on the next business day*
    
	
 
    	
 
    	
 
    
	
Resolution time for priority 2
    	
 
    	
90% in 6 hours (business hours)*
    
	
 
    	
 
    	
 
    
	
Resolution time for priority 3
    	
 
    	
90% within 3 business days*
    
	
 
    	
 
    	
 
    
	
Resolution time for priority 4
    	
 
    	
Status report after one week
    

 

* Based on a three month average. Measurability depending on location and infrastructure.

 

USER / CUSTOMER PARTICIPATION

 

·                  Keeping information about the incident ready

·                  Contacting service desk in charge

·                  Using FAQ and/or user manuals for possible own incident resolution

·                  Contacting service desk via defined channels

·                  Required request forms have to be completely filled in and released

 

OUT OF SCOPE

 

·                  Accepting requests / contacts via web self service

·                  On-site incident resolution (applies also to IMAC actions which are carried out via remote connection)

 

GENERAL NOTE

 

·                  The performance portfolio provided herein is dependent on the particular location of the service desk. The service desk responsible for you informs you about its local range of services. In addition, the FNC intranet provides further information.

 

42

 

	
 
    	
FNC   Emergency Support
    
	
 
    	
 
    
	
 
    	
Support for IT systems   that are critical for business 

outside the standard   support times
    

 

Contact Person: Lothar Löser | Availability: worldwide                                              Material No.: I000283

 

SERVICE COMPONENT DESCRIPTION

 

The scope of the emergency support covers the support of IT systems that are critical for business as well as their supporting infrastructure. The emergency service enables the users to report emergencies, classified as “Priority 1”, to FNC outside its regular working hours. A list of the systems that are critical for business is stored in the FNC intranet.

 

A “Priority 1” incident meets the following criteria:

 

·       An application in its entirety is not available and processes that are critical for business are not executable or fundamentally affected by this incident.

·       Fresenius customer Service Level Reporting cannot be adhered to or is seriously jeopardized.

·       There is the risk that business relations to Fresenius ́ customers will be disrupted.

·       Many staff members cannot perform their assigned tasks.

·       The customer does not have an immediate alternative in order to carry out the affected business process.

 

The emergency service is only available for “Priority 1” emergency cases.

Phone number: +49 (6172) 608 - 7877 For all other cases please contact the Service Desk. All services described are solely provided outside the regular working hours effective in Germany (Hessen).

 

QUALITY PARAMETERS

 

	
Service times:
    	
 
    	
Workdays: 18:00 - 08:00 CET, weekends and public polidays* 
   (prior to the next business day): 
   00:00-24:00 CET
    
	
 
    	
 
    	
 
    
	
Information to Reporting Person 
   (outside regular service times):
    	
 
    	
After 4 hours** at the latest
    
	
 
    	
 
    	
 
    
	
Information to Reporting Person 
   (within regular service times):
    	
 
    	
After 2 hours** at the latest
    

 

* The workday and public holidays referred to are effective in Germany and Hessen

** Provided that the agreed communication channels (e.g Lotus Notes ) are available

 

PROVISIONS BY FNC

 

·                  Availability of supporting staff

·                  “Best effort” concerning finding solutions or provisional solutions for “Priority 1” emergency cases

·                  Request/contact acceptance via emergency phone number

 

OPERATIONS

 

·                  FNC is responsible for defining and determining the priority of an emergency

·                  Fault analysis, prioritization and classification, assignment

·                  Escalation management (if necessary)

·                  All “Prio 1” emergency cases reported by the customer shall be accepted by FNC and documented in a ticketing system

·                  Providing ad-hoc assistance or workarounds

·                  Information to Reporting Person after solving the problem and status information during the problem resolution process

 

43

 

	
FNC Emergency Support
    	
 
    
	
 
    	
 
    
	
Support   for IT systems that are critical for business 
   outside the standard support times
    	
 
    

 

USER / CUSTOMER PARTICIPATION

 

·                  User shall report “Priority 1” emergency cases only to the responsible emergency service help desk. The emergency service help desk has to be contacted via the stipulated an communicated channel (e.g. telephone number). FNC cannot ensure proper processing of requests and problem reports if these were submitted to other FNC staff members.

·                  The customer and FNC shall collaborate in all stages of the process and shall be responsible for supporting FNC in its efforts to provide the service to the following extent:

·   appoint an appropriate number of competent staff for communication and problem resolution.

·   provide FNC with all reasonable and necessary information and documentation.

·   responsible for reaching timely internal consensus and decisions required for the performance of services under this service description.

·   In case that joint actions have been agreed upon, the customer shall be responsible for its own efforts — supported by FNC - to independently prepare, perform and analyze the actions to be contributed by the customer.

·   make applications available only to those staff members who have been appropriately trained.

·   ensure compliance with the policies, implemented for the use of the applications, on the part of the “customer ́s” staff.

 

OUT OF SCOPE

 

·                  Faults that do not match “Priority 1”

·                  User administration

 

INFRASTRUCTURE

 

·                  Active Call Distribution system (ACD)

·                  Ticketing tool

 

REPORTING

 

·                  Call and ticket statistics by request

 

44

 

	
 
    	
Email   Plus with User Support
    
	
 
    	
 
    
	
 
    	
Reliable worldwide email   communication and scheduling
    

 

Contact Person: Gianpietro Alpiani | Availability: Rhine-Main Area                                       Material No.: I000051

 

SERVICE COMPONENT DESCRIPTION

 

With the service component “Email Plus with User Support” you obtain a highly available platform - based on Lotus Notes - for your internal and external communication. In addition to sending emails and having a 300 MB mailbox, you can also do scheduling and use the chat function for quick arrangements. The mailbox is limited to 300 MB and can be enhanced, if required, for an additional charge. Attachments of up to 50 MB can be sent with each email. FNC ́s top priority is the security of your data. That is why your data is backed up by the FNC Data Center at regular intervals. Furthermore, while sending and receiving messages, the entire unencrypted mail traffic is automatically checked for viruses and spam.

 

In addition to its communication infrastructure with Lotus Domino servers, certificate servers and directories, FNC is the worldwide administrator of the Fresenius email domains (e.g. @Fresenius.com) and the Domino Lightweight Directory Access Protocol (LDAP) directory services. Numerous extensions (see Optional Extensions) are available to supplement this service.

 

QUALITY PARAMETERS

 

	
Operating times:
    	
 
    	
24/7
    
	
 
    	
 
    	
 
    
	
Maintenance window:
    	
 
    	
A maintenance window is not stipulated, 
   necessary work will be announced
    
	
 
    	
 
    	
 
    
	
Availability in % per month:
    	
 
    	
99*
    

 

* Based on a three month average

 

FUNCTIONALITIES

 

·                  Platform: Lotus Notes (the standard is 300 MB per mailbox)

·                  Interfaces to Domino servers

·                  Maximum size of email incl. attachments 50 MB

·                  Automatic antivirus monitoring of unencrypted emails

·                  Automatic spam filtering

·                  Message encryption (Notes encryption) possible within the Fresenius network

·                  Instant messaging (chat)

·                  Scheduling

 

PROVISIONS BY FNC

 

·                  “Messaging Infrastructure” provided by FNC Data Center in Bad Homburg/Germany

 

DEPLOYMENT

 

·                  Client software is provided through central software distribution

·                  Client access data will be sent by interoffice mail (letter: “user name and password for DP systems”)

 

45

 

	
Email Plus with User Support
    	
 
    
	
 
    	
 
    
	
Reliable   worldwide email communication and scheduling
    	
 
    

 

OPERATIONS

 

·                  Administration of:

·   Domino server software

·   Master data of users, distribution lists

·   Simple Mail Transfer Protocol (SMTP) server

·   Global Domino administration service

·                  Mailbox recovery

·                  Recovery of deleted items

·                  Mailbox backup

·                  General systems monitoring

·                  Availability monitoring

·                  Capacity, utilisation and performance monitoring

·                  Service Level Reporting

 

INCIDENT MANAGEMENT & SUPPORT

 

·                  2nd and 3rd Level Support

 

OPTIONAL EXTENSIONS

 

·                  Mailbox size extension ( > 300 MB) possible for an additional charge

 

USER / CUSTOMER PARTICIPATION

 

·                  New Lotus Notes user account via IT request in the FNC intranet

 

OUT OF SCOPE

 

·                  Notes client licenses (separate compensation)

·                  Installation of client applications

·                  Creating team rooms or Notes databases (based on standard template)

·                  1st Level Support

 

46

 

	
 
    	
Email Facility Connection Standard
    
	
 
    	
 
    
	
 
    	
Local platform for   worldwide communication by 
   operating your own local email server

 
    

 

Contact Person: Gianpietro Alpiani | Availability: worldwide                                                    Material No.: I000036

 

SERVICE COMPONENT DESCRIPTION

 

With the service component “Email Facility Connection Standard” you obtain the key — based on Lotus Notes — for your daily worldwide email communication. FNC provides the server application (Notes Domino server) incl. server software licenses. The setup of the server software and the administration is also carried out by FNC via remote connection. The necessary server hardware shall be provided by you at your location in accordance with the specifications.

 

In addition to communicating by email, the Lotus Notes platform provides scheduling and chat functions as standard features. Attachments of up to 50 MB can be sent with each email. The particular size of the mailbox is limited to the local email server memory capacity. Automatic spam filtering protects you from unsolicited promotional emails and enhances security.

 

You provide the administration of the end users from a local site. This includes the installation of the client software onto the end devices as well as the local user administration. The local administrator is the first point of contact for the users. FNC supports the local administrator and provides 2nd and 3rd Level Support.

 

The Lotus Notes client licenses incur license fees.

 

Extensions are available for the service component “Email Facility Connection Standard” (see Optional Extensions).

 

QUALITY PARAMETERS

 

	
Operating times:
    	
 
    	
24/7
    
	
 
    	
 
    	
 
    
	
Availability:
    	
 
    	
The customer ́s own responsibility
    

 

 

FUNCTIONALITIES

 

·                  Platform: Lotus Notes (mailbox size depends on local memory)

·                  Message encryption (Notes encryption) possible within the Fresenius network

·                  Data backup on local server

·                  Interfaces

(e.g. LDAP, POP, SMTP, MAPI, IMAP...)

·                  Maximum size of e-mail incl. attachments 50 MB

·      Automatic spam filtering

·      Scheduling

 

PROVISIONS BY FNC

 

·                  Licenses for Domino server

·                  Domino server software

 

DEPLOYMENT

 

·                  Installation of Domino server software via remote connection

·                  Installation of Domino server software patches and hot fixes via remote connection

 

47

 

	
Email Facility Connection Standard
    	
 
    
	
 
    	
 
    
	
Local   platform for worldwide communication by 
   operating your own local email server
    	
 
    

 

OPERATIONS

 

·                  General systems administration for Domino server software via remote support

·                  Administration of SMTP server

·                  Global Domino administration service

·                  Server software maintenance via remote connection

 

INCIDENT MANAGEMENT & SUPPORT

 

·                  2nd Level / 3rd Level Support for Domino server software via remote connection

·                  2nd Level and 3rd Level Support for local 1st Levels

 

OPTIONAL EXTENSIONS

 

·                  Web interface (Lotus iNotes)

·                  Automatic antivirus monitoring for unencrypted e-mails

·                  Mailbox archiving

·                  Installation of new releases for server application

·                  Creating team rooms or Notes databases (based on standard template)

 

USER / CUSTOMER PARTICIPATION

 

·                  Functioning local infrastructure for e-mail server

·                  Deployment / administration of e-mail server according to specifications

·                  Installation of client application

·                  Administration of user-, distribution lists (FNC provides self service for user administration)

·                  Recovery of team rooms and/or Notes databases

·                  Backup and restore

·                  Mailbox recovery

·                  Recovery of deleted items

·                  Web-Interface (Lotus iNotes)

 

OUT OF SCOPE

 

·                  Infrastructure for hardware housing

·                  Email server hardware

·                  Hardware and storage backup

·                  Local hardware maintenance

·                  License for Notes client access

·                  Installation and configuration of application software backup and restore

 

48

 

	
 
    	
Email Facility Connection Plus
    
	
 
    	
 
    
	
 
    	
Local email server for   worldwide communication 
   provided and operated by FNC
    

 

Contact Person: Gianpietro Alpiani | Availability: worldwide                                                    Material No.:  I000051

 

SERVICE COMPONENT DESCRIPTION

 

With the service component “Email Facility Connection Plus” you obtain the key - based on Lotus Notes – to your daily worldwide communication. FNC provides the necessary email server incl. server software licenses. The setup and administration of the server is carried out via remote connection by FNC.

 

In addition to communicating by email, the Lotus Notes platform provides scheduling and chat functions as standard features. Attachments of up to 50 MB can be sent with each email. The particular size of the mailbox is limited to the local email server memory capacity. Automatic spam filtering protects you from unsolicited promotional emails and enhances security.

 

You provide the administration of the end users from a local site. This includes the installation of the client software onto the end devices. The local administrator is the first point of contact for the users. FNC supports the local administrator and provides 2nd Level and 3rd Level Support. Moreover, FNC actively monitors the availability of the local email server. The Lotus Notes client licenses incur license fees.

 

Numerous extensions are available for the service component “email facility connection plus” (see Optional Extensions).

 

QUALITY PARAMETERS

 

	
Operating times:
    	
 
    	
24/7
    
	
 
    	
 
    	
 
    
	
Request handling:
    	
 
    	
1 week lead time
    
	
 
    	
 
    	
 
    
	
Availability in % per month:*
    	
 
    	
99**
    

 

* The operability of the local infrastructure has to be ensured.

 

** Based on a three month average

 

FUNCTIONALITIES

 

·                  Platform: Lotus Notes (mailbox size depends on local memory)

·                  Message encryption (Notes encryption) possible within the Fresenius network

·                  Data backup on local server

·                  Interfaces (LDAP, POP, SMTP, MAPI, IMAP...)

·                  Maximum size of email incl.attachments 50 MB

·                  Automatic spam filtering

·                  Scheduling

 

PROVISIONS BY FNC

 

·                  Email server

·                  Server licenses: Domino

·                  Domino server software

 

DEPLOYMENT

 

·                  Installation and configuration of Domino server by local service provider

·                  Installation of releases, patches and hot fixes for server software

 

49

 

	
Email Facility Connection Plus
    	
 
    
	
 
    	
 
    
	
Local   email server for worldwide communication 
   provided and operated by FNC
    	
 
    

 

OPERATIONS

 

·                  Administration of:

·   Domino server software via remote support

·   Simple Mail Transfer Protocol (SMTP) server

·   Global Domino administration service

 

Monitoring:

·    General systems monitoring

·    Availability monitoring

 

Maintenance of:

·    Local hardware — provided by hardware suppliers

·    Server software via remote connection by FNC

 

INCIDENT MANAGEMENT & SUPPORT

 

·                  2nd and 3rd Level Support for Domino server via remote connection

·                  2nd and 3nd Level Support for local 1st Levels (local Notes administrators)

 

OPTIONAL EXTENSIONS

 

·                  Web interface (Lotus iNotes)

·                  Automatic antivirus monitoring for unencrypted emails

·                  Mailbox archiving

·                  Creating team rooms or Notes databases

·                  Mailbox extention ( > 300 MB) in steps of 50 MB

 

USER / CUSTOMER PARTICIPATION

 

·                  Installation of client application

·                  Administration of user-, distribution lists (Fresenius Netcare provides self service for user administration)

·                  Recovery of team rooms and/or Notes databases

·                  Backup and restore

·                  Mailbox recovery

·                  Recovery of deleted items

·                  Web-Interface (Lotus iNotes)

 

OUT OF SCOPE

 

·                  Infrastructure for hardware housing

·                  Lotus Notes client access licenses (separate compensation)

·                  1st Level Support

 

50

 

	
 
    	
Email Web Solution Basic
    
	
 
    	
 
    
	
 
    	
Web-based worldwide email communication and scheduling
    

 

Contact Person: Gianpietro Alpiani | Availability: Worldwide                                                   Material No.: I000173

 

SERVICE COMPONENT DESCRIPTION

 

With the service component “Email Web Solution”, you obtain a highly available web platform for your internal and external email communication. The maximum size of the users’ mailbox is 100MB. Attachments of up to 5 MB can be sent with each email. Since the Web Client is opened in the Internet Explorer or Firefox, Lotus Notes Client does not have to be installed on your personal computer. However, to start the Web Client, an internet connection is required. FNC ́s top priority is the security of your data. That is why your data is backed up by the FNC Data Center at regular intervals. Furthermore, while sending and receiving messages, the entire unencrypted email traffic is automatically checked for viruses and spam.

 

In addition to its communication infrastructure with Lotus Domino servers, certificate servers and directories, FNC is the worldwide administrator of the Fresenius email domains (e.g. @Fresenius. com) and the Domino Lightweight Directory Access Protocol (LDAP) directory services. There are no additional extensions available for Lotus Notes Web Client. Extensions are possible by switching to the Email Web Solution EXTENDED service, which includes Calendaring and PIM service, instant messaging (chat) and rich presence, and possible connection of authorized mobile devices (service extension).

 

QUALITY PARAMETERS

 

	
Operating times:
    	
 
    	
24/7
    
	
 
    	
 
    	
 
    
	
Maintenance window:
    	
 
    	
Necessary maintenance work will be announced
    
	
 
    	
 
    	
 
    
	
Availability in % per month:
    	
 
    	
99*
    

 

* based on a tree-month average

 

FUNCTIONALITIES

 

·                  Platform: Browser or other mail clients (no Lotus Notes Client)

·                  100 MB mailbox

·                  Web interface (Notes DWA)

·                  Maximum size of email 5 MB

·                  Automatic antivirus monitoring of unencrypted e-mails

·                  Automatic spam filtering

·                  Instant messaging (chat)

·                  Scheduling

 

PROVISIONS BY FNC

 

·                  “Messaging Infrastructure” provided by FNC Data Center in Bad Homburg/Germany

 

DEPLOYMENT

 

·                  Installation of new releases, patches, hot fixes for Web Mail server software

 

OPERATIONS

 

·                  Administration server software (Domino)

·                  User administration

·                  Backup and restore

·                  Mailbox recovery

·                  Recovery of deleted items

·                  Web access (Notes DWA)

·                  Global Mail User Directory administration service

·                  Routing of international mail traffic (Hub)

 

51

 

	
Email Web Solution Basic
    	
 
    
	
 
    	
 
    
	
Web-based   worldwide email communication and scheduling
    	
 
    

 

INCIDENT MANAGEMENT & SUPPORT

 

·                  2nd and 3rd Level Support for Web Mail server software

·                  2nd and 3rd Level Support for local 1st Levels (local Notes administrators)

 

USER / CUSTOMER PARTICIPATION

 

·                  Request for new Web Mail Client shall be filed with local Lotus Notes administrator and forwarded to 2nd Level Support

·                  Local Lotus Notes administrator provides 1st Level Support

 

OUT OF SCOPE

 

·                  Lotus Notes client applications

·                  Message encryption within the Fresenius network

·                  Fax server and gateways

·                  Access to team rooms or Notes databases (based on standard template)

 

52

 

Email Web Solution Extended

 

Web-based worldwide email communication and scheduling

 

	
Contact Person: Gianpietro Alpiani | Availability:   worldwide
    	
 
    	
Material No.: I000305
    

 

SERVICE COMPONENT DESCRIPTION

 

With the service component “Email Web Solution Extended”, you obtain a highly available web platform — based on Lotus iNotes - for your internal and external email communication. In addition to sending/ receiving emails and having a 100 MB mailbox, you can also do calendar and scheduling, instant messaging (chat) and rich presence, and connect your mailbox to an authorized mobile device (service extension). Attachments of up to 50 MB can be sent with each email.

 

Since the Web Client is opened in the Internet Explorer or Firefox, Lotus Notes Client does not have to be installed on your personal computer. However, to start the Web Client, an internet connection is required. FNC ́s top priority is the security of your data. That is why your data is backed up by the FNC Data Center at regular intervals. Furthermore, while sending and receiving messages, the entire unencrypted email traffic is automatically checked for viruses and spam.

 

In addition to its communication infrastructure with Lotus Domino servers, certificate servers and directories, FNC is the worldwide administrator of the Fresenius email domains (e.g. @Fresenius. com) and the Domino Lightweight Directory Access Protocol (LDAP) directory services. As mentioned above, in addition to the service provided by the Email Web Solution basic, with this EXTENED option you will get those additional services:  Calendaring and PIM service, instant messaging (chat) and rich presence, and possible connection of authorized mobile devices (service extension). No further additional extensions are available for Lotus Notes Web Client.

 

QUALITY PARAMETERS

 

	
Operating times:
    	
 
    	
24/7
    
	
 
    	
 
    	
 
    
	
Maintenance window:
    	
 
    	
Necessary maintenance work will be announced
    
	
 
    	
 
    	
 
    
	
Availability in % per month:
    	
 
    	
99*
    

 

* based on a tree-month average

 

FUNCTIONALITIES

 

·                  Platform: Browser or other mail clients (no Lotus Notes Client)

·                  100 MB mailbox

·                  Web interface (Notes DWA)

·                  Maximum size of e-mail 50 MB

·                  Automatic antivirus monitoring of unencrypted e-mails

·                  Automatic spam filtering

·                  Instant messaging (chat)

·                  Calendar and Scheduling

 

PROVISIONS BY FNC

 

·                  “Messaging Infrastructure” provided by FNC Data Center in Bad Homburg/Germany

·                  Notes Web Client licenses (Lotus iNotes)

 

DEPLOYMENT

 

·        Installation of new releases, patches, hot fixes for Domino server software

 

53

 

OPERATIONS

 

·                  Administration server software (Domino)

·                  User administration

·                  Backup and restore

·                  Mailbox recovery

·                  Recovery of deleted items

·                  Webmail-Access (Lotus iNotes)

·                  Global Domino administration service

·                  Routing of international mail traffic (Hub)

 

INCIDENT MANAGEMENT & SUPPORT

 

·                  2nd and 3rd Level Support for Web Mail server software

·                  2nd and 3rd Level Support for local 1st Levels (local Notes administrators)

 

USER / CUSTOMER PARTICIPATION

 

·                  Request for new Web Mail Client shall be filed with IT Administrator and forwarded to 2nd Level Support

·                  Local IT administrator provides 1st Level Support

 

OUT OF SCOPE

 

·                  Lotus Notes client applications

·                  Encryption of messages within Fresenius network

·                  Fax server and gateways

·                  Creation of team rooms or Notes databases (based on standard template)

 

54

 

Mobile Email for BlackBerrys

 

Reliable worldwide BlackBerry communication

 

	
Contact Person: Gianpietro Alpiani | Availability:   worldwide
    	
 
    	
Material No.: I000172
    

 

SERVICE COMPONENT DESCRIPTION

 

With the service component “Mobile Email for BlackBerrys” you connect your BlackBerry to your Fresenius Lotus Notes mailbox via a mobile network. Emails, appointments and, if applicable, contacts are automatically synchronized between your Lotus Notes mailbox and your BlackBerry at the push of a button, and they are checked for viruses. Data can only be stored in the Fresenius Lotus Notes mailboxes. This makes it unnecessary to add special services concerning the backup, storage or recovery of data.

 

On-site support for the user is provided by a local Notes administrator who, if required, is assisted by FNC. FNC provides 2nd and 3rd Level Support in cooperation with the designated local administrator (1st Level).

 

Note:

 

The BlackBerry device and the data plan required by the mobile provider are not included in this service component. Your BlackBerry has to be protected locally by a password. In case of a hardware loss, FNC shall be notified immediately.

 

Any new contract has to be approved by the board of directors in charge or a representative appointed by the board of directors.

 

QUALITY PARAMETERS

 

	
Operating times:
    	
 
    	
24/7
    
	
 
    	
 
    	
 
    
	
Maintenance window:
    	
 
    	
Sunday 08:00 – 09:00 CET worldwide
    
	
 
    	
 
    	
 
    
	
Service times:
    	
 
    	
06:00 – 18:00 CET Service Desk
    
	
 
    	
 
    	
 
    
	
On-call service times (Server):
    	
 
    	
Monday - Friday 18:00 – 22:00 CET

Saturday/Sunday + public holidays

09:00 – 19:00 CET
    

 

FUNCTIONALITIES

 

·                  Virus protection on server

·                  Encryption: strong

·                  Synchronization of:

· Mobile Mail with Lotus Notes

· Calendar

· Contacts, if applicable

 

PROVISIONS BY FNC

 

·                  “Mobile Messaging Infrastructure” provided by FNC Data Center in Bad Homburg/Germany

 

OPERATIONS

 

·                  Planning and defining global filtering rules

·                  Defining client policies (e.g. password rules)

·                  User service component consultation and selection

·                  Service component accessories consultation and selection (e.g. hands-free equipment)

·                  General systems monitoring

·                  User documentation of systems and operations

·                  Messaging server

·                  Software maintenance and daily data backup

 

55

 

INCIDENT MANAGEMENT & SUPPORT

 

· 2nd and 3rd Level Support for local hotline / service desks

·  Ticket processing

·  Incident isolation

·  Remote incident resolution, where possible

·  Feedback to local 1st Level Support

·  Escalation management

·  Support for local administrator re. setup/configuration

 

USER / CUSTOMER PARTICIPATION

 

·                  Ordering BlackBerry with corresponding requirements

·                  Complying with authorization procedure

·                  Ensuring security policy compliance

·                  Appointing/contacting key user and/or local administrator

·                  BlackBerry administration (e.g. client activation, re-generating master key, data deletion,...)

·                  Activation via Wireless Enterprise or BlackBerry Desktop Manager USB

·                  BlackBerry user administration

·                  User support re. setup/configuration by the local administrator

 

OUT OF SCOPE

 

·                  BlackBerrys and regional telecommunications contract

·                  Preparation and distribution of devices (e.g. inserting the SIM card)

·                  No support for non-BlackBerry devices (e.g. Nokia)

 

56

 

Software Packaging and Deployment

 

Target-oriented distribution and maintenance of the
 software products used with FNC

 

	
Contact Person: Lothar Gützkow | Availability:   worldwide
    	
 
    	
Material   No.: -
    

 

SERVICE COMPONENT DESCRIPTION

 

With the service component “Software Packaging and Deployment” you can install, update and de- install your software on your user’s clients via mass rollout in a reliable and secure manner.

 

As far as standard software is concerned, FNC automatically makes sure that all software - that is provided by the Fresenius Group and required by the user - is available. Securing the running business by maintaining and distributing the software is also part of the service component “Basic IT Operation Package”.

 

QUALITY PARAMETERS

 

	
Operating times:
    	
 
    	
24/7
    
	
 
    	
 
    	
 
    
	
Guaranteed service times:
    	
 
    	
Monday through Friday (except public holidays)

08:00 - 18:00 CET
    
	
 
    	
 
    	
 
    
	
Maintenance window in   hours per week:
    	
 
    	
4
    

 

FUNCTIONALITIES

 

Rollout method:

 

·                  Push — for necessary security updates of applications

·                  Pull — for newly released applications and updates

·                  Offline - via CD or DVD dispatch only for SAPGUI

·                  User- or client-based

 

Special features:

 

·                  Language- or country-specific packaging possible (currently only for GER and UK)

·                  Distribution of software for terminal server (Citrix)

·                  Distribution for the use of Citrix to mobile or other clients

·                  Automatic de-installation possible in case of security-related relevance

·                  Maintaining and updating the operating system and software packages

 

PROVISIONS BY FNC

 

·                  Software depot and Windows server update service

 

DEPLOYMENT

 

·                  Deployment and maintenance of infrastructure for software distribution

·                  Maintaining and updating the distribution software

·                  Installation and configuration of client and user profiles (provided by the technician during an exchange of devices or move)

·                  Release installation distribution software

·                  Installation of patches, updates for distribution software

 

57

 

OPERATIONS

 

·                  Software life cycle management

·                  Implementing current security standards

·                  System maintenance

·                  Software packaging, creating scripts

·                  Testing standard software, incl. updates, patches, service packs for standard software

·                  Creating master images, CDs, DVDs

·                  Distribution of templates, policies, virus patterns

·                  Activation of software package with software subject to licensing

·                  Availability monitoring

·                  Capacity, utilisation and performance monitoring

 

INCIDENT MANAGEMENT & SUPPORT

 

·                  2nd and 3rd Level Support

 

OPTIONAL EXTENSIONS

 

·                  Testing of software, incl. updates, patches, service packs for software

·                  Offline rollout via CD or DVD dispatch for further applications (non-SAP)

 

USER / CUSTOMER PARTICIPATION

 

·                  In case of software subject to licensing, ordering the license with IT procurement

·                  Retrieving the software from the software depot after activation by user

·                  In case of individual software, the customer ensures compatibility with standard applications

·                  Clients have to be connected to the central software distribution (exception: for selected software, the rollout can be carried out via CD/DVD)

 

OUT OF SCOPE

 

·                  Distribution to servers

·                  On-site installation

·                  Short user instructions

·                  User training sessions and consultations

·                  Group training sessions for users

 

AVAILABILITY

 

·                  Distribution of application via software depot only for activated locations

·                  Activation of additional locations worldwide for software depot possible by arrangement (within the Fresenius Global Network)

·                  Dispatch of CD and DVD worldwide (only possible for selected software)

·                  Terminal server (Citrix) worldwide (Citrix Client is required)

·                  Windows server update service for activated locations

 

58

 

Terminal Server

 

Terminal servers enable a hardware-independent, reliable virtual
 working environment

 

	
Contact Person: Lothar Gützkow | Availability:   worldwide
    	
 
    	
Material No.: I000252
    

 

SERVICE COMPONENT DESCRIPTION

 

With the service component “Terminal Server” you can open application programs on a central server and use them, assisted by a graphic user interface, with your own computer, via the Fresenius network. Terminal servers provide the following advantages:

 

·                  New software rollouts do not have to be installed on every single client

·                  The application software is operated centrally and runs independent of the hardware

·                  The processing power is rendered centrally and not on local computers; performance problems do not occur

·                  High security standard since the applications are centrally operated and the data remains in the Data Center.

 

QUALITY PARAMETERS

 

	
Operating times:
    	
 
    	
24/7
    
	
 
    	
 
    	
 
    
	
Guaranteed service times:
    	
 
    	
Monday through Friday (except public holidays)

06:00 - 18:00 CET
    
	
 
    	
 
    	
 
    
	
Maintenance window in hours per week:
    	
 
    	
24

(outside the service times)
    
	
 
    	
 
    	
 
    
	
Availability in %

pro Monat:
    	
 
    	
98*
    

 

* Based on a three month average

 

FUNCTIONALITIES

 

·                  Deployment of basic applications without software licenses (e.g. SAPGUI (current version), Kipdips, Applix, Office products)

·                  Farm concept (quick response to customer requirements)

·                  Deployment of applications via Citrix (terminal server software) for mobile end devices

 

PROVISIONS BY FNC

 

·                  Citrix Server

·                  Operating system software

 

DEPLOYMENT

 

·                  Client provided via software depot or via mail and/or File Transfer Protocol (FTP) download

·                  Installation of releases and updates for client applications (software depot or via email with FTP link)

 

59

 

OPERATIONS

 

·                  Concept design of standard system configurations

·                  Capacity planning

·                  Implementation of current security standards (access rights control, virus protection, security patches)

·                  General systems administration and parametrization

·                  Hardware maintenance (i.e. incident isolation/resolution or repair/ replacement of hardware, incl. spare parts stockkeeping)

·                  Performance analyses and tuning measures

·                  Deletion of expired sessions

·                  Administration active directory

·                  Pro-active updating of standard software (update / patches)

·                  Availability monitoring

·                  Capacity, utilisation and performance monitoring

·                  Comprehensive virus protection for Citrix and the installed applications

·                  Creating and maintaining the user documentation

·                  Increasing and decreasing system capacities

 

INCIDENT MANAGEMENT & SUPPORT

 

·                  2nd and 3rd Level Support

 

OPTIONAL EXTENSIONS

 

·                  Quantity adjustments for a high number of users

·                  Deployment of individual Citrix-capable applications

·                  Patching and/or updating individual software

 

USER / CUSTOMER PARTICIPATION

 

·                  BANF/ e-mail with request and cost unit for new user to FNC

·                  Installing Citrix Client

 

OUT OF SCOPE

 

·                  Software licenses for applications offered

 

60

 

E-Fax

 

Send and receive fax messages directly via email

 

	
Contact   Person: Gerhard Rettenbacher | Availability: Rhine-Main-Area
    	
 
    	
Material   No.: I000033
    

 

SERVICE COMPONENT DESCRIPTION

 

With the service component “E-Fax” you can send and receive fax messages directly via your Lotus Notes Client. The “E-Fax Connector” accepts faxes for you around the clock in our Data Center in Bad Homburg/Germany — without a fax machine or a computer that is permanently switched on. You — as the fax recipient — do not accrue any additional telephone fees. The sender of a fax message only pays the valid telephone rate.

 

Performance features:

 

·                  Sending faxes from Lotus Notes

·                  Integrating and sending of Word, Excel, PPT, PDF and TIF files

·                  Receiving faxes

·                  Fax-on-demand

 

QUALITY PARAMETERS

 

	
Operating times:
    	
 
    	
24/7
    
	
 
    	
 
    	
 
    
	
Guaranteed service times in hours per week:
    	
 
    	
Monday through Friday (except public holidays)

08:00 — 17:00 CET
    
	
 
    	
 
    	
 
    
	
Maintenance window in hours per week:
    	
 
    	
10
    
	
 
    	
 
    	
 
    
	
Processing time for standard change:
    	
 
    	
Next business day
    
	
 
    	
 
    	
 
    
	
Availability in % per month:
    	
 
    	
99*
    

 

* Based on a three month average

 

FUNCTIONALITIES

 

·                  Sending and receiving faxes from Lotus Notes

·                  Sending e-mail attachments from Lotus Notes via fax

·                  Integrating Word, Excel, PPT, PDF and TIF files

·                  Fax-on-demand

 

PROVISIONS BY FNC

 

·                  Infrastructure provided by FNC Data Center in Bad Homburg/Germany

·                  Redundant infrastructure to enable high availability of service

 

USER / CUSTOMER PARTICIPATION

 

·                  Completing and sending the IT request “Request for LAN and Notes access” in the FNC intranet

 

OPERATIONS

 

·                  Planning and designing the standard systems configurations

·                  Maintaining and further developing the technology (incl. hardware replacement, if necessary)

·                  Implementing current security standards

·                  User administration

·                  Patch management and providing new releases of servers

·                  General systems monitoring

·                  Capacity, utilisation and performance monitoring

 

INCIDENT MANAGEMENT & SUPPORT

 

·                  2nd and 3rd Level Support

 

DEPLOYMENT

 

·                  Installation and activation of fax service

 

61

 

Network Printer Access

 

Staff members have the possibility to access printers in the Fresenius network system

 

	
Contact   Person: Ralf Ehrenborg | Availability: Rhine-Main-Area
    	
 
    	
Material   No.: I000284
    

 

SERVICE COMPONENT DESCRIPTION

 

The network printer service enables Fresenius staff members or external staff engaged by Fresenius to have access to printers in the Fresenius network system. The service ensures the timely integration (wiring, setup and print queue assignment) of the printers and operation via the existing print server.

 

QUALITY PARAMETERS

 

	
Operating times:
    	
 
    	
24/7
    
	
 
    	
 
    	
 
    
	
Guaranteed service times per week:
    	
 
    	
Monday through Friday (except public holidays)

08:00 - 16:30 CET
    
	
 
    	
 
    	
 
    
	
Availability in % per month:
    	
 
    	
98*
    

 

* Based on a three month average

 

FUNCTIONALITIES

 

·                  Administration of print queue by FNC

·                  Printing via the Fresenius network

 

PROVISIONS BY FNC

 

·                  Print server (planning and operating)

·                  Network connection

 

OPERATIONS

 

·                  Monitoring

·                  General operations control

·                  Life cycle management

·                  Infrastructure maintenance (Hardware and Software)

·                  Monitoring the active network components

·                  User support

·                  Replacement of outdated infrastructure within the scope of life cycle management (for printservers)

 

INCIDENT MANAGEMENT & SUPPORT

 

·                  2nd and 3rd Level Support

 

OPTIONAL EXTENSIONS

 

·                  Printer setup and configuration

·                  Connection / configuration of multifunction devices

 

USER / CUSTOMER PARTICIPATION

 

·                  Procuring network printer via FNC procurement

·                  Completing printer management form (shall be sent by email)

·                  Scheduling date and place for installation and/or connection, if necessary

·                  Alternatively, opening a ticket for installation at service desk

 

OUT OF SCOPE

 

·                  Setting up and configuring (separate order)

·                  Client hardware (printer)

·                  Travelling to on-site assignments (expenses)

·                  Consumables

 

62

 

Internet Access Basic

 

Internet access via the Fresenius network

 

	
Contact   Person: Gerhard Rettenbacher | Availability: worldwide
    	
 
    	
Material   No.: I000048
    

 

SERVICE COMPONENT DESCRIPTION

 

With the service component “Internet Access” you obtain internet access via browser and File Transfer Protocol Client. The authorization for access is provided using the browser via a password query. If access is performed via other applications, these have to support a communication interface and a proxy authentication. Accessing unwanted or risky websites is automatically prevented. The traffic fees for usage are invoiced per MB.

 

In the FNC intranet you will find the IT request for internet access as well as information concerning the rules that have to be observed within the Fresenius Group for surfing the internet.

 

QUALITY PARAMETERS

 

	
Operating times:
    	
 
    	
24/7
    
	
 
    	
 
    	
 
    
	
Guaranteed service times:
    	
 
    	
Monday through Friday (except public holidays)

06:00 - 18:00 CET
    
	
 
    	
 
    	
 
    
	
Maintenance window in hours per week:
    	
 
    	
10

Saturday 16:00 — 20:00 CET, Sunday 08:00 — 14:00 CET

or after advance notice
    
	
 
    	
 
    	
 
    
	
Availability in % per month*:
    	
 
    	
97*
    

 

* Guaranteed from the time of switching from the internet service provider to FNC

 

FUNCTIONALITIES

 

·                  Connection to several internet providers (high availability)

·                  Web caching

·                  Content and URL filtering

·                  User authentication

·                  User-based activation of the internet access

·                  Firewalling

 

PROVISIONS BY FNC

 

·                  Connection to the Internet Service Provider (ISP) for Bad Homburg / Germany included; other locations are responsible for their own ISP access

 

DEPLOYMENT

 

·                  Data transmission volume (20 MB internet traffic per month & user)

·                  Deployment of proxy

 

OPERATIONS

 

·                  Capacity and performance planning

·                  Implementation of current security standards (e.g. for internet browser, firewall,...)

·                  High availability concept

·                  ISP management / negotiations

·                  Infrastructure maintenance (required central hardware and software)

·                  Automatic update of URL filter rule

·                  General systems monitoring

·                  ISP connection(s) monitoring

·                  Individual and traffic invoicing on the user level

·                  Adjusting to technical standards

·                  Testing

 

INCIDENT MANAGEMENT & SUPPORT

 

·                  2nd and 3rd Level Support

 

63

 

OPTIONAL EXTENSIONS

 

·                  Automatic antivirus filtering

 

USER / CUSTOMER PARTICIPATION

 

·                  Requesting deployment via online forms

·                  Complying with the company internet policy (security / user policy)

·                  Using the enabled browser (Internet Explorer and Firefox)

 

OUT OF SCOPE

 

·                  Client hardware (modem, ISDN card, DSL router)

·                  Internet fees

·                  Telephone dial-in (analog/ISDN)

·                  GPRS / UMTS /DSL connection

·                  Virus protection and content checking

 

64

 

VPN Connect Full Access

 

Internet access via Fresenius network

 

	
Contact   Person: Gerhard Rettenbacher | Availability: worldwide
    	
 
    	
Material   No.: I000171
    

 

SERVICE COMPONENT DESCRIPTION

 

The service “VPN Connect Full Access” enables you to access Fresenius resources on the go from your own computer. The data transmission is encrypted via the internet. FNC provides an accessing software, which needs to be installed on your computer. A personal certificate - that has to be created when installing - is used for authentication.

 

In principle, all Fresenius programs/applications are executable via the VPN connection. Since this service component runs — for security reasons — in a protected area of the central Data Center, activation in the firewall is necessary for special applications. Please specify the application in the IT request. Standard applications, such as Lotus Notes, SAP or file server access, for example, are generally activated.

 

QUALITY PARAMETERS

 

	
Operating times:
    	
 
    	
24/7
    
	
 
    	
 
    	
 
    
	
Guaranteed service times:
    	
 
    	
Montag bis Freitag (außer an   Feiertagen) 06:00-18:00Uhr
    
	
 
    	
 
    	
 
    
	
Maintenance window in hours per week:
    	
 
    	
10

(Samstag 16:00 — 20:00 MEZ,

Sonntag 08:00 — 14:00 MEZ   oder nach Ankündigung)
    
	
 
    	
 
    	
 
    
	
Availability in % per month*:
    	
 
    	
98*
    

 

* Based on a three month average

 

FUNCTIONALITIES

 

·                  Encryption algorithms: strong (e.g. 3DES, AES)

·                  Authentication via software certificate

·                  Central firewalling

·                  Simultaneous access to the company network for all clients

 

PROVISIONS BY FNC

 

·                  VPN client software

·                  central Fresenius internet access

 

DEPLOYMENT

 

·                  Deployment of client software by central sortware allocation center (if possible) or via email with link

·                  Activation of the clien software via remote access

 

OPERATIONS

 

·                  Implementation of current security standards

·                  Administration

·                  General systems administration and parametrization

·                  Life cycle management

·                  Certificate management (creation / blocking)

·                  Maintenance infrastructure (hardware and software)

·                  Monitoring of active central network components

·                  Monitoring the security specifications for central IT services

·                  Performing (security) audits for central components

·                  Monitoring of central infrastrukture

·                  Replacement of outdated infrastructure within the scope of life cycle management

·                  Deployment of patches and new releases

 

65

 

INCIDENT MANAGEMENT & SUPPORT

 

·                  2nd and 3rd Level Support

 

OPTIONAL EXTENSIONS

 

·                  Installation on site by technician (separate compensation)

 

USER / CUSTOMER PARTICIPATION

 

·                  The user needs internet access to enable communication with the Fresenius VPN gateways; the corresponding VPN protocols have to be activated in the user ́s firewall

·                  Requesting the service via FNC intranet request

·                  Compliance to the FNC Security Policy (see FNC Intranet)

·                  In the event a third party is engaged: an agreement is required concerning the obligation to ensure compliance with security requirements, especially so that the network or the systems are not attacked and information is not spied upon

 

OUT OF SCOPEOUT OF SCOPE

 

·                  Client hardware (modem, ISDN card, DSL router)

·                  Internet fees with provider

·                  Telephone dial-in (analog/ISDN)

·                  GPRS / UMTS fees

·                  DSL connection

·                  Virus protection and content checking

·                  Installation of client software (client software is available at the software depot)

 

66

 

VPN Connect Basic Application

 

Staff members can — while on the go — access internal resources 
 from the company computer via VPN and a certificate

 

	
Contact   Person: Gerhard Rettenbacher | Availability: worldwide
    	
 
    	
Material   No.: I000228
    

 

SERVICE COMPONENT DESCRIPTION

 

The service component “VPN connect Basic Application” enables you (as a Fresenius staff member), while travelling or working from your home office, to access internal Fresenius resources from your own Fresenius computer. Using web VPN with certificate is recommended for Fresenius staff members who only want to use email, SAP and intranet while on the go. The data is transmitted in encrypted form. The user has to register only once with the Web VPN service. In doing so, a browser certificate is generated which entitles the user to access the service.

 

The Web VPN service provides the following applications:

 

· Internal websites — special software is not required for this

· SAP (via SAPGUI)

· Lotus Notes

 

As far as SAP and Lotus Notes are concerned, a software client has to be loaded and started from the home page of the service. Only the Windows operating system in FNC Support is supported. Accessing other (or via other) applications, such as terminal or file service etc., is not possible with this service component.

 

QUALITY PARAMETERS

 

	
Operating times:
    	
 
    	
24/7
    
	
 
    	
 
    	
 
    
	
Guaranteed service times:
    	
 
    	
Monday through Friday (except public holidays)

06:00 - 18:00 CET
    
	
 
    	
 
    	
 
    
	
Maintenance window in hours per week:
    	
 
    	
10

Saturday 16:00 - 20:00 CET

Sunday 08:00 - 14:00 CET

or by arrangement
    
	
 
    	
 
    	
 
    
	
Availability in % per month:
    	
 
    	
98*
    

 

* Based on a three month average

 

FUNCTIONALITIES

 

·                  Encryption algorithms: strong (e.g. 3DES, AES)

·                  Supported access technologies: SSL-VPN

·                  Authentication via software certificate

·                  Central firewalling

·                  Simultaneous access to the company network for all clients

 

PROVISIONS BY FNC

 

·                  Certificate

·                  VPN tunnel software for client

·                  Central Fresenius internet access

 

DEPLOYMENT

 

·                  Certificate activation (enrolment)

·                  Tunnel software provided by browser

 

67

 

OPERATIONS

 

·                  Implementation of current security standards

·                  General systems administration and parametrization

·                  Certificate generation / certificate management

·                  Certificate revocation

·                  Infrastructure maintenance

·                  Monitoring the active network components

·                  Monitoring the security specifications for central IT services

·                  Performing (security) audits for central components

·                  Deployment of patches and new releases for infrastructure

·                  Replacement of outdated infrastructure within the scope of life cycle management

·                  Monitoring the central infrastructure

 

INCIDENT MANAGEMENT & SUPPORT

 

·                  2nd and 3rd Level Support

 

USER / CUSTOMER PARTICIPATION

 

·                  The user needs internet access to enable communication with the Fresenius VPN gateways; the corresponding VPN protocols have to be activated in the user ́s firewall

·                  In the event a third party is engaged: an agreement is required concerning the obligation to ensure compliance with security requirements, especially so that the network or the systems are not attacked and information is not spied upon

·                  Requesting the service via FNC intranet request

·                  Installation of the certificate that has been sent

 

OUT OF SCOPE

 

·                  Client hardware (modem, ISDN card, DSL router)

·                  Internet fees

·                  Telephone dial-in fees (analog/ISDN)

·                  GPRS / UMTS / DSL connection

·                  Virus protection and content checking

·                  Accessing other applications, such as terminal or file service etc., is not possible with this service component

 

68

 

VPN WEB Connect

 

Staff members can — from external locations - access internal
  websites and applications via VPN (password protected)

 

	
Contact   Person: Gerhard Rettenbacher | Availability: worldwide
    	
 
    	
Material   No.: I000227
    

 

SERVICE COMPONENT DESCRIPTION

 

The service “VPN WEB Connect” enables Fresenius staff members or external staff engaged by Fresenius to have access to internal Fresenius resources. Using web VPN with Token is recommended for access from external computers, for instance from an internet café or from external laptops. The data is transmitted in encrypted form.

 

The user has to log in to a website via browser. A special device, called Token, determines the password that needs to be entered in the browser. The Token measures 6 x 3.5 x 0.9 centimeters.

 

With this service component you can access the following applications:

 

·                  Internal websites — special software is not required for this

·                  SAP (via SAPGUI)

·                  Lotus Notes

 

As far as SAP and Lotus Notes are concerned, a minor software client has to be loaded and started from the home page of the service. Only the current version of the Windows operating system is supported.

 

Accessing other (or via other) applications, such as terminal or file service etc., is not possible with this service component.

 

QUALITY PARAMETERS

 

	
Operating times:
    	
 
    	
24/7
    
	
 
    	
 
    	
 
    
	
Guaranteed service times:
    	
 
    	
Monday through Friday (except public holidays)

06:00 - 18:00 CET
    
	
 
    	
 
    	
 
    
	
Maintenance window in hours per week:
    	
 
    	
10
   Saturday 16:00 — 20:00 CET, Sunday

08:00 — 14:00 CET or by arrangement
    
	
 
    	
 
    	
 
    
	
Availability in % per month*:
    	
 
    	
98*
    

 

* Based on a three month average

 

FUNCTIONALITIES

 

·                  Encryption algorithms: strong (e.g. 3DES, AES)

·                  Supported access technologies: SSL-VPN

·                  Authentication via user name and one-time password (Token or other)

·                  Central firewalling (application layer inspection)

·                  Simultaneous access to

 

PROVISIONS BY FNC

 

·                  Keytoken

·                  Replacement Token by request

·                  Tunnel software for client

·                  Central Fresenius internet access

 

DEPLOYMENT

 

·                       Deployment of VPN tunnel software via browser

·        Keytoken shall be sent

 

69

 

OPERATIONS

 

·                  Implementation of current security standards

·                  General systems administration and parametrization

·                  Life cycle management

·                  Maintenance of central hardware and software

·                  Central infrastructure monitoring

·                  Monitoring the security specifications for central IT services

·                  Performing (security) audits for central components

·                  Hardware and Keytoken maintenance

·                  Replacement of outdated infrastructure within the scope of life cycle management

·                  Deployment of patches and new releases for infrastructure

 

INCIDENT MANAGEMENT & SUPPORT

 

·                  2nd and 3rd Level Support

 

USER / CUSTOMER PARTICIPATION

 

·                  The user needs internet access to enable communication with the Fresenius VPN gateways; the corresponding VPN protocols have to be activated in the user ́s firewall

·                  Requesting the service via FNC intranet request

·                  In the event a third party is engaged: an agreement is required concerning the obligation to ensure compliance with security requirements, especially so that the network or the systems are not attacked and information is not spied upon

·                  Returning the Token after the service has ended

·                  Requesting a replacement Token

 

OUT OF SCOPE

 

·                  Client hardware (modem, ISDN card, DSL router)

·                  Internet fees

·                  Telephone dial-in (analog/ISDN)

·                  GPRS / UMTS fees

·                  Virus protection and content checking

·                  Accessing other applications, such as terminal or file service etc., is not possible with this service component

 

70

 

Home Office Basic

 

Access to Fresenius resources from the 
 home office via a VPN router

 

	
Contact   Person: Gerhard Rettenbacher | Availability: Germany
    	
 
    	
Material No.: I000202
    

 

SERVICE COMPONENT DESCRIPTION

 

With the service component “Home Office Basic” you can access the Fresenius network with your documents and data from your own computer in the home office. The data is transmitted in encrypted form via the internet. The connection to the Fresenius network is automatically provided via router. Therefore, separate VPN software is not required.

 

However, a DSL connection by Fresenius is needed. A connection to the Fresenius network via a private DSL connection is not possible! Regarding this service component “Home Office Basic”, all maintenance and support work that is carried out on the DSL router shall be separately invoiced according to time and effort.

 

In principle, all Fresenius programs/applications are executable from the home office. Since this service component runs — for security reasons — in a protected area of the central Data Center, activation in the firewall is necessary for special applications. Please specify the application you want to access from your home office in the IT request. Standard applications, such as Lotus Notes, SAP or file server access, for example, are generally activated.

 

QUALITY PARAMETERS

 

	
Operating times:
    	
 
    	
24/7
    
	
 
    	
 
    	
 
    
	
Guaranteed service times:
    	
 
    	
Monday through Friday (except public holidays)

06:00 - 18:00 CET
    
	
 
    	
 
    	
 
    
	
Maintenance window in hours per week:
    	
 
    	
10
    
	
 
    	
 
    	
 
    
	
Availability in % per month*:
    	
 
    	
98*
    

 

* Based on a three month average

 

FUNCTIONALITIES

 

·                  Encryption algorithms: strong (e.g. 3DES, AES)

·                  3 GB traffic volume

·                  Central internet access via FNC

·                  Central firewalling (application layer inspection)

·                  Redundant VPN access gateways

·                  Simultaneous access to company network for all clients

 

PROVISIONS BY FNC

 

·                  DSL router

 

DEPLOYMENT

 

·                  Installation and configuration of router via remote connection

 

OPERATIONS

 

·                  Implementation of current Fresenius security standards

·                  General systems administration and parametrization

·                  Life cycle management

·                  Infrastructure maintenance (hardware and software)

·                  Monitoring the security specifications for central IT services

·                  Performing (security) audits for central components

 

71

 

INCIDENT MANAGEMENT & SUPPORT

 

·                  2nd and 3rd Level Support

 

OPTIONAL EXTENSIONS

 

·                  On-site installation

·                  Deployment of patches

·                  Deployment of new releases

·                  Deployment of the installation of new releases, incl. required re-configuration

 

OUT OF SCOPE

 

·                  Hardware maintenance of router

·                  Replacement of outdated infrastructure within the scope of life cycle management

·                  Software maintenance of router

·                  Internet fees of the user

·                  Telephone dial-in (analog/ISDN)

·                  GPRS / UMTS function / fees

·                  DSL connection

·                  Life cycle management

·                  Central monitoring of the active decentralized network components

 

72

 

Home Office Comfort

 

Access to Fresenius resources from the home office 
 via a VPN router with W-LAN

 

	
Contact   Person: Gerhard Rettenbacher
    	
 
    	
Material   No.: I000213
    

 

SERVICE COMPONENT DESCRIPTION

 

With the service component “Home Office Comfort” you can access the Fresenius network with your data and documents from your own computer in the home office. The data is transmitted in encrypted form via the internet. The connection to the Fresenius network is automatically controlled via router with W-LAN function. Therefore, separate VPN software is not required. However, a DSL connection by Fresenius is necessary. Access to the Fresenius network via a private DSL connection is not possible. In case the DSLconnection fails, it can alternatively be established to Fresenius via ISDN. The service component “Home Office Comfort” contains all maintenance and support work that can be carried out on the DSL router via remote connection. If required, a service technician will provide on-site support subject to separate compensation.

 

In principle, all Fresenius programs/applications are executable from the home office. Since this service component runs — for security reasons — in a protected area of the central Data Center, activation in the firewall is necessary for special applications. Please specify in the IT request the applications you want to access from your home office. Standard applications, such as Lotus Notes, SAP or file server access, for example, are generally activated.

 

QUALITY PARAMETERS

 

	
Operating times:
    	
 
    	
24/7
    
	
 
    	
 
    	
 
    
	
Guaranteed service times:
    	
 
    	
Monday through Friday (except public holidays)

06:00 - 18:00 CET
    
	
 
    	
 
    	
 
    
	
Maintenance window in hours per week:
    	
 
    	
10
    
	
 
    	
 
    	
 
    
	
Availability in % per month*:
    	
 
    	
98*
    

 

* Based on a three month average

 

FUNCTIONALITIES

 

·                  Encryption algorithms “strong” (e.g. 3DES, AES)

·                  Central firewalling (application layer inspection)

·                  3 GB traffic volume

·                  Central internet access via FNC

·                  Redundant VPN access gateways

·                  Simultaneous access to company network for all clients

 

PROVISIONS BY FNC

 

·                  DSL router with W-LAN

·                  ISDN backup connection (optional)

 

DEPLOYMENT

 

·                  Pre-configuration of active components (e.g. router)

·                  Deployment of patches and new releases,  incl. required reconfiguration via remote connection 

 

73

 

OPERATIONS

 

·                  Implementation of current Fresenius security standards

·                  General systems administration and parametrization

·                  Life cycle management

·                  Certificate generation

·                  Certificate management

·                  Certificate revocation

·                  Infrastructure maintenance (hardware and software)

·                  Monitoring the security specifications for central IT services

·                  Performing (security) audits for central components

·                  Hardware maintenance for provided router with W-LAN

·                  Replacement of outdated infrastructure within the scope of life cycle management

·                  Monitoring the central infrastructure

·                  Software maintenance for provided router with W-LAN

 

INCIDENT MANAGEMENT & SUPPORT

 

·                  2nd and 3rd Level Support

 

OPTIONAL EXTENSIONS

 

·                  ISDN backup connection

·                  Plus package (ISDN + 2GB traffic volume)

·                  On-site installation

 

OUT OF SCOPE

 

·                  Internet fees of the user

·                  Telephone dial-in (analog/ISDN)

·                  GPRS / UMTS function / fees

·                  DSL connection

·                  Central monitoring of the active decentralized network components

 

74

 

Voice Telephone

 

Digital telephone connection with a wide range 
 of business functions

 

	
Contact   Person: Gerhard Rettenbacher | Availability: Rhine-Main Area
    	
 
    	
Material   No.: I000075
    

 

SERVICE COMPONENT DESCRIPTION

 

A reliable communication infrastructure lays the foundation for a large corporate group with many subsidiaries. With the service component “Voice Telephone” FNC offers the connection to the central Fresenius telephone system and provides you with a standard IP telephone. The IP telephones offer practical functions, such as: call forwarding, call rerouting, conference calls and many more. FNC assigns the telephone numbers, sets up the telephones for you and ensures smooth operation.

 

QUALITY PARAMETERS

 

	
Operating times:
    	
 
    	
24/7
    
	
 
    	
 
    	
 
    
	
Guaranteed service times:
    	
 
    	
Monday through Friday (except public holidays)

06:00 - 18:00 CET
    
	
 
    	
 
    	
 
    
	
Availability in % per month*:
    	
 
    	
99*
    

 

* Based on a three month average

 

FUNCTIONALITIES

 

·                  Forwarding is programable (possible provisions are: time frame, reachability, busy)

·                  Conference call with max. 8 participants

·                  Call pickup, call groups, pickup groups

·                  Re-routing among locations

·                  Manager / secretary station

·                  Free distribution of all extension numbers to end devices

 

PROVISIONS BY FNC

 

·                  Voice end device: standard IP telephone

·                  Pool of replacement end devices for replacing devices outside the manufacturer ́s maintenance

·                  Connecting to the central Fresenius telephone system

 

DEPLOYMENT

 

·                  On-site installation, configuration and integration of the telephone

·                  Setup of telephone connection

·                  Putting end device into service

·                  Installation of release patches and updates for end devices

·                  Disassembly and disposal of end devices, if applicable

 

OPERATIONS

 

·                  Designing the high availability concept

·                  Administration of telephone numbers

·                  Negotiations and management with telecommunication service providers (carrier management)

·                  General systems monitoring

·                  Maintenance of central components

 

INCIDENT MANAGEMENT & SUPPORT

 

·                  2nd and 3rd Level Support

 

75

 

OPTIONAL EXTENSIONS

 

·                  Interfaces with applications

·                  Automatic Call Distribution (ACD) — call distribution linear, cyclical or broadcast

·                  Hotline function: automatic connection dial-up to defined end devices

 

USER / CUSTOMER PARTICIPATION

 

·                  Sending IT request for a new telephone line to FNC

 

OUT OF SCOPE

 

·                  Fees for external telephone calls

·                  Voice mailbox for each subscriber

 

76

 

Voice Mailbox

 

Voice mailbox for existing landline connections

 

	
Contact   Person: Gerhard Rettenbacher | Availability: Rhine-Main Area
    	
 
    	
Material   No.: I000075
    

 

SERVICE COMPONENT DESCRIPTION

 

With the service component “Voice Mailbox” you receive a voice mailbox functionality for your existing telephone connection. Recorded calls are retrievable via a telephone message box. As an option, you can receive the recorded calls as a sound file via email.

 

QUALITY PARAMETERS

 

	
Operating times:
    	
 
    	
24/7
    
	
 
    	
 
    	
 
    
	
Guaranteed service times:
    	
 
    	
Monday through Friday (except public holidays)

06:00 - 18:00 CET
    
	
 
    	
 
    	
 
    
	
Availability in % per month*:
    	
 
    	
99*
    

 

* Based on a three month average

 

FUNCTIONALITIES

 

·                  Answering machine and voice mailbox

 

DEPLOYMENT

 

·                  Mailbox configuration by FNC

 

OPERATIONS

 

·                  General systems monitoring

·                  Availability monitoring

·                  Installation of releases, patches, updates for the voice mailbox system

 

INCIDENT MANAGEMENT & SUPPORT

 

·                  2nd and 3rd Level Support

 

OPTIONAL EXTENSIONS

 

·                  Voice-to-mail

 

USER / CUSTOMER PARTICIPATION

 

·                  IT request application

 

77

 

Fax Connection

 

Connection to the Fresenius fax infrastructure

 

	
Contact   Person: Gerhard Rettenbacher | Availability: Rhine-Main Area
    	
 
    	
Material   No.: I000075
    

 

SERVICE COMPONENT DESCRIPTION

 

With FNC’s service component “Fax Connection”, you receive a connection for your fax machine. The fax connection is provided and operated by FNC. Order the fax end device at the FNC IT procurement. Our on-site technicians will gladly help you to get started or aid in the analysis of errors.

 

QUALITY PARAMETERS

 

	
Operating times:
    	
 
    	
24/7
    
	
 
    	
 
    	
 
    
	
Guaranteed service times:
    	
 
    	
Monday through Friday (except public holidays)

06:00 - 18:00 CET
    
	
 
    	
 
    	
 
    
	
Availability in % per month*:
    	
 
    	
99*
    

 

* Based on a three month average

 

FUNCTIONALITIES

 

·                  Redirection of fax to other connections or locations can be established by the telephone switchboard

 

PROVISIONS BY FNC

 

·                  Connection for fax machines

 

DEPLOYMENT

 

·                  Installation of mailbox by FNC

 

OPERATIONS

 

·                  Implementation of current security standards

·                  General systems monitoring

 

INCIDENT MANAGEMENT & SUPPORT

 

·                  2nd and 3rd Level Support

 

OPTIONAL EXTENSIONS

 

·                  Upgrade and retooling of hardware components of end device

·                  Moving of single device

·                  Dismantling and - if need be - disposal of hardware

 

USER / CUSTOMER PARTICIPATION

 

·                  Request a new fax connection via FNC intranet

·                  Order end device through FNC IT

 

OUT OF SCOPE

 

·                  Fax machine (purchase via FNC IT procurement)

 

The following services are - as far as there is a service contract - provided by the supplier of the end device:

 

· Installation, configuration, integration hardware

· Initial operation

· Maintanence end devices

· Support end devices

 

78

 

Mobile Phones and Data Connections

 

Fresenius offers staff members standard mobile
  phones for commercial use

 

	
Contact   Person: Jürgen Schulz | Availability: Rhine-Main Area
    	
 
    	
Material   No.: -
    

 

SERVICE COMPONENT DESCRIPTION

 

A reliable communication infrastructure lays the foundation for a large corporate group with many subsidiaries. With the service component “Mobile Phones and Data Connections” FNC offers maximum flexibility and provides you with mobile phones (cell phones), smartphones, and hardware for data transmission from the range of services in the intranet. The mobile phones offer practical functions, such as: call forwarding, call rerouting, hands-free equipment, mailbox service and many more. FNC guarantees extensive service for standardized devices and ensures smooth operation.

 

QUALITY PARAMETERS

 

	
Guaranteed service times in hours per week:
    	
 
    	
Monday through Friday (except public holidays)

06:00 - 17:00 CET
    
	
 
    	
 
    	
 
    
	
Term of mobile phone contract:
    	
 
    	
24 months
    

 

PROVISIONS BY FNC

 

·                  Voice end devices (subsidized mobile phone / smartphone every 24 months)

·                  Subsidized data transmission hardware (e.g. UMTS stick, PDA) every 24 months

 

DEPLOYMENT

 

·                  Delivery of phone and contract data by postal mail

·                  Disposal of end devices

·                  Devices on loan

 

OPERATIONS

 

·                  Negotiations and management with telecommunication service providers (carrier management)

·                  De-activation of SIM cards

·                  Ordering replacement SIM cards

·                  SIM activation (PIN/PUK)

·                  Repair of defective end devices / accessories

·                  Contract data management

·                  Warranty processing

·                  On-Site stockkeeping of blank SIMs (for quick deployment of replacement cards)

·                  Stockkeeping of replacement / pool devices

 

INCIDENT MANAGEMENT & SUPPORT

 

·                  2nd and 3rd Level Support

 

79

 

OPTIONAL EXTENSIONS

 

·                  Hands-free equipment for motor vehicles

·                  Dual SIM card

·                  Data flat rate for internet usage

·                  Fixed data volume for internet usage

·                  International option

·                  Fixed quotas of call volume, group-internal

 

USER / CUSTOMER PARTICIPATION

 

·                  Sending BANF for new phone to FNC

·                  Adhering to approval workflow (FME intranet approval tool (only for BlackBerry))

·                  Requesting new mobile phone after 24 months (observing mobile phone guideline)

 

OUT OF SCOPE

 

·                  Standard support of non-enabled devices

 

REPORTING

 

·                  Call itemization (optional)

·                  Billing information by postal mail

·                  Reporting according to organizational unit, cost unit, etc. by request

 

80

 

Audio Conferencing

 

Initiating external conference calls

 

	
Contact   Person: Andreas Schaubert | Availability: worldwide
    	
 
    	
Material   No.: I000262
    

 

SERVICE COMPONENT DESCRIPTION

 

With the service component “Audio Conferencing” you can have conference calls worldwide with up to 60 participants. FNC provides the platform with telephone numbers and a conference management function. Should you have conference calls on a frequent or regular basis, you can request a permanent dial-in number. If necessary, an operator supports and monitors (optional) your conference call. FNC also supports — via an external service provider - audio conferences with up to 90 participants, as an option.

 

QUALITY PARAMETERS

 

	
Operating times:
    	
 
    	
24/7
    
	
 
    	
 
    	
 
    
	
Guaranteed service times:
    	
 
    	
Monday through Friday (except public holidays)

06:00 - 18:00 CET
    
	
 
    	
 
    	
 
    
	
Maintenance window in hours per week:
    	
 
    	
Depending on necessity, outside the service times
    
	
 
    	
 
    	
 
    
	
Availability in % per month: 
    	
 
    	
99*
    

 

* Based on a three month average

 

FUNCTIONALITIES

 

·                  Reserving the audio conference via email or Lotus Notes database (shall be set up at your location, by request, if needed regularly)

·                  Permanent setup of a dial-in number (by request)

·                  Conference management function for participants (among group of participants)

·                  Central dial-in number for audio conference

·                  Toll-free dial-in (USA)

 

PROVISIONS BY FNC

 

·                  Central audio conferencing server

 

OPERATIONS

 

·                  General systems administration (e.g. configuration of dial-in numbers)

·                  Availability monitoring of dial-in numbers

·                  Capacity and utilisation monitoring

 

INCIDENT MANAGEMENT & SUPPORT

 

·                  2nd and 3rd Level Support

 

OPTIONAL EXTENSIONS

 

·                  Monitoring the conference connection via operator

·                  Audio conference with more than 60 participants

 

USER / CUSTOMER PARTICIPATION

 

·                  Reserving the audio conference via e-mail or Lotus Notes database

·                  If needed, requesting the permanent setup of a dial-in number

 

OUT OF SCOPE

 

·                  Applicable telephone fees

 

81

 

Room Video Conferencing

 

Video conferencing for spoken and visual communication in 
 meeting rooms

 

	
Contact   Person: Andreas Schaubert | Availability: worldwide
    	
 
    	
Material   No.: I000262
    

 

SERVICE COMPONENT DESCRIPTION

 

With the service component “Room Video Conferencing” you can do video conferencing with internal and/or external colleagues and/or business partners in meeting rooms that are equipped with video conferencing systems. FNC will gladly support you in setting up a video conference room with regard to a video conferencing system, the equipment plan and a media control system for your location. As far as video conferencing is concerned, additional participants can dial-in and join the video communication via an audio link. If required, an operator monitors the connection.

 

QUALITY PARAMETERS

 

	
Operating times:
    	
 
    	
24/7
    
	
 
    	
 
    	
 
    
	
Guaranteed service times:
    	
 
    	
Monday through Friday (except public holidays)

06:00 - 18:00 CET
    

 

FUNCTIONALITIES

 

·                  Reserving the video conference via email or Lotus Notes database

·                  Worldwide video conferences possible via the global Fresenius network

·                  Encryption of the connection is possible when the end devices support the standard AES128 Media Encryption and DH1024 Key Exchange

·                  Camera control with zooming and focusing on the participants

·                  Video conferences with external companies

 

PROVISIONS BY FNC

 

·                  Central video conferencing server

 

OPERATIONS

 

·                  Availability monitoring of video conferencing server

·                  Capacity and utilisation monitoring

 

INCIDENT MANAGEMENT & SUPPORT

 

·                  2nd and 3rd Level Support

 

OPTIONAL EXTENSIONS

 

·                  Preparation of the video conference by FNC

·                  Monitoring the connection by an operator

·                  Setting up and checking the quality of the video connection

 

USER / CUSTOMER PARTICIPATION

 

·                  Requesting a new video conference via Lotus Notes database (blank form, time frame, booking information, cost unit, company) or per email

·                  Room has to be reserved / booked

 

OUT OF SCOPE

 

·                  Room for video conferences

·                  Video conferencing equipment

·                  Dial-in costs (e.g. ISDN)

 

82

 

Desktop Video Conferencing

 

Video conferencing for spoken and visual communication
  via your own computer

 

	
Contact   Person: Andreas Schaubert | Availability: worldwide
    	
 
    	
Material   No.: I000261
    

 

SERVICE COMPONENT DESCRIPTION

 

With the service component “Desktop Video Conferencing” by FNC you cannot only hear the persons you are talking to, but also see them. For this service you need a computer — connected to the Fresenius network - with a webcam and a headset. FNC provides you with the required conferencing software so that you can verbally and visually communicate with your business partners worldwide via video conferencing. In addition to a point-to-point connection between 2 conference participants, a video conference with several participants can be set up as an option.

 

QUALITY PARAMETERS

 

	
Operating times:
    	
 
    	
24/7
    
	
 
    	
 
    	
 
    
	
Guaranteed service times:
    	
 
    	
Monday through Friday (except public holidays)

06:00 - 18:00 CET
    
	
 
    	
 
    	
 
    
	
Maintenance window in hours per week:
    	
 
    	
10
    

 

FUNCTIONALITIES

 

·                  Setting up a point-to-point connection via the global Fresenius network with the aid of address books

·                  Encryption of the connection is possible when the end devices support the standard AES128 Media Encryption and DH1024 Key Exchange

 

PROVISIONS BY FNC

 

·                  Central videoconferencing server

·                  Client software with license

·                  Application documentation and quick tips

·                  Address book of all participants

 

DEPLOYMENT

 

·                  Client software is provided via an email link

 

OPERATIONS

 

·                  General systems administration (e.g. configuration of user data)

·                  Installation of application, release patches, hot fixes

·                  Availability monitoring of video conferencing server

·               Capacity and utilisation monitoring

 

INCIDENT MANAGEMENT & SUPPORT

 

·                  2nd and 3rd Level Support

 

83

 

OPTIONAL EXTENSIONS

 

·                  Multi-point connection via the global network or ISDN

·                  Reserving a multi-point conference via email or Notes database with FNC

·                  Central instruction and management of the conference

·                  Software / hardware configuration by FNC technicians

 

USER / CUSTOMER PARTICIPATION

 

·                  Hardware has to be procured by the customer (order requirements forwarded to FNC IT procurement)

·                  IT request with name and cost unit of the user via email to National Telecommunication

·                  Installation of the required Client software and hardware by the user; support by an FNC technician is possible subject to separate compensation

 

OUT OF SCOPE

 

·                  Required user hardware: e.g. webcam, headset with microphone (newer notebooks may already have an integrated webcam and microphone)

·                  Applicable fees for ISDN connections

 

84

 

Output Management Internal

 

Receiving large printing tasks for central 
 processing and distribution

 

	
Contact   Person: Christian Scheerer | Availability: Rhine-Main Area
    	
 
    	
Material   No.: I000049
    

 

SERVICE COMPONENT DESCRIPTION

 

With the service component “Output Management Internal” you can print large internal printing tasks via a central system (e.g. SAP). The service component includes the subsequent collective distribution of the printed products to the output recipient via interoffice mail (Rhine-Main area).

 

QUALITY PARAMETERS

 

	
Operating times:
    	
 
    	
5x7
    
	
 
    	
 
    	
 
    
	
Guaranteed service times:
    	
 
    	
Monday through Friday (except public holidays)

06:00 - 18:00 CET
    

 

PROVISIONS BY FNC

 

·                  Black/white laser printer

·                  Expendable items (toner and paper)

 

OPERATIONS

 

·                  Production planning andscheduling

·                  Post-processing (separating, tearing, ...)

·                  Mailing via interoffice mail (Rhine-Main area)

·                  Printer monitoring

·                  Output production monitoring

 

INCIDENT MANAGEMENT & SUPPORT

 

·                  2nd and 3rd Level Support

 

OPTIONAL EXTENSIONS

 

·                  Expendable items (pre-printed paper)

 

USER / CUSTOMER PARTICIPATION

 

·                  SAP has to be configured for mass printing

·                  Template for the printing paper has to be defined

·                  Recipient for output needs to be specified

·                  Coordinating the time schedule and/or delivery date

 

OUT OF SCOPE

 

·                  Transporting executed printing orders outside the Rhine-Main area

·                  Mail sorting

·                  Enveloping

·                  Franking

 

85

 

Output Management External

 

Organizing printing tasks worldwide via an 
 external service provider

 

	
Contact   Person: Werner Wagner | Availability: worldwide
    	
 
    	
Material   No.: I000047
    

 

SERVICE COMPONENT DESCRIPTION

 

With the service component “Output Management External” you can have your invoices, that are generated in SAP every day, sent to your customers worldwide via an external service provider. The external service provider prints the invoices and envelopes them in a postage- and cost-optimized manner. In this way, you save on mailing expenses and a quick and smooth process is ensured.

 

QUALITY PARAMETERS

 

	
Operating times:
    	
 
    	
5x7
    
	
 
    	
 
    	
 
    
	
Guaranteed service times:
    	
 
    	
Monday through Friday (except public holidays)

06:00 - 18:00 CET
    

 

OPERATIONS

 

·                  Production planning and scheduling

·                  Post-processing (separating, tearing, ...)

·                  Mail sorting, enveloping, franking

·                  Mailing worldwide  (for international mailing separate postal charges apply)

·                  Consolidating mailings (mailings are pre-sorted)

·                  Printer monitoring

·                  Output production monitoring

·                  Issuing output status reports

 

INCIDENT MANAGEMENT & SUPPORT

 

·                  2nd and 3rd Level Support

 

OPTIONAL EXTENSIONS

 

·                  Expendable items (paper and pre-printed paper)

 

USER / CUSTOMER PARTICIPATION

 

·                  SAP has to be configured for mass printing

·                  Template for the printing paper has to be defined

·                  Coordinating the time schedule and/or delivery date

 

86

 

One-time License Fee

SAP ERP 6.0 and SAP Maintenance

 

	
Contact   Person: Service Desk | Availability: worldwide
    	
 
    

 

SERVICE COMPONENT DESCRIPTION

 

(Material groups: 96111129, 96111130)

 

One-time license fee for the usage of standard SAP systems including archiving, user and SAP GUI creation on your PC. Software maintenance of software providers (SAP).

 

SAP MAINTENANCE FEE:

 

mySAP Business Suite:

 

	
Material No.
    	
 
    	
Description
    	
 
    	
For named user and year
    
	
I000115
    	
 
    	
SAP   Maintenance Professional User
    	
 
    	
€
    	
 345,96
    

 

87

 

CHARGING

 

Licenses:

 

Based on period comparisons (actual number of users vs. licenses purchased) in coordination with the respective customers.

 

SAP Maintenance:

 

Monthly charging based on registered users.

 

Remark

 

In case of Professional and Limited Professional Users, IXOS is included.

 

Travel expenses for the set-up of SAP GUIs outside the area of Friedberg - Bad Homburg - Darmstadt will be charged to the customer.

 

Other license types are provided on request.

 

88

 

SAP Usage

 

	
Contact   Person: Service Desk | Availability: worldwide
    	
 
    	
Material   No.: I000159
    

 

SERVICE COMPONENT DESCRIPTION

 

(Material Group: 96111112)

 

The following services are covered by this annex:

 

·                  Ensuring system availability (e.g. 98%)

·                  Hardware for development, test and production incl. disks, archive, exchange of components, etc.

·                  Backup and external storage of backup

·                  Archiving Data

·                  Technical release changes and hot packages

·                  SAP GUI - Management

·                  Support of SAP ERP 6.0 printing

·                  Monitoring of System

·                  Reorganization of Data

·                  Improvement of response time

·                  Planning of further Hardware requirements

·                  Provision of Hardware and Software

·                  Housing Costs — Power, Floor space, Air Cond.

·                  Maintenance of data center Hardware / Software

 

QUALITY PARAMETERS

 

	
Technical Hotline:
    	
 
    	
Monday through Friday (except public holidays)

08:00-18:00 CET
    
	
 
    	
 
    	
 
    
	
Availability in % per month:
    	
 
    	
98*
    

 

*based on a three month average

 

OPERATIONS

 

The following price conditions are applied for the SAP Usage average:

 

·                  Usage in hours by average rate € 28,94

 

89

 

SAP Support

 

Contact Person: Service Desk

 

SERVICE COMPONENT DESCRIPTION

 

(Materialgruppe: 96111136)

 

Fresenius’ business operations are primarily supported by SAP. In order to give you the best possible support with questions revolving around SAP, FNC runs an extensive SAP support organization.

 

For the support of the SAP users FNC provides a certain capacity per user including the following services:

 

·                  Hotline / Maintenance

·                  Petty Requests (< 2h)

·                  Customer advice

·                  Test of release-changes/hot-packages

·                  Release-changes

·                  Hot-packages

·                  Check of new or changed programs

·                  Transports in productive systems

·                                Quality and performance improvement

·                                Monitoring productive systems

·                                Tuning activities (SAP-programs and -jobs)

·                                Quality Management as basis for progressive validation of GxP relevant processes

·                                Support for the validation of GxP relevant processes

 

90

 

SAP Project capacity for
  application development

 

	
Contact   Person: Service Desk
    	
 
    	
Material   No.: I000004
    

 

SERVICE COMPONENT DESCRIPTION

 

(Material Group: 96111114)

 

Fresenius Netcare will take over the complete handling of a project. It will provide a limited contingent for the use of externals. Therefore, a certain capacity are planned within the SLA.

 

From overall concept to draft for programming

 

·                  Project definition for further functional improvements

·                  User support in determining the benefits resulting from a project and assistance with the approval procedure

·                  Checking of effects upon the data processing centre and the network

·                  Hardware requirements

·                  Software requirements

·                  Demands on the network

·                  Checking of standard software

·                  If applicable, selection of development tools

 

Realisation

 

·                  Co-ordination with customer

·                  Programming

·                  Design and realisation of a training concept

·                  Offer for support

 

Work place costs for application developers

 

·                  Terminal devices (PC, Printer, etc.)

·                  Processor resources

·                  Network resources

·                  Consumptive material

·                  Rentals

·                  Office equipment

·                  Travel expenses between the Fresenius locations in Rhein Main Area (Germany)

·                  All other travel expenses will be charged out additionally

·                  Market observation

·                  Education

 

Administration / co-ordination of externals

 

·                  Checking the necessity of the assignment

·                  Selection of the appropriate partner

·                  Negotiations, incl. contract

·                  Assignment planning and co-ordination

·                  Approval of dp-technical features

·                  Factual checking of the invoices

·                  Instruction to effect payment

 

91

 

CONDITIONS

 

The following price conditions are applied :

 

Price

 

·                  € 980.00 per person day (8 h) resp. € 122.50 per hour

 

Charging

 

·                  Order of customer based on an offer made by Fresenius Netcare

·                  Offers and charging are made using one of three methods:

 

Fixed price

 

·             Realisation of defined requirements at an agreed price and date

 

Upper price limit

 

·             Agreement of an upper price limit which may not be exceeded

·             Charging according to services rendered on the basis of man days

 

According to expenditures

 

·             Charging according to services rendered on the basis of man days

 

·                  Foreseeable exceeding of offer in case of fixed price or upper price limit, for example due to additional requirements:

 

·  Information to customer, giving reasons

·  After approval by the customer the realisation will be effected

 

Remarks

 

If the capacity is not exploited, the customer is NOT charged at this time, although the capacity was be kept ready. Should the estimated expenditure in the offer be exceeded, the customer will be informed and reasons will be given before the costs are incurred. Only after written approval by the customer will the cost be effected. Since agreed projects have priority, additional requirements will have an effect upon the period of realisation. Rights on software: The customer shall receive simple, non exclusive use rights of the software developed within a project. The assignment of external services/consultants is co-ordinated between the customer and Fresenius Netcare. Fresenius Netcare co-ordinates the assignment and checks the factual correctness of the invoices.

 

92

 

Electronic Data Interchange

 

	
Contact   Person: Service Desk
    	
 
    	
Material   No.: I000083
    

 

SERVICE COMPONENT DESCRIPTION

 

(Materialgruppe: 96111123, Material I000083)

 

Processing of IDocs e.g. for:

 

·                  electronically sent orders, invoices, deliveries, price conditions, goods movements as well as

·                  electronically received orders, invoices, and master data (e.g. customers, materials, ...).

 

OPERATION

 

·                  Monitoring and optimising of all components

·                  Monitoring of processing of messages.

·                  Clarification of problems with all parties involved, suppliers, customers, clearing house, external network partners

·                  Minor developments

 

CONDITIONS

 

The following price conditions are applied:

 

Price

 

·                  € 0,28 per IDoc position

 

Charging

 

Monthly according to number of IDoc positions / invoices

 

93

 

IT Training

 

Contact Person: Service Desk

 

SERVICE COMPONENT DESCRIPTION

 

(Materialgruppe: 96111117, 96111135)

 

The training unit co-ordinates all training sessions offered by FNC.

 

Training sessions offered

 

·                  See training catalogue

 

Administration

 

·                  Generation of a training offer

·                  Planning of the training sessions, incl. registration and room planning

·                  Obtaining and checking of external trainers

·                  Co-ordination of external trainers

 

Resources

 

·                  Training by own and external trainers

 

Costs assumed

 

·                  Room costs, incl. additional expenses

·                  Equipment, PCs, printers, servers

·                  Processor resources for SAP R/3

·                  Training material

·                  External trainers

 

Trainings with external training agencies (special agreements possible)

 

CONDITIONS

 

The following price conditions are applied:

 

	
I000060
    	
 
    	
Training   MS Access
    	
 
    	
€
    	
560
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
I000063
    	
 
    	
Single   training
    	
 
    	
€
    	
810
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
I000064
    	
 
    	
Training   for departments - 1 day
    	
 
    	
€
    	
990
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
I000062
    	
 
    	
Training   room rental 2
    	
 
    	
€
    	
320
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
I000068
    	
 
    	
Training   room rental 3
    	
 
    	
€
    	
370
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
I000058
    	
 
    	
Workshop   1
    	
 
    	
€
    	
560
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
I000059
    	
 
    	
Workshop   2
    	
 
    	
€
    	
520
    

 

Charging

 

Charging after attendance of training to the cost centre stated on the registration form.

 

94

 

SAP Travel Management

 

Carry out all economic processes of travelling

 

Contact Person: Goesta Kühn | Availability: Germany

 

SERVICE COMPONENT DESCRIPTION

 

The service component SAP Travel Management allows you to carry out all economic processes of travelling from travel authorization request and travel expense report to securely and efficiently handing over travel expenses to other functional areas of the company. Travel management accompanies all settlement processes of travel with holistic functionality and integrates them into the circle of accounting and payment. This comprises travel authorization request as well as accounting of travel costs according to the company guideline U4. Travel authorization requests and travel expense reports will be entered exclusively via the respective company portal. Further information can be found in the SAP Portal SLA.

 

QUALITY PARAMETERS

 

	
Betriebszeiten:
    	
 
    	
24/7
    
	
 
    	
 
    	
 
    
	
Garantierte Servicezeiten:
    	
 
    	
Montag bis Donnerstag (außer   an Feiertagen)

09:00 - 17:00 Uhr
    
	
 
    	
 
    	
 
    
	
Wartungsfenster in Stunden:
    	
 
    	
LCP Einspielung 4x im Jahr

EHP Einspielung 1x im Jahr

Systemanpassung bei   gesetzlichen Änderungen
    
	
 
    	
 
    	
 
    
	
Verfügbarkeit in % pro Monat:
    	
 
    	
98*
    

 

* Bezogen auf einen Dreimonatsduchschnitt

 

FUNCTIONALITIES

 

·                  Workflow-based approval of travel authorization request

·                  Workflow-based approval of travel expense reports

·                  Workflow-based approval of monthly travel expense reports

·                  Email notification

·                  Workflow-based approval of permanent travel authorization requests

·                  Replacement regulations

·                  Email forwarding

 

PROVISIONS BY FNC

 

·                  Operation travel management in P13

·                  P13 hosting in data center Bad Homburg

·                  Backup systems

·                  Archiving systems

·                  Interface to FI / CO

·                  Travel management module

 

DEPLOYMENT

 

·                  User creation via SAP user administration for travel management (User authorizations must be requested via SAP data responsible according to the respective organization and process.)

·                  Deletion or blocking of users in P13

 

95

 

OPERATIONS

 

·                  Conception of standard system configurations according to the company guideline (U4) (customizing not included)

·                  Realize current security standards

·                  Client connection (access via SAP portal, make Dynpros for portal usage available)

·                  Backup concept

·                  Archiving concept (by means of P13)

·                  Job preparation and planning (e.g. booking, charging)

·                  Interfaces FI/CO

·                  User concept

·                  Module maintenance

·                  General system administration and parameterization

·                  System administration and parameterization of low-level software

·                  Maintenance of system environment

·                  Renew integration environment every four weeks

·                  Printer administration

·                  Administration of interfaces to FI/CO

·                  Error correction of approval workflow (according to effort if not based on system error)

·                  General system monitoring

·                  Supervision, availability

·                  Capacity, load and performance monitoring

 

INCIDENT MANAGEMENT & SUPPORT

 

·                  Support of travel management is charged according to effort

·                  The HR hotline is the contact for travel management

 

OPTIONAL EXTENSIONS

 

·                  Setting up functions: „divisional secretary”, „board approval process”

 

USER / CUSTOMER PARTICIPATION

 

·                  Request a user incl. function via data responsible in charge

·                  Verification of master data within organization management by responsibles to be named by businesses

·                  Acceptance of ordered system modifications

 

OUT OF SCOPE

 

·                  Smartphone connection

·                  SAP P13 user

·                  SAP portal user needs to be requested separately

·                  Training

·                  Consultancy for new implementations or special solutions

·                  Data management (corrections and error removal, master data maintenance, ...)

 

96

 

Online Learning Center

 

	
Contact   Person: Service Desk
    	
 
    	
Material   No.: I000258
    

 

SERVICE COMPONENT DESCRIPTION

 

FNC offers a learning platform (Online Learning Center), with which online training courses can be managed and executed via internet. In order to implement the personal design of platform, course catalogue, and news section, separate domains can be created.

 

Using the learning platform

 

·                  Presence training can be booked by every user. The booking of online courses requires a paid for account

 

Creating a new domain

 

·                  Creating an individual web address (sub-domain)

·                  Creating roles for key users

·                  Individualization of ‘Look & Feel’ in accordance with corporate design

 

User support

 

·                  Processing registrations, passwords, contact queries, and help requests

·                  Training (and supporting) key users in their functional role

 

Administrative services

 

·                  Registering new users

·                  Creating new roles

·                  Creating new categories and courses

 

Technological services

 

·                  Continuous updating and customization of software applications

·                  Maintaining the servers infrastructure (backup plan, security patches, etc.)

 

Course-hosting and development services

 

·                  Creating online-courses (software simulations, tutorials, etc.)

·                  Imbedding externally acquired online-courses

 

Incoming costs

 

·                  Server

·                  Software licenses

 

CONDITIONS

 

Using the learning platform for online-training (unlike for booked presence schooling) requires a paid for user account, either on an annual basis (€ 55 per user) or based on a total of 5000 course-logins per quarter.

 

97

 

Price

 

Using the platform (selection of invoicing model)

 

a)             on an annual basis € 44 per user

b)             on login basis (5000 logins valid for 3 or 6 months) € 5.200 or €10.400

 

Creating a new domain

 

	
Creating a new domain (including web address and   key user roles)
    	
 
    	
€
    	
4500
    	
 
    
	
 
    	
 
    	
 
    	
 
    
	
Customizing ‘Look & Feel’ in accordance   with corporate design
    	
 
    	
invoice at cost
    	
 
    

 

User support

 

	
Processing registrations, passwords, contact   queries, and help requests
    	
 
    	
€
    	
960
    	
 
    
	
 
    	
 
    	
 
    	
 
    
	
Customizing ‘Look & Feel’ in accordance   with corporate design
    	
 
    	
invoice at cost
    	
 
    

 

Verwaltungsservices

 

	
Registering new users (according to list)
    	
 
    	
€
    	
200
    	
 
    
	
 
    	
 
    	
 
    	
 
    
	
Creatin new roles
    	
 
    	
€
    	
200
    	
 
    
	
 
    	
 
    	
 
    	
 
    
	
Creating new course (including categories)
    	
 
    	
€
    	
200
    	
 
    

 

Technologische Dienstleistungen

 

	
Continuous updating and customization of software   applications (entailed in 2.1.1.)
    	
 
    	
(incl.   in 2.1.1)
    
	
 
    	
 
    	
 
    
	
Imbedding externally acquired online-courses
    	
 
    	
(incl.   in 2.1.1)
    

 

Kurs-Hosting und Entwicklungsservices

 

	
Creating online-courses (software simulations,   tutorials, etc.)
    	
 
    	
special   agreement
    
	
 
    	
 
    	
 
    
	
Imbedding externally acquired online-courses
    	
 
    	
(incl.   in 2.1.1)
    

 

Charging

 

Using the platform is charged based on chosen invoicing model

 

a)                           On annual basis invoiced once a year

b)                           On login basis invoiced after expiration of agreed runtime (3 or 6 months)

 

All other services are invoiced after agreement.

 

98

 

 

Fresenius Netcare GmbH

Else-Kröner Straße 1

61352Bad Homburg v.d.H.

 

T: +49 6172 608 - 0

E: service@fresenius-netcare.com

I: www.fresenius-netcare.com

 

Content Responsibility

 

Hermann Luckhardt

Director IT Service Management

 

T: +49 6172 608 - 2654

F: +49 6172 608 39 - 2654

E: hermann.luckhardt@fresenius-netcare.com

 

 

 

PRICE LIST 2013

 

Summary of Standard Services, Prices and Charging Conditions

 

This summary covers standard services only.

Individual services / conditions as per separate agreements.

For more details see our descriptions

 

Version 1.4

 

 

	
Service components new
    	
 
    	
Material Number
    	
 
    	
Prices
    	
 
    	
Charging conditions
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Network and Telecommunication Services
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
LAN
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Basic   IT Operation Package
    	
 
    	
I000284
    	
 
    	
58,00 €
    	
 
    	
network   printer per month
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Infrastructure   services 
   Maintenance R/3 printer
    	
 
    	
I000019
    	
 
    	
48.30€

115.50€
    	
 
    	
month   C-Itoh 5000 

month   C-Itoh 1000
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
WAN
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Fresenius   global network
    	
 
    	
I000238
    	
 
    	
 
    	
 
    	
Actual   line and hardware costs; individual prices
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Internet & Intranet
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Internet   Access Base
    	
 
    	
I000048
    	
 
    	
4,00 €
    	
 
    	
Actual   number of Internet user by month base fee incl. 20 MB traffic
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Internet   Access Volume
    	
 
    	
I000081
    	
 
    	
0,14 €

27,75 €
    	
 
    	
for   each MB above 20 MB Maximum user / month
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
VPN
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
VPN   Connect full access
    	
 
    	
I000171
    	
 
    	
23,75 €
    	
 
    	
per   device and month plus volume
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
VPN   WEB connect
    	
 
    	
I000227
    	
 
    	
21,00 €
    	
 
    	
per   user / month
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
VPN   Connect Basic Application
    	
 
    	
I000228
    	
 
    	
14,00 €
    	
 
    	
per   user / month
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
VPN   including router
    	
 
    	
I000230
    	
 
    	
120,00 €
    	
 
    	
per   device and month plus volume
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
RAS   Dial in / Dial in Equant 
   Only for ongoing bookings / no new orders
    	
 
    	
I000055
    	
 
    	
30,00 €
    	
 
    	
per   user / month
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Homeoffice   Basic
    	
 
    	
I000202
    	
 
    	
67,00 €
    	
 
    	
per   user / month
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Homeoffice   Comfort
    	
 
    	
I000213
    	
 
    	
90,00 €
    	
 
    	
per   user / month
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
VOICE & FAX
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Voice   Telephone / fax
    	
 
    	
I000075
    	
 
    	
21,50 €
    	
 
    	
Actual   device by month
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Paging   system freeset
    	
 
    	
I000079
    	
 
    	
35,00 €
    	
 
    	
Actual   device by month
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Telephone   cost
    	
 
    	
I000080
    	
 
    	
0,013 €
    	
 
    	
per   unit
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Mobile   rent 
   Mobile Phone
    	
 
    	
I000xxx
    	
 
    	
3,00 €
    	
 
    	
per   week plus units
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Conferencing Services
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Desktop   Video Conferencing
    	
 
    	
I000261
    	
 
    	
19,70 €

100,00 €
    	
 
    	
per   month one time
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Audio   / Room Conferencing
    	
 
    	
I000262
    	
 
    	
 
    	
 
    	
Up   to System, in/out, Video/Audio
    

 

101

 

	
Service components new
    	
 
    	
Material Number
    	
 
    	
Prices
    	
 
    	
Charging conditions
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Hosting Services
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Output
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Output   management internal
    	
 
    	
I000049
    	
 
    	
0,067 €
    	
 
    	
per   page
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Output   management external
    	
 
    	
I000047
    	
 
    	
0,65 € — 1,58 €
    	
 
    	
per   invoice
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Output   management external
    	
 
    	
I000071
    	
 
    	
0,65 € — 1,58 €
    	
 
    	
per   invoice
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Output   management external
    	
 
    	
I000072
    	
 
    	
0,69 € — 1,58 €
    	
 
    	
per   invoice
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Application Management
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
SAP
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
SAP USAGE
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
SAP   usage average
    	
 
    	
I000159
    	
 
    	
28,94 €
    	
 
    	
Real   usage by average rate per h
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
SAP SUPPORT
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
SAP   support professional user
    	
 
    	
I000114
    	
 
    	
2.452,00 €
    	
 
    	
Actual   number of users per year
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
SAP   support limited professional user
    	
 
    	
I000052
    	
 
    	
934,00 €
    	
 
    	
Actual   numbers of users per year
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
SAP   support Travel Management ESS
    	
 
    	
I000201
    	
 
    	
1,00 €
    	
 
    	
Number   of travels
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
SAP   supports EBP user support
    	
 
    	
I000175
    	
 
    	
61,00 €
    	
 
    	
Actual   numbers of users per year, additional
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
SAP LICENSES
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
SAP   licenses professional user
    	
 
    	
I000021
    	
 
    	
1.580,00 €
    	
 
    	
New,   additional users one-time
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
SAP   licenses limited professional user
    	
 
    	
I000021
    	
 
    	
900,00 €
    	
 
    	
New,   additional users one-time
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
SAP   licenses employee user
    	
 
    	
I000021
    	
 
    	
102,50 €
    	
 
    	
New,   additional users one-time
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
BW   reporting only user
    	
 
    	
I000021
    	
 
    	
58,00 €
    	
 
    	
New,   additional users one-time
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
ESS   user
    	
 
    	
I000021
    	
 
    	
44,50 €
    	
 
    	
New,   additional users one-time
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Engines (additional functions) due to special   metrics on request
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
SAP MAINTENANCE FOR LICENSES
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
SAP   professional standard user
    	
 
    	
I000115
    	
 
    	
345,96 €
    	
 
    	
per   named user and year
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
SAP   limited professional user
    	
 
    	
I000192
    	
 
    	
197,04 €
    	
 
    	
per   named user and year
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
SAP   employee user
    	
 
    	
I000198
    	
 
    	
22,44 €
    	
 
    	
per   named user and year
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
BW   reporting only user
    	
 
    	
I000221
    	
 
    	
12,72 €
    	
 
    	
per   named user and year
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
ESS   user
    	
 
    	
I000193
    	
 
    	
9,72 €
    	
 
    	
per   named user and year
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Maintenance for engines based on   license volume
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
EDI   orders
    	
 
    	
I000083
    	
 
    	
0,28 €
    	
 
    	
per   order position / delivery item / outgoing invoice item
    

 

102

 

	
Service components new
    	
 
    	
Material Number
    	
 
    	
Prices
    	
 
    	
Charging conditions
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Non SAP Appications
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Online   learning center
    	
 
    	
I000258
    	
 
    	
 
    	
 
    	
lump   sum based on separate agreement
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
End User Service
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Client   Backup
    	
 
    	
I000222
    	
 
    	
11,80 €
    	
 
    	
per   device and month
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Terminalserver
    	
 
    	
I000252
    	
 
    	
19,50 €
    	
 
    	
per   user and month
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Harddrive   protection Software-Engineering
    	
 
    	
I000269
    	
 
    	
4,85 €
    	
 
    	
per   device and month
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Basic   IT Operation Package
    	
 
    	
I000045
    	
 
    	
85,00 €
    	
 
    	
per   month
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Clients
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
First   Installation Service
    	
 
    	
I000203
    	
 
    	
84,00 €
    	
 
    	
Charging   according to separate orders by h for PC service
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
IT   Equipment Moving Service
    	
 
    	
I000204
    	
 
    	
84,00 €
    	
 
    	
Charging   according to separate orders by h for PC service
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Onsite   Support
    	
 
    	
I000205
    	
 
    	
84,00 €
    	
 
    	
Charging   according to separate orders by h for PC service
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Onsite   Support Borkenberg
    	
 
    	
I000217
    	
 
    	
84,00 €
    	
 
    	
Charging   according to separate orders by h for PC service
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Onsite   Support Friedberg
    	
 
    	
I000208
    	
 
    	
84,00 €
    	
 
    	
Charging   according to separate orders by h for PC service
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Computer   Pick-up Service
    	
 
    	
I000211
    	
 
    	
84,00 €
    	
 
    	
Charging   according to separate orders by h for PC service
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Onsite   Support VIP
    	
 
    	
I000206
    	
 
    	
105,00 €
    	
 
    	
Charging   according to separate orders by h
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Board   Disposition
    	
 
    	
I000207
    	
 
    	
105,00 €
    	
 
    	
Charging   according to separate orders by h
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
IS   Purchasing
    	
 
    	
I000084
    	
 
    	
23,63 €
    	
 
    	
per   order position
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
IS   Purchasing SRM Bundles
    	
 
    	
I000285
    	
 
    	
50,00 €
    	
 
    	
per   order
    

 

103

 

	
Service components new
    	
 
    	
Material Number
    	
 
    	
Prices
    	
 
    	
Charging conditions
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
Service Desk
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Messaging
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
E-Mail   facility connection plus
    	
 
    	
I000051
    	
 
    	
9,50 €
    	
 
    	
Actual   numbers of users by month
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Email   facility connection standard
    	
 
    	
I000036
    	
 
    	
7,53 €
    	
 
    	
Actual   number of users by month
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Lotus   Notes license
    	
 
    	
I000054
    	
 
    	
47,25 €
    	
 
    	
New   users: one time fee
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Email   Web Solution
    	
 
    	
I000173
    	
 
    	
2,50 €
    	
 
    	
Actual   number of users by month
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Email   Web Solution extended
    	
 
    	
I000305
    	
 
    	
3,50 €
    	
 
    	
Actual   number of users by month
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Mailbox   Volume extension
    	
 
    	
I000087
    	
 
    	
3,88 €
    	
 
    	
per   month and user for each 50 MB mail box exceeding the free part of 300 MB.
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Additional   disk space on central server
    	
 
    	
I000277
    	
 
    	
0,14 €
    	
 
    	
per   month for each allocated 10 MB increment per user.
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Mobile   Email for Blackberrys
    	
 
    	
I000172
    	
 
    	
13,75 €
    	
 
    	
Actual   number of devices by month
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
E-Fax
    	
 
    	
I000033
    	
 
    	
4,00 €
    	
 
    	
Actual   number of devices by month
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Training
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Training   MS Access
    	
 
    	
I000060
    	
 
    	
560,00 €
    	
 
    	
Price   according to pricing list cost per unit / person
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Single   training
    	
 
    	
I000063
    	
 
    	
810,00 €
    	
 
    	
Price   according to pricing list cost per unit / person
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Training   for departments — 1 day
    	
 
    	
I000064
    	
 
    	
990,00 €
    	
 
    	
Price   according to pricing list cost per unit / person
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Training   room rental 2
    	
 
    	
I000062
    	
 
    	
320,00 €
    	
 
    	
Price   according to pricing list cost per unit / person
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Training   room rental 3
    	
 
    	
I000068
    	
 
    	
370,00 €
    	
 
    	
Price   according to pricing list cost per unit / person
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Workshop   1
    	
 
    	
I000058
    	
 
    	
560,00 €
    	
 
    	
Price   according to pricing list cost per unit / person
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Workshop   2
    	
 
    	
I000059
    	
 
    	
520,00 €
    	
 
    	
Price   according to pricing list cost per unit / person
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Workshop   3
    	
 
    	
I000069
    	
 
    	
540,00 €
    	
 
    	
Price   according to pricing list cost per unit / person
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Workshop   4
    	
 
    	
I000070
    	
 
    	
300,00 €
    	
 
    	
Price   according to pricing list cost per unit / person
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Training   cancel. fee 100%
    	
 
    	
I000073
    	
 
    	
 
    	
 
    	
Up   to the training ordered
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Training   cancel. fee 75%
    	
 
    	
I000074
    	
 
    	
 
    	
 
    	
Up   to the training ordered
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Project
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Projects
    	
 
    	
I000004
    	
 
    	
980,00 €

122,50 €
    	
 
    	
Charging   according to separate orders. Rate is per day / per hour for internal   personnel.
    

 

104

 

SIGNATURES

 

	
Bad Homburg, 4.6.13
    	
 
    	
Bad   Homburg, 08.05.2013
    
	
 
    	
 
    	
 
    
	
Fresenius   Medical Care AG & Co. KGaA represented by its General Partner 
   Fresenius Medical Care Management AG, represented by
    	
 
    	
Fresenius   Netcare GmbH represented by
    
	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    
	
By:
    	
/s/   Thomas Dimt
    	
 
    	
By:
    	
/s/   Jurgen Kunze
    
	
 
    	
Thomas   Dimt
    	
 
    	
 
    	
Jürgen Kunze
    
	
 
    	
Executive   Vice President
    	
 
    	
 
    	
Vice Chairman
    
	
 
    	
Commercial   Services EMEALA
    	
 
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    
	
By:
    	
/s/   Klaus Grimm
    	
 
    	
By:
    	
/s/   Ralf Ehrenborg
    
	
 
    	
Klaus   Grimm
    	
 
    	
 
    	
Ralf   Ehrenborg
    
	
 
    	
Vice President IT Coordination EMEALA
    	
 
    	
 
    	
Senior   Vice President
    

 

105

 

	

    	
 

    

 

Service Agreement SAP

to the General Agreement 2013

 

between

 

Fresenius Medical Care AG & Co. KGaA

Else-Kröner-Straße 1

D-61352 Bad Homburg

(„FME”)

 

and

 

Fresenius Netcare GmbH

Else-Kröner-Straße 1

D-61352 Bad Homburg

(„NETCARE”)

 

	
Status
    	
:
    	
22.01.2013
    
	
Last printed
    	
:
    	
1/22/2013 6:09:00 PM
    
	
Version
    	
:
    	
1.0
    

 

1

 

Version

 

This Section ensures tracking of changes and thereby enhances the quality of the document. Each change has to be documented up to the final version. The next subversion will start from beginning.

 

New releases as a result of major reviews of the Service model will cause a higher number before the dot. Therefore all Service descriptions have the same release number at a certain time, starting with 1.x after initial release.

 

Updated versions as a result of general maintenance work will cause a higher number behind the dot, starting with .01, continuing with .02, .03 and so on.

 

This document may be updated regularly by the Service Management Units of the Parties. Changes to this document require the approval of the Steering Committee.

 

	
Vers.
    	
 
    	
Change
    	
 
    	
Section
    	
 
    	
Created by
    / When
    	
 
    	
Reviewed by
    / When
    	
 
    	
Approved by /
   When
    
	
1.0
    	
 
    	
Creation of the   document
    	
 
    	
all
    	
 
    	
FNC-ITSM / 04.10.2012
    	
 
    	
FME-ITC / 11.10.2012
    	
 
    	
Steering Committee /   26.10.2012
    

 

Index

 

	
1.
    	
Preamble
    	
4
    
	
 
    	
 
    	
 
    
	
2.
    	
NETCARE’s   Responsibilities and Services
    	
4
    
	
 
    	
 
    	
 
    
	
 
    	
2.1
    	
Operating Services
    	
5
    
	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
2.1.1
    	
SAP Base   Administration & Support
    	
5
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
2.1.2
    	
Data center
    	
7
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
2.1.3
    	
Network within the DC   EK1 and D20
    	
7
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
2.1.4
    	
Hardware
    	
8
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
2.1.5
    	
Software License
    	
8
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
2.1.6
    	
Disk Space
    	
8
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
2.1.7
    	
Backup
    	
8
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
2.1.8
    	
Printing
    	
8
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
2.1.9
    	
Component BC
    	
9
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
2.1.10
    	
Monitoring
    	
10
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
2.1.11
    	
Storage Systems/Data   storage
    	
10
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
2.1.12
    	
Archiving of Records
    	
10
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
2.1.13
    	
Maintenance Contracts
    	
10
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
2.1.14
    	
Availability
    	
10
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
2.1.15
    	
Response Time
    	
11
    

 

2

 

	
 
    	
 
    	
2.1.16
    	
Operating Times and   Contractual Service Times
    	
11
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
2.1.17
    	
Responsibility for the   Data / Permissions
    	
11
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
2.2
    	
SAP Application   Services
    	
12
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
2.2.1
    	
Application monitoring
    	
14
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
2.2.2
    	
SAP Application   Transport
    	
14
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
2.2.3
    	
User Administration
    	
15
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
2.2.4
    	
Batch Job Processing
    	
15
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
2.2.5
    	
Application Maintenance   and Update
    	
16
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
2.2.6
    	
GxP and SOX compliance
    	
16
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
2.3
    	
SAP Support
    	
16
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
2.3.1
    	
Service Levels
    	
18
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
2.3.2
    	
Reporting
    	
18
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
2.3.3
    	
Ticket and Call   Management
    	
19
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
2.3.4
    	
Priorities
    	
19
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
2.3.5
    	
Escalation Processes
    	
21
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
2.4
    	
SAP License
    	
21
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
2.4.1
    	
SAP License   Administration
    	
22
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
2.4.2
    	
Repurchase
    	
23
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
2.4.3
    	
Maintenance
    	
23
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
3.
    	
FME’s   Responsibilities
    	
23
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
3.1
    	
Licenses
    	
23
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
3.2
    	
Responsibility for the   Data / Permissions
    	
23
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
3.1
    	
Super Users
    	
23
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
4.
    	
Joint   Tasks
    	
23
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
4.1
    	
Procedures in Case of   Malfunctions
    	
23
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
4.2
    	
Tuning
    	
 
    	
24
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
4.3
    	
Record Archiving
    	
24
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
4.4
    	
Network Connection
    	
24
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
5.
    	
Remuneration
    	
24
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
5.1
    	
SAP Operation,   Application Services & Support Fees
    	
24
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
5.2
    	
Invoicing of SAP   Licenses and Maintenance
    	
25
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
5.3
    	
Benchmark
    	
25
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
5.4
    	
inSITE: Service and   Price Review
    	
25
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
6.
    	
Term   and Termination
    	
25
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
7. 
    	
Attachment   1: Definitions
    	
27
    

 

3

 

1.   Preamble

 

NETCARE operates and maintains the Fresenius Group’s SAP Systems for several Group companies. FME is using these Systems and procures the associated SAP services.

 

Subject to the terms and conditions of this Service Agreement SAP (“Service Agreement”), the General Agreement, the Annexes and the Standard Service Agreement, FME procures IT Services from NETCARE.

 

NETCARE’s SAP Service provision to FME is defined in three layers:

 

·                  Service Agreement SAP

 

·                  SAP Service Level Agreements

 

·                  SAP Price List

 

This Service Agreement shall provide general provisions and service standards on the respective SAP Services stipulated hereunder and attached to this Service Agreement as specific SAP Service Level Agreements. Furthermore this Service Agreement shall also apply for additional SAP Functions or Modules which have to be licensed separately and shall therefore be covered by separate SAP Service Level Agreements.

 

The SAP Service Level Agreements define specific SAP Services, provide detailed provisions on Individual Services and describe deviations from the service standards defined in this Service Agreement.

 

The SAP Price List contains an overview of all SAP Service Level Agreements and explicitly governs remuneration details and penalties if applicable.

 

In cases of contradictions the respective SAP Service Level Agreements shall supersede the terms and conditions in this Service Agreement as well as the SAP Price List.

 

The Parties differentiate between Shared SAP Services and Dedicated SAP Services. Such SAP services shall be typically defined based on System Families in SAP Service Level Agreements. Notwithstanding the Parties may agree on SAP services based on specific Systems and Applications in supplementary SAP Service Level Agreements.

 

2.   NETCARE’s Responsibilities and Services

 

NETCARE’s SAP service provision to FME comprises the following services:

 

·                  Operating Services

 

·                  Application Services

 

4

 

·                  Support Services

 

·                  SAP License.

 

2.1   Operating Services

 

Purpose of the services rendered hereunder is to provide and operate the infrastructure of the data center, comprising hardware, operating system, software required for the operation of the operating system, data bases, SAP base component (BC) and other SAP Applications as defined in the respective Service Level Agreements. The services shall extend to the Point of Delivery. The transfer after the Point of Delivery to FME locations is not governed by this Service Agreement.

 

NETCARE’s data center, where the infrastructure for FME is provided, shall be basis for the operating services rendered hereunder. In the following, the general responsibilities of the Parties and the services for the operation by NETCARE shall be defined.

 

2.1.1   SAP Base Administration & Support

 

The following table contains the Standard SAP Base Administration & Support parameters delivered by NETCARE.

 

These parameters apply for the majority of the productive SAP Systems. Any deviations of these service parameters will be defined in the respective SAP Service Level Agreement.

 

	
SAP Base Operation
   Service Items
    	
 
    	
Standards
    
	
Deployment
    	
 
    	
 
    
	
Install
    	
 
    	
charged   separately (T&M)
    
	
Adds,   Changes
    	
 
    	
 
    
	
SAP-Upgrades   (technical implementation)
    	
 
    	
Included: max. 
   one implementation of Enhancement Package or Support Package per year
    
	
Implement JAVA Support packages
    	
 
    	
n.a.
    
	
Installation of DBMS patches, updates (technical   implementation)
    	
 
    	
Included
    
	
Installation of OS patches, updates (technical   implementation)
    	
 
    	
Included
    
	
Implement new SAP kernel patches
    	
 
    	
Included
    
	
Uninstall
    	
 
    	
not included
    
	
Operation
    	
 
    	
 
    
	
Planning
    	
 
    	
 
    

 

5

 

	
SAP Base Operation
   Service Items
    	
 
    	
Standards
    
	
Planning of periodically   scheduled technical SAP jobs
    	
 
    	
Included
    
	
Define naming conventions and   System planning
    	
 
    	
Included
    
	
Planning and coordination of   maintenance windows and downtime
    	
 
    	
Included
    
	
 
    	
 
    	
 
    
	
Administration
    	
 
    	
 
    
	
Start / stop System
    	
 
    	
Included
    
	
Basis performance tuning and   optimization
    	
 
    	
Included
    
	
Transport management System setup
    	
 
    	
Included
    
	
System log analysis
    	
 
    	
Included
    
	
SAP Basis dump analysis
    	
 
    	
Included
    
	
SAP Connect administration
    	
 
    	
Included
    
	
SAP Logon group administration
    	
 
    	
Included
    
	
SAP Spool System administration
    	
 
    	
Included
    
	
SAP Router and Service connection   administration
    	
 
    	
Included
    
	
SAPNet (OSS) access   administration
    	
 
    	
Included
    
	
SAP System user administration   (standard user SAP*,   DDIC, etc.)
    	
 
    	
Included
    
	
Maintain SAP System profile   parameters
    	
 
    	
Included
    
	
Basis operation of SAP clients
    	
 
    	
Included
    
	
Investigate and fix technical   errors
    	
 
    	
Included
    
	
Printer administration and error   handling in SAP and operating system
    	
 
    	
Included
    
	
Data Management
    	
 
    	
 
    
	
Set up, copy and remove SAP   clients
    	
 
    	
optionally included (on request)
    
	
Create System copies
    	
 
    	
included: 
   according to the System Lifecycle Management processes
    
	
Monitoring
    	
 
    	
 
    
	
General Systems monitoring
    	
 
    	
Included
    
	
Availability monitoring
    	
 
    	
Included
    
	
Capacity, utilization and performance   monitoring
    	
 
    	
Included
    
	
Monitor standard System batch   jobs
    	
 
    	
Included
    
	
Monitor update processes
    	
 
    	
Included
    

 

6

 

	
SAP Base Operation
   Service Items
    	
 
    	
Standards
    
	
Check basis related ABAP dumps
    	
 
    	
Included
    
	
Monitor SAP Connect
    	
 
    	
Included
    
	
Reporting
    	
 
    	
 
    
	
Documentation of Systems and   operation
    	
 
    	
Included
    
	
System utilization and   performance reports
    	
 
    	
Included
    
	
Service Level Reporting
    	
 
    	
Included published on Intranet
    

 

2.1.2   Data center

 

NETCARE shall provide the premises for the Systems, comprising the rooms determined therefore in the locations with the Fresenius names EK1 (Else-Kröner-Str. 1) and D20 (Daimlerstr. 20) in Bad Homburg, Germany including all costs for media, including electricity without limitation, air conditioning etc. At the time of execution of this Service Agreement, such rooms are:

 

	
Location
    	
 
    	
Function
    
	
EK1
    	
 
    	
Data Center (DC EK1)
    
	
D20
    	
 
    	
Data Center (DC D20)
    
	
D20
    	
 
    	
Data Backup Location (DC D20)
    

 

All rooms feature air condition, UPS, fire protection system and access to an emergency power unit (Diesel). Additionally, DC EK1 also features redundant UPSs with respective redundant UPS batteries. All premises are integrated in the access control system of Fresenius Group.

 

2.1.3   Network within the DC EK1 and D20

 

The computers are connected to the existing network infrastructure of DC EK1 and DC D20 comprising connection to the network of SAP AG for using the support services and for sending error notices to SAP AG. The network is technically optimized and is secured against the Internet and other external networks by a firewall. NETCARE is monitoring

 

7

 

advisories and security alerts of hard- and software vendors and shall implement relevant advisories within reasonable time.

 

2.1.4   Hardware

 

Within its discretion, NETCARE will acquire, install, and operate hardware and system software.  The SAP Systems use a shared server farm distributed across two data centers. This allows the option to move a system to another server within or across data centers. Management of the infrastructure, in particular installation, start, stop, update of hardware, and of the operating system and of the software required for the operation of the operating system shall be in the responsibility of NETCARE.

 

2.1.5   Software License

 

NETCARE, at her sole cost, shall provide the number and the extent of licenses required for the operating of the Systems.  This shall include SAP licenses required for the operating and required by NETCARE representatives. Excluded shall be SAP and data base licenses for FME’s Named Users and products which shall be defined in section 2.4.

 

2.1.6   Disk Space

 

Data shall be stored on the central storage systems in the DC EK1 and D20. All disk systems shall be designed with redundant controllers and shall be connected via redundant switches / glass fiber. NETCARE shall be responsible for the management of the disk infrastructure, in particular regarding optimization of access and growth.

 

2.1.7   Backup

 

Data backup shall be stored on the backup systems in place. Generally, backups shall be performed automatically without human intervention. The backup infrastructure shall be installed in a building separated from data processing. Data shall be stored on the media provided by NETCARE and such media shall remain in the tape library / backup disk systems.

 

Data base logs shall be saved in different NETCARE locations within reasonable time (5 min.) but within 8 hours latest, after having been filed.

 

2.1.8   Printing

 

NETCARE shall define printer queues on the level of the operating systems and the BC. NETCARE shall also be responsible for the management of print jobs up to the print server. Transfer of print jobs to FME locations is not governed by this Service Agreement

 

8

 

SAP. Interferences, e.g. deletion of print jobs in Systems, shall be performed subject to the provision of FME and within reasonable time.

 

2.1.9   Component BC

 

NETCARE shall be responsible for the component BC. Such responsibility shall include installation, configuration, start/stop etc. of data bases and instances. In order to meet the agreed upon services levels under this Service Agreement SAP, NETCARE shall perform all tasks required by the operation of the Applications.

 

NETCARE shall solely be responsible among others for the following tasks:

 

·      Data base management required to achieve defined performance indicators

 

·      Installation, extension of table spaces

 

·      Management of redo segments, undo-spaces, log-files

 

·      Data base reorganization

 

·                  Unlimited technical installation of hot packages/support packages according to SAP recommendation and/or request of the application development group

 

NETCARE shall be responsible for the technical execution among others for the following tasks if FME or NETCARE’s Development respectively reasonably require NETCARE to perform such services from time to time:

 

·                  Pro-active installation of notes issued by SAP in BC

 

·                  Performing “Early Watch” sessions and installation of notes in BC

 

·                  Configuration of ALE and RFC connections

 

·                  Installation/definition of printer drivers/processing tasks in the Systems

 

·                  Performing archiving processes after consultation with the responsible FME Operation Unit and providing such archived data on FME’s request.

 

·                  Performing basis-jobs, e.g. spool reorganization, job-log reorganization

 

·                  Technical performance of transport subject to the provision of NETCARE’s Development.

 

9

 

·                  System copy/client copy on demand at least once a quarter. If necessary system copies should be approved by the respective IT governance and validation committees.

 

·                  Technical implementation with respect to the System (such as support, security and enhancement packages as well as error corrections) as part of the Application maintenance and update as defined in Section 2.2.5.

 

2.1.10   Monitoring

 

NETCARE shall monitor in its sole responsibility the entire infrastructure required by the performance under this Service Agreement SAP online and continuously during the agreed service times. Monitoring includes among others the control of disk spaces, system availability, backup infrastructure, critical database and other system performance parameters.

 

2.1.11   Storage Systems/Data storage

 

In general, NETCARE shall use storage systems with redundant controllers which shall have redundant connections to the servers.

 

2.1.12   Archiving of Records

 

If applicable, records shall be archived on the archive available at NETCARE’s DC EK1 on archiving systems. Such data shall be stored on media which shall be purchased by NETCARE. Such data shall be available as a record item in the productive part of a System for the last sixteen calendar months. Thereafter, the archived records shall be stored in a PBS-system and according to the statutory storage provisions.

 

2.1.13   Maintenance Contracts

 

NETCARE, at its sole expense, shall enter into hardware and software maintenance contracts for the components required for providing the services. The number and scope of such maintenance contracts shall be in line with the duties of a prudent business man.

 

2.1.14   Availability

 

In general the Availability of the productive Systems shall be at least 99% if not otherwise defined in the respective SAP Service Level Agreement.

 

Availability = (Factual Service Time + excused non-availability + agreed non-availability) / Scheduled Service Time.

 

10

 

2.1.15   Response Time

 

NETCARE shall provide a Response Time of all dialog steps in the productive System at the Point of Delivery as defined in the respective Service Level Agreements. Investments required for the achievement of such Response Times shall be at NETCARE’s sole expense and fully covered by the fee payable by FME. NETCARE shall report the Response Time of the previous calendar month and Availability before the fifth working day of each month on the Intranet.

 

NETCARE shall permanently monitor the operation of the Applications. Performance of the Applications shall be frequently controlled; problematic functions and jobs run by FME’s users shall be discussed with the responsible process owner or if not defined with FME respectively in order to optimize Response Times of the Applications.

 

For the period after implementation of new functionalities, in particular ABAP programs developed by NETCARE, a grace period shall be agreed upon between the Parties.

 

2.1.16   Operating Times and Contractual Service Times

 

In general, the productive SAP Systems shall be available 7x24h minus the agreed upon maintenance times on Saturday, 16:00 until 20:00 CET, Sunday, 08:00 until 14:00 CET.

 

If not otherwise agreed in the respective SAP Service Level Agreement the Contractual Service Times for the productive SAP Systems shall be Monday through Friday, 06:00 to 18:00 CET. During this timeframe, SAP system administration is guaranteed.

 

Maintenance work in the maintenance periods may be delivered by NETCARE on short notice. In this case, NETCARE shall notify FME of planned maintenance services immediately. Maintenance periods shall only be used if reasonably required.

 

If maintenance works, such as works on the central power line, are required outside of the maintenance periods, and which particularly may materially affect the Availability or the Response Time of the Systems, NETCARE shall consult with FME. Time required by this maintenance work shall be deemed as down time.

 

NETCARE hereby offers enhanced Contractual Service Time at the end of each quarter and on weekends for FME’s weekend production against separate remuneration.

 

2.1.17   Responsibility for the Data / Permissions

 

NETCARE shall be responsible for the availability and security of the data.

 

11

 

2.2   SAP Application Services

 

Purpose of the services rendered hereunder is to provide and operate the Applications including but not limited to application monitoring, user administration, application maintenance and batch job processing. All services described below are provided during regular local business hours, with the exclusion of local holidays.

 

The following table contains the Standard SAP Application operation parameters delivered by NETCARE. These parameters apply for the majority of the productive SAP Systems. Discrepancies of the service parameters will be defined in the SAP Service Level Agreement.

 

	
SAP Application Operation
   Service Items
    	
 
    	
Standards
    
	
Deployment
    	
 
    	
 
    
	
Adds, Changes
    	
 
    	
 
    
	
Installation of SAP software releases
    	
 
    	
Included max. one implementation of Enhancement Package or Support   Package per year
    
	
Installation of SAP patches and hot fixes
    	
 
    	
included
    
	
Perform corrections and   transports Change & Transport  System (CTS)
    	
 
    	
included
    
	
Provision of SAP UI
    	
 
    	
included
    
	
Corrective Change
    	
 
    	
 
    
	
Maintenance (Customizing)
    	
 
    	
included
    
	
Maintenance (Code related)
    	
 
    	
included
    
	
Maintenance Data Objects
    	
 
    	
included
    
	
Interface adjustments  
    (corrections and troubleshooting)
    	
 
    	
included
    
	
System Testing
    	
 
    	
included
    
	
Operation
    	
 
    	
 
    
	
Planning
    	
 
    	
 
    
	
Maintain SAP client concept (Mandantenkonzept)
    	
 
    	
included
    
	
Administration
    	
 
    	
 
    
	
Archive link administration
    	
 
    	
included
    
	
Handle CTS requests
    	
 
    	
included
    
	
Application Operation
    	
 
    	
 
    
	
Interface control and   administration
    	
 
    	
included
    
	
Analyse and clean up update   terminations
    	
 
    	
included
    
	
Analyse and clean up lock entries
    	
 
    	
included
    
	
Check for Application related   ABAP dumps
    	
 
    	
included
    

 

12

 

	
SAP Application Operation
   Service Items
    	
 
    	
Standards
    
	
Troubleshoot and restart   Application batch jobs
    	
 
    	
included
    
	
Analysis of Early Watch reports
    	
 
    	
included
    
	
Application performance analysis   and tuning
    	
 
    	
included
    
	
Problem analysis
    	
 
    	
included
    
	
Specific Application related tasks
    	
 
    	
 
    
	
Administer and run batch input   sessions
    	
 
    	
included
    
	
Analyse faulty batch input   sessions
    	
 
    	
included
    
	
Reorganize processed batch input   sessions
    	
 
    	
included
    
	
Supervision of ALE-based   interfaces
    	
 
    	
included
    
	
Administration of other   Application related interface types
    	
 
    	
included
    
	
Monitoring and administration of   other communication components
    	
 
    	
included
    
	
Data load management
    	
 
    	
included
    
	
Monitor upload jobs incl. restart
    	
 
    	
included
    
	
Monitoring
    	
 
    	
 
    
	
Monitor SAP batch processing
    	
 
    	
included
    
	
Monitor workflows
    	
 
    	
included
    
	
Early watch reports
    	
 
    	
included
    
	
Application-Support
    	
 
    	
 
    
	
Support & Information
    	
 
    	
 
    
	
User information for Application
    	
 
    	
included
    
	
Support for warnings &   alerts
    	
 
    	
included
    
	
Technical issues, such as printer   connections
    	
 
    	
included
    
	
Business process-related issues
    	
 
    	
included
    
	
Application-specific user support
    	
 
    	
included
    
	
Administration User profile
    	
 
    	
 
    
	
User profiles and roles
    	
 
    	
included
    
	
Maintain authorization profiles
    	
 
    	
included
    
	
Maintain activity groups
    	
 
    	
included
    
	
Other
    	
 
    	
 
    
	
Other Services
    	
 
    	
 
    
	
Certification   (ISO, ITIL, etc.)
    	
 
    	
Included ISO9001
    
	
GxP compliance
    	
 
    	
charged separately (T&M)
    
	
SOX
    	
 
    	
charged separately (T&M)
    

 

13

 

There might be an additional remuneration on time & material (T&M) base for specific SAP Application Services as described in the SAP Price List and SAP Service Level Agreements.

 

The responsibility for customizing and development of Applications shall solely be assigned to NETCARE. Such Services shall be handled as a separate project to be agreed between the Parties according to the regulations outlined in the General Agreement and MSD.

 

2.2.1   Application monitoring

 

NETCARE shall permanently monitor the operations of the Applications for Incidents. Performance of the Applications shall be frequently controlled; problematic functions and jobs run by FME’s users shall be discussed within the Service Management Units respectively in order to optimize response time of the Applications.

 

2.2.2   SAP Application Transport

 

NETCARE shall be solely responsible for performing and supervising Application Transports from the development System to the integration System and the productive System, for all reasons including maintenance, error correction, new implementation or change of already implemented programs and configurations.

 

For specific Systems such Application Transports shall be controlled by Solution Manager Change Request Management (ChaRM) and can be done within Maintenance Cycles. The applicability of these Maintenance Cycles shall be defined in the respective SAP Service Level Agreement. Only urgent corrections and simple customizing can be excluded from Maintenance Cycles. An extension of the Maintenance Cycle procedure to other Systems can be agreed between the Parties.

 

The GoLive of these Maintenance Cycles takes place every 2 months according to the calendar mutually agreed between the Parties on a yearly base and published on NETCARE’s Intranet.

 

However, according to the standards of SAP, Application development in the productive parts of the Systems shall be avoided were possible. NETCARE, therefore, shall not engage independently without FME’s approval and commissioning Application development for FME specific Applications. Upon FME’s request, NETCARE shall grant to employees of FME, which may be nominated by FME IT Coordination Department and the number of which shall not exceed five, reading privileges for customizing.

 

14

 

2.2.3   User Administration

 

NETCARE is responsible for providing a user management concept and services for all Systems and Applications managed by NETCARE.

 

NETCARE takes care of all technical steps related to the user administration. This service comprises, based on FME request:

 

·                  creation of new users

 

·                  blocking of obsolete users and

 

·                  allocation of user authorizations and access rights on request.

 

This service has to be performed as outlined herein after receiving the request from authorized staff of FME.

 

NETCARE shall provide support and maintenance for the Application for user management. Several core functionalities will be provided as listed below:

 

·                  automatic assignments of access rights to the user (on request and after approval)

 

·                  role management

 

·                  maintain information workflow and stages

 

·                  management of controlled temporary access rights

 

·                  support for fulfillment of regulatory requirements

 

NETCARE shall provide technical, organizational and compliance guidelines and policies for user management.

 

2.2.4   Batch Job Processing

 

NETCARE is responsible for troubleshooting and restarting of application batch jobs. Should a system downtime occur within non-attended operating time and not be noticed until start of regular business hours, then the Second or Third Level Support shall prioritize the business-relevant batch jobs and enable processing of such batch jobs and monitor them closely.

 

15

 

2.2.5   Application Maintenance and Update

 

Application maintenance shall be in NET CARE’s sole responsibility. Application maintenance shall include Application customizing and programming. In frequent intervals, it is required to install so called support-, security- and enhancement packages and error corrections. NETCARE shall be responsible for scheduling of such activity and NETCARE shall reach an agreement with the respective IT governance and validation committees upon such scheduling and performing release changes. FME shall be permanently represented in such committees.

 

The current SAP UI software package will be provided by NETCARE to the responsible local PC support units. It remains in the responsibility of the local PC support units to install the SAP UI. If NETCARE provides these local PC support services the installation will be provided free of charge as part of the release change, if not otherwise agreed in the local Service Agreement. Client licenses mandatory required by a new SAP UI installation (for instance EXCEL) shall be provided by FME. On request and a separate remuneration SAP UI installation also for locations may be provided.

 

2.2.6   GxP and SOX compliance

 

NETCARE shall maintain quality management which shall be responsible within NETCARE for compliance with the GxP regulations in course of implementation of all GxP relevant Applications and/or processes and subsequent support services (error corrections, support-, security-, enhancement packages). Furthermore, NETCARE shall assist FME in-the validation of GxP relevant processes in collaboration with the respective IT governance and validation committees.

 

2.3   SAP Support

 

The primary goal of such Support Services rendered by NETCARE shall be to restore the availability and / or quality of service operations as fast as possible and to minimize the adverse impact on business operations in case of malfunctions, Incidents, problems and failures of the productive Applications and / or the productive Systems. Furthermore the SAP support shall comprise brief consulting on handling issues other than assistance with Incidents of the Applications by the First Level Support. Execution of Petty Requests shall also be part of the contractual services and compensation for such shall be fully paid up by the support fee. However longer consulting services e.g. in terms of training shall not be comprised.

 

16

 

NETCARE provides SAP support to FME based on a decentralized support concept that considers the local conditions and/or specific requirements. This support concept comprises the local SAP Service Desks (First Level Support) and if necessary the involvement of further specialists by NETCARE in order to resolve the Incidents and achieve the mutually agreed Service Levels (Second and Third Level Support). The service times and contact information of the SAP Service Desks shall be defined in the Standard Service Agreement and published on NETCARE’s Intranet. The service times and contact information will be revised and agreed between the Parties on a yearly base. This enables the user to choose the right point of contact for the specific region/location. All Incidents reported to NETCARE are registered in a ticketing system.

 

In general First Level Support is available for all SAP users in local language. It is possible that in some countries, the First Level Support may not be provided by NETCARE in local language. In such cases the Parties shall agree on FME providing local Super-Users being able to communicate in local language and to channel any issues towards the NETCARE First Level Support. In such cases the number of Super- Users shall be limited to two users which have to be named to the NETCARE First Level Support.

 

The following table shows the main characteristics of the SAP support:

 

	
SAP Support
   Service Items
    	
 
    	
Standards
    
	
Incident Management & Support
    	
 
    	
 
    
	
First Level Support
    	
 
    	
included
    
	
Second Level Support
    	
 
    	
 
    
	
Process tickets from First Level   Support
    	
 
    	
included
    
	
Respond to technical questions on  Application Modules
    	
 
    	
included
    
	
Use OSS access (enter notes etc.)
    	
 
    	
included
    
	
Feedback to first level support
    	
 
    	
included
    
	
Escalation to third level support
    	
 
    	
included
    
	
Third Level Support
    	
 
    	
included
    
	
Process tickets from Second Level   Support
    	
 
    	
included
    
	
Feedback to First Level Support
    	
 
    	
included
    
	
Reporting
    	
 
    	
 
    
	
Service Level Reporting
    	
 
    	
Included using SAP BW
    

 

17

 

2.3.1   Service Levels

 

NETCARE guarantees the following Service Levels:

 

a)             minimum attainability 75/35 (Minimum Attainability):

 

Minimum Attainability is achieved as far as

 

·                  75 % of all incoming calls are picked up over a period of 3 months average and

 

·                  75 % of the picked up calls have been received within 35 seconds over a period of 3 months average.

 

b)             Minimum Solution Rate

 

Minimum solution rate is achieved as far as

 

·                  80% of the calls received and entered as tickets within one month shall be solved within 30 days. The measurement shall be performed at the end of the next month.

 

2.3.2   Reporting

 

NETCARE ́s SAP Service Desk provides reports including:

 

·                  agreed Service Levels

 

·                  the number of calls

 

·                  the overall number of Incidents per SAP Module.

 

The Reporting shall be generated based on SAP BW and will be rendered as a PowerPoint presentation on NETCARE’s Intranet.

 

Due to the fact that the existing setup of the Automatic Call Distribution Telephone- System (ACD) is not able to document the attainability specific for FME users, for the time being, the measurement of all incoming calls (Fresenius total) shall be used as basis for the calculation of the performance.

 

The figures guaranteed under 2.3.1 shall be valid for all NETCARE support locations, but will be only measured where an ACD is implemented. In case of a general system problem (i.e. SAP downtime) the respective calls made during this time-range will be excluded in the measurement-statistic. FME shall be informed on such exclusions detailing the respective general system problem and time-range.

 

18

 

2.3.3   Ticket and Call Management

 

In general FME users shall address all inquiries, Incidents, etc. to the First Level Support. NETCARE cannot secure proper processing of requests and problem reports which may have been submitted to other NETCARE staff.

 

Requests and problem reports shall be registered and categorized. NETCARE shall register the information received, such as name of the FME employee, date and time of registration, short text and description, category of request, priority, etc. If the registering NETCARE staff is unable to solve the problem, the problem shall be submitted to competent staff of the Second Level Support.

 

If reasonably necessary, NETCARE shall notify the requesting FME user after a problem has been solved.

 

2.3.4   Priorities

 

After receipt of the problem ticket, the processing First Level Support shall prioritize such ticket. All received tickets shall be processed according to the priority of the ticket. The following priorities shall apply (for the avoidance of doubt, the requirements in each priority hereunder shall be cumulative only if explicitly indicated by the use of the word “and”):

 

Priority 1: Critical

 

·                  A service in its entirety or an important part of a service is not available and processes important or critical to the FME’s businesses cannot be used or are materially affected by an incident.

 

·                  Service levels of FME’s business services are violated or such violation is very probable.

 

·                  It is very likely that business relations between FME and its business partners will be disrupted.

 

·                  A material number of staff cannot perform their assigned duties or are materially affected in performing their permanent duties.

 

·                  FME has no immediate alternative in order to perform the affected business process.

 

Priority 2: High

 

·                  A material function of an application is not available and no workaround is available for an immediate solution.

 

19

 

·                  Frequently used business processes are affected by the incident and a service level violation of FME’s business services is probable.

 

·                  It is likely that business relations between FME and its business partners will be affected.

 

·                  Numerous staff may be frequently affected in performing their temporarily assigned duties or a single staff cannot perform his/her permanently assigned duties.

 

·                  This priority is applicable, e.g., if order registration and commissioning is affected.

 

·                  For the avoidance of doubt, events more critical than the ones defined under Priority 2 shall be exclusively governed by Priority 1.

 

Priority 3: Medium

 

·                  An application is not complying with specifications and/or a workaround for a Priority 1 or Priority 2 incident is available.

 

·                  The effect on business process is of non-material nature.

 

·                  Violations of Service Levels are of non-material nature or not likely.

 

·                  Effects on business relationships between FME and its business partners are non- material.

 

·                  Staff is affected in performing their duties only occasionally or they may perform other duties during incident solution.

 

·                  Priority 3 shall apply, e.g., if procurement orders, booking of cost accounts except for the purpose of month end closing and invoicing review is affected.

 

Priority 4: Low

 

·                  An incident not or minimally affecting business processes.

 

·                  There is no direct effect on business relationships between FME and its business partners.

 

·                  The incident may cause an inconvenience to single employees. E.g., incidents may affect reporting, headlines are not formatted, sums and selections are not correct.

 

20

 

2.3.5   Escalation Processes

 

Based on the priority of the requests/reports, NETCARE shall use the following internal escalation processes in general:

 

·      Priority 1:

 

A problem report shall be processed immediately after receipt. The first preliminary status report to FME shall be due within one hour. FME shall be kept constantly informed on the progress until submission of the final status report. The recipients of the problem reports are defined in Attachment 3.

 

·      Priority 2:

 

If no solution or workaround has been found for a problem within four hours after receipt, a specialist or the Second Level Support shall be entrusted with a problem solution. The first status report to FME shall be due after one hour.

 

·      Priority 3:

 

If no problem solution or workaround is perceived by the First Level Support 24 hours after receipt, a specialist or the Second Level Support shall be entrusted with a problem solution. The first status report to FME shall be due after 24 hours.

 

·      Priority 4:

 

Since no critical problem demanding immediate action has been reported, Second and Third Level Support will not be involved automatically. Only in case that the First Level Support fails to reach a problem solution independently the Second or Third Level Support shall be involved. The first status report shall be due after seven days.

 

2.4   SAP License

 

The contractual relationship between the company SAP and the Fresenius G roup is solely administered by NETCARE.

 

For the benefit of FME, NETCARE shall be responsible for the negotiation, all contractual obligations and the purchase of SAP licenses. NETCARE shall balance and represent all FME requirements and shall always be obliged to negotiate in best effort for FME. FME shall have access to the SAP licenses required for the contractual operations under the same scope as has been granted by SAP AG to NETCARE.

 

21

 

NETCARE is responsible towards SAP AG that all contractual obligations between SAP AG and FME are fulfilled. Therefore, NETCARE takes care that FME buys sufficient SAP licenses from NETCARE.

 

2.4.1   SAP License Administration

 

NETCARE shall perform the SAP license administration and verify on quarterly basis whether FME has sufficient SAP licenses or not. NETCARE checks all new SAP users registered on the System, all required licenses and all obsolete SAP-users disabled in the System. Before selling and invoicing SAP licenses, the quantity has to be discussed between NETCARE and FME on a yearly basis. Goal of this discussion should be to keep the number of SAP licenses as low as possible and to share SAP licenses within the Fresenius group for cost saving purposes. The license verification shall include the following main tasks:

 

·                  The user volume will be calculated based on the number of SAP maintenance units of all productive systems.

 

·                  NETCARE shall allocate the limited professional user licenses wherever possible according to the SAP licensing guidelines.

 

·                  The identified inventory of licenses will be reported by NETCARE to FME on a quarterly basis.

 

·                  Once a year NETCARE performs a license inventory comparing the current license volume with the baseline of the previous year.

 

·                  The result of the license inventory will be reported by NETCARE to FME and mutually discussed between the Service Management Units.

 

·                  Licenses which have been newly procured will be charged to the respective entity.

 

·                  Licenses which are not used are reported by NETCARE to the respective FME entity and NETCARE offers the repurchase of such licenses as outlined later in this Section.

 

If the number of SAP users exceeds the number of SAP licenses acquired, NETCARE shall offer the according number of SAP licenses to FME based on the Price List. As far as the number of SAP licenses bought exceeds the number of SAP users, FME may sell the SAP licenses back to NETCARE. NETCARE shall be obliged to take these SAP licenses back as far as there is a demand in other Fresenius group companies in buying

 

22

 

new SAP licenses. According to SAP AG license rules SAP licenses are transferable between FME SAP users.

 

2.4.2   Repurchase

 

NETCARE shall pay to FME for each SAP license repurchased 90% of the current price as outlined in the Price List, regardless of the book value. A credit for repurchase shall be granted once a year accordingly.

 

2.4.3   Maintenance

 

A maintenance fee is due for named SAP users and products.

 

3.                   FME’s Responsibilities

 

3.1   Licenses

 

FME shall be obligated to order sufficient licenses and pay the respective maintenance fees required for named users and products necessary for the Applications and data bases from NETCARE. Detailed description can be found in the Price List.

 

3.2   Responsibility for the Data / Permissions

 

FME shall solely be responsible for the accuracy of the data and of the master data.

 

3.1   Super Users

 

FME shall ensure that at least the following prerequisites have to be fulfilled by the Super Users:

 

·      Very good understanding of the business-environment and the processes

 

·      Well trained in the SAP-functionality

 

·      Super Users will be commonly agreed between NETCARE and FME. NETCARE will not unreasonably withhold consent.

 

4.                   Joint Tasks

 

4.1   Procedures in Case of Malfunctions

 

NETCARE shall be responsible for the immediate elimination of any malfunctions and System lockups. FME shall support NETCARE by providing:

 

·         Description of the problem

 

·         Support in identifying possible test data

 

·         User specification of desired changes

 

23

 

·         End user tests for fixes and changes

 

Any elimination of malfunctions or System lockups shall be free of charge for FME. Insufficient support by FME shall not entitle NETCARE to claim for any reduction of service qualities or for any increase of service prices.

 

4.2   Tuning

 

Besides the growth of a data base, the specific use of an Application materially influences the response performance. FME shall support the tuning, in that FME users shall collaborate with the Operation Units of NETCARE.

 

NETCARE shall be responsible for all tuning activities such as analysis of the data base and the installation of indices.

 

4.3   Record Archiving

 

FME and NETCARE shall jointly develop a concept for the archiving and reorganizing the data base, in order to limit the growth of such data base and to influence the response performance positively.

 

In that joint development, NETCARE shall be responsible for configuring the Application, the implementation of the batch jobs required by the Application, and shall perform the technical part of the archiving.

 

4.4   Network Connection

 

The distribution of the contractual services via WAN into the LAN of FME locations shall be governed by a separate Service Agreement.

 

5.                   Remuneration

 

5.1   SAP Operation, Application Services & Support Fees

 

Hereunder the most common pricing principles applied to the SAP System Families are defined.

 

Applicable types of remuneration can be:

 

·      Consumption based pricing shall be calculated upon the amount of usage.

 

·      User based on number of Named User

 

·      Lump sum based pricing

 

The type of remuneration is defined in the respective SAP Price List.

 

24

 

5.2   Invoicing of SAP Licenses and Maintenance

 

NETCARE shall invoice FME the one time SAP license fee according to Section 2.4, per additional SAP license after agreement with FME IT Coordination Department on a yearly basis. Maintenance fees can be found in the Price List. For maintenance, NETCARE shall invoice monthly the 12th part of the annual maintenance fee.

 

5.3   Benchmark

 

Due to the fact that the inSITE Program rollout is going to take place until 2016, the Parties agreed not to request a benchmarking evaluation before 2017.

 

5.4   inSITE: Service and Price Review

 

The Parties shall evaluate the impact of the inSITE Program to the service provisioning as stipulated hereunder and shall be obligated to adjust the terms and conditions of this Service Agreement SAP and the respective Service Level Agreements.

 

6.                   Term and Termination

 

The term of this Service Agreement (the “Term”) shall commence on January 1, 2013 and shall extend to December 31, 2017. Thereafter, the Service Agreement shall automatically renew by another period of five years unless one Party terminates the agreement by giving six months prior written notice to the end of the term. From then on the Service Agreement will be extended automatically for successive one year periods unless one of the parties terminates this Service Agreement by giving 6 months prior written notice to the expiration of the then current term. The duration of the respective SAP Service Level Agreements may vary and is defined within these Agreements.

 

FME shall be entitled to terminate this Service Agreement for cause if

 

·                  NETCARE fails to reach the Availability or the Minimum Attainability three times a year (360 days).

 

·                  If NETCARE unreasonably withholds consent to the shut-down of modified Applications.

 

·                  If NETCARE rejects FME’s request to substitute SAP software against adequate remuneration by other, technically superior software solutions.

 

·                  If NETCARE fails to comply with the data security standards imposed by laws and regulations and the Fresenius Network Security Guideline in the applica- ble version and FME suffers substantial damage thereby.

 

25

 

	
Bad   Homburg,
    	
 
    	
Bad   Homburg, 08.05.2013
    
	
 
    	
 
    	
 
    
	
Fresenius   Medical Care AG & Co. KGaA represented by its General Partner
   Fresenius Medical Care Management AG, represented by
    	
 
    	
Fresenius   Netcare GmbH represented by
    
	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    
	
By:
    	
/s/   Rice Powell
    	
 
    	
By:
    	
/s/   Klaus Kieren
    
	
 
    	
Rice   Powell
   Global Chief Executive Officer and Chairman of Management Board
    	
 
    	
 
    	
Klaus   Kieren
   Chairman
    
	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    
	
By:
    	
/s/   Dr. Emanuele Gatti
    	
 
    	
By:
    	
/s/   Jurgen Kunze
    
	
 
    	
Dr.   Emanuele Gatti
   CEO Europe, Latin America,
   Middle East and Africa
   Global Chief Strategist
    	
 
    	
 
    	
Jürgen   Kunze
   Vice Chairman
    

 

Attachments to this Service Agreement:

 

Attachment 1: Definitions

 

26

 

7.   Attachment 1: Definitions

 

	
Active user
    	
 
    	
Active   users are named users which have accessed the respective SAP System during   the last 12 months.
    
	
 
    	
 
    	
 
    
	
Agreed Non-Availability
    	
 
    	
Time   of non-availability, calculated in hours, in the Contractual Service Time,   aggregated through the Averaging Period, when the Application was not   available at the Point of Delivery and on which the Parties, after mutual   consultation have agreed in writing, e. g. for maintenance, transports or   upgrades.
    
	
 
    	
 
    	
 
    
	
Application
    	
 
    	
An   Application is defined as FME specifically customized SAP software including   Modules, SAP Functions and Modifications rendered and installed on a System.   Applications under this Service Agreement shall as well comprise specific SAP   products, e.g. BO, BW, SCM, SEM and CRM.
    
	
 
    	
 
    	
 
    
	
Application  Transport
    	
 
    	
Performing   transports of program developments in the System Family by the workbench.
    
	
 
    	
 
    	
 
    
	
Archiving
    	
 
    	
Records   shall be archived on the archive systems available at NETCARE’s DC EK1 and   D20. Such data shall be stored on media which shall be purchased by NETCARE.   Such data shall be available as a record item in the productive part of a   System for the last sixteen calendar months. Thereafter, the archived records   shall be stored in the PBS-system and according to the statutory storage   provisions.
    
	
 
    	
 
    	
 
    
	
Availability
    	
 
    	
Factual   Service Time plus Excused Non-Availability plus Agreed Non-Availability   divided by Scheduled Service Time measured in percent with two decimals.   Availability shall be calculated for each productive System separately
    
	
 
    	
 
    	
 
    
	
Averaging Period
    	
 
    	
Period   for determination of the contractual availability. Such period shall comprise   the calendar month at issue and the previous two calendar months.
    
	
 
    	
 
    	
 
    
	
Contractual  Service Time
    	
 
    	
Time   specified by days and hours, for which NETCARE is obliged to provide the   usability of the Application at the Point of Delivery.
    

 

27

 

	
CPU — Hour
    	
 
    	
Synthetic   unit measuring the resource consumption of an SAP System. SAP ERP generates   single statistic records for each transaction comprising, among others, the   database service time and the CPU time used on the application server for the   transaction at issue. Such records are handed over to user exit   Z_USEREXIT_WORKLOAD and are thereafter fed into the ac- counting application   SLAM by reply Deutschland AG, (Geschäftseinheit Syskoplan reply).

 

The   CPU-Hour is computed taking into account the database service time and the   spent CPU time. The CPU hour is stan- dardized on a CPU performance of 2003.   Different CPU speeds of hardware elements shall be equalized according to the   relative Application performance.

 

Such   equalization is required if hardware elements are exchanged. The equalization   factors for the CPU speed are in relation to the SPEC CPU figures, officially   published by SPEC (www.spec.org) for the server or CPU type at issue.
    
	
 
    	
 
    	
 
    
	
Dedicated SAP Service
    	
 
    	
Means   a SAP Service provided dedicated and solely for FME by NETCARE.
    
	
 
    	
 
    	
 
    
	
Development  / CCBP
    	
 
    	
NETCARE   divisions / employees responsible for the Application development and   customizing.
    
	
 
    	
 
    	
 
    
	
Excused Non-Availability
    	
 
    	
Time   of non-availability, calculated in hours, in the Contractual Service Time,   averaged through the Averaging Period, when the Application was not available   at the Point of Delivery for reasons outside of the control and   responsibility of NETCARE, e. g. Force Majeure.
    
	
 
    	
 
    	
 
    
	
Factual Service  Time
    	
 
    	
Time,   calculated in hours, in the Contractual Service Time, aggregated over the   Averaging Period, when the Application is available to users at the Point of   Delivery. The Application is available, when a log on is possible.
    
	
 
    	
 
    	
 
    
	
Fresenius Group
    	
 
    	
The   Fresenius Group includes all legal entities directly and indirectly owned by   Fresenius SE, whether by majority or not.
    

 

28

 

	
GxP and SOX Regulations
    	
 
    	
These   are good practices laws and regulations imposed on FME’s field of business.
    
	
 
    	
 
    	
 
    
	
inSITE Program
    	
 
    	
Harmonization   of business processes and standardization of information flows are crucial   for FME’s future growth. The inSITE Program counts on the deployment of the   SAP software in all 40 EMEALA countries until 2016 in order to achieve growth   targets in the region.
    
	
 
    	
 
    	
 
    
	
Modules
    	
 
    	
A   SAP System is divided into Modules such as BC, FI, CO, HR, IM, MM, WM, PP,   PS, LO, QM and SD, which maps business process of that particular department   or business unit.
    
	
 
    	
 
    	
 
    
	
Modification
    	
 
    	
Modifications   are all changes or own NETCARE developments which are implemented in the SAP   source code and which are not SAP standard.
    
	
 
    	
 
    	
 
    
	
Named user
    	
 
    	
The   definition of a Named User shall be according to the SAP licensing rules. A   Named User is counted only once although the Named User may be registered in   more than one of the Systems.
    
	
 
    	
 
    	
 
    
	
Petty Requests
    	
 
    	
Requests   for customizing activities which require less than two hours of efforts in   each case.
    
	
 
    	
 
    	
 
    
	
Planned  Downtime
    	
 
    	
Time   of non-availability, calculated in hours, in the Contractual Service Time,   aggregated through the Averaging Period, when the Application was not   available at the Point of Delivery and on which the Parties, after mutual   consultation have agreed in writing, e. g. for maintenance, transports or   upgrades and also the maintenance cycle.
    
	
 
    	
 
    	
 
    
	
Point of Delivery
    	
 
    	
Point   of Delivery shall mean the interface on the side of the data center of the   local area network at the location EK1/D20.
    
	
 
    	
 
    	
 
    
	
Print Server
    	
 
    	
Dedicated   server, to which the SAP-Systems deliver print jobs (point of delivery for   print jobs).
    

 

29

 

	
Response Time
    	
 
    	
Response   Time shall mean the average response time of an Application minus the time   required by the network and SAP-UI (generated as ø response time in   transaction STO3 in release ERP 6.0), as determined at the Point of Delivery   and averaged over a week (week means Monday through Friday).
    
	
 
    	
 
    	
 
    
	
SAP Functions
    	
 
    	
Function   modules are procedures that are defined in special ABAP programs only,   so-called function groups, but can be called from all ABAP programs. Function   groups act as containers for function modules that logically belong together.

 

One   example of an additional SAP Function is MDGM (Master Data Governance Model).   MDGM enables central governance of master data – from initial creation in SAP   Business Suite applications through delivery to other solutions. This SAP   Function has to be licensed separately.
    
	
 
    	
 
    	
 
    
	
SAP User
    	
 
    	
FME   SAP users, according to the definition of the pricelist “Summary of Standard   Services, Prices and Charging Conditions” published on the intranet.
    
	
 
    	
 
    	
 
    
	
Scheduled  Service Time
    	
 
    	
Aggregated   Contractual Service Time in the Averaging Period.
    
	
 
    	
 
    	
 
    
	
Shared SAP Services
    	
 
    	
Means   a SAP Service provided not dedicated and not solely for FME by NETCARE but   also to other divisions of the Fresenius Group.
    
	
 
    	
 
    	
 
    
	
System
    	
 
    	
A   System is defined as the hardware and operating software needed for the   installation of one Application.
    
	
 
    	
 
    	
 
    
	
System Family
    	
 
    	
In   general a System Family contains all Systems registered under one SAP   Installation number (11, 12, 13....). One System Family contains the   following Systems:

 

· productive System   (P)

 

· development   System (C)

 

· integration   System (I)
    

 

30

 

	
 
    	
 
    	
· test System   for dedicated projects (K)

 

Typically   the System Family consists of all four Systems, but the number may vary.
    
	
 
    	
 
    	
 
    
	
Super-User
    	
 
    	
Super-Users   being able to communicate in local language and to channel any issues towards   the NETCARE first level. The following prerequisites have to be fulfilled by   the Super-Users:

 

·      very good   understanding of the business environment and the processes

 

·      well   trained in the SAP functionality
    
	
 
    	
 
    	
 
    
	
Unplanned Downtime
    	
 
    	
Time   of non-availability, calculated in hours, in the Contractual Service Time,   averaged through the Averaging Period, when the Application was not available   at the Point of Delivery.
    

 

31

 

	

    	
 

    

 

SAP Service Level Agreement

X11 ERP EMEA

 

to the General Agreement / Service Agreement SAP

 

between

 

Fresenius Medical Care AG & Co. KGaA

Else-Kröner-Straße 1

D-61352 Bad Homburg

(„FME”)

 

and

 

Fresenius Netcare GmbH

Else-Kröner-Straße 1

D-61352 Bad Homburg

(„NETCARE”)

 

	
Current   status
    	
:
    	
22.01.2013
    
	
Last   printed
    	
:
    	
1/22/2013   4:22:00 PM
    
	
Version
    	
:
    	
1.0
    

 

1

 

Version

 

This Section ensures tracking of changes and thereby enhances the quality of the document. Each change has to be documented up to the final version. The next subversion will start from beginning.

 

New releases as a result of major reviews of the Service model will cause a higher number before the dot. Therefore all Service descriptions have the same release number at a certain time, starting with 1.x after initial release.

 

Updated versions as a result of general maintenance work will cause a higher number behind the dot, starting with .01, continuing with .02, .03 and so on.

 

This document may be updated regularly by the Service Management Units of the Parties. Changes to this document require the approval of the Steering Committee.

 

	
Vers.
    	
 
    	
Change
    	
 
    	
Section
    	
 
    	
Created by
    / When
    	
 
    	
Reviewed by
    / When
    	
 
    	
Approved by /
   When
    
	
1.0
    	
 
    	
Creation   of the document
    	
 
    	
all
    	
 
    	
FNC-ITSM   / 04.10.2012
    	
 
    	
FME-ITC   / 11.10.2012
    	
 
    	
Steering   Committee / 26.10.2012
    

 

Index

 

	
1.
    	
Description
    	
 
    	
3
    
	
 
    	
 
    	
 
    	
 
    
	
2.
    	
Operating Services
    	
 
    	
3
    
	
 
    	
 
    	
 
    	
 
    
	
3.
    	
SAP Application Services and SAP Support
    	
 
    	
4
    
	
 
    	
 
    	
 
    	
 
    
	
4.
    	
Term and Termination
    	
 
    	
4
    
	
 
    	
 
    	
 
    	
 
    
	
5.
    	
Signatures
    	
 
    	
5
    

 

2

 

1.  Description

 

System Family X11 ERP EMEA

 

The SAP ERP System Family X11 is the shared SAP System Family for Fresenius Medical Care, Fresenius Kabi and Fresenius SE for Europe, Middle East and Africa (EMEA).

 

In focus are the end-to-end processes using Modules like:

 

·      Finance

 

·      Controlling

 

·      Materials Management

 

·      Production Planning and Control

 

·      Plant Maintenance

 

·      Quality Management

 

·      Sales and Distribution

 

P11 allows the computerized handling of a variety of tasks within a business enterprise. P11 is configured and customized according to the needs of FME’s business. P11 is closely connected to the ELVIS warehouse management system P12, but also enabled for other warehouse management systems like SAP Warehouse Management. P11 has also integration into the majority of the other Fresenius SAP Systems by using in most cases SAP-PI operated interfaces.

 

If not otherwise agreed in this Service Level Agreement the Services with respect to this System Family shall be provided as defined in the Service Agreement SAP.

 

2.  Operating Services

 

	
System Family
    	
 
    	
X11 ERP EMEA
    
	
System Landscape
    	
 
    	
P11   (Production)
    
	
 
    	
C11   (Development)
    
	
 
    	
I11   (Integration)
    
	
 
    	
K11   (Test-System for dedicated projects)
    
	
Shared / Dedicated SAP Service
    	
 
    	
Shared
    
	
Operating Services per System
    	
 
    	
 
    
	
P11
    
	
Operating Time
    	
 
    	
included
    
	
Contractual Service Time
    	
 
    	
included
    
	
Availability (only valid for productive System)
    	
 
    	
included
    

 

3

 

	
System Family
    	
 
    	
X11 ERP EMEA
    
	
Server Hardware
    	
 
    	
Shared   Server Farm
    
	
SAPS
    	
 
    	
n.a.
    
	
Memory
    	
 
    	
n.a.
    
	
Storage
    	
 
    	
Mirrored   across 2 data center
    
	
Backup
    	
 
    	
Daily   backup; with retention period of 8 weeks
    
	
Databases
    	
 
    	
DB2
    
	
Response Time at Point of Delivery
    	
 
    	
1,4   sec in 90% of transactions
    
	
Maintenance times
    	
 
    	
included
    
	
C11, I11,   K11
    
	
Server Hardware
    	
 
    	
Shared   Server Farm
    
	
SAPS
    	
 
    	
n.a.
    
	
Memory
    	
 
    	
n.a.
    
	
Storage
    	
 
    	
Non-mirrored
    
	
Backup
    	
 
    	
Daily(C);   Weekly (I, K); retention period of 8 weeks
    
	
Databases
    	
 
    	
DB2
    

 

3.  SAP Application Services and SAP Support

 

	
SAP Application Services and SAP Support
    	
 
    	
 
    
	
Applicability of Maintenance Cycles
    	
 
    	
 
    
	
Maintenance Cycles
    	
 
    	
included
    
	
Policies / Security
    	
 
    	
 
    
	
ICFR / SOX relevant
    	
 
    	
Yes
    
	
GxP (Validation) relevant
    	
 
    	
Yes
    

 

4.   Term and Termination

 

The term of this SAP Service Level Agreement (the “Term”) shall commence on January 1, 2013 and shall extend to December 31, 2017. Thereafter, the SAP Service Level Agreement shall automatically renew by another period of five years unless one Party terminates the agreement by giving six months prior written notice to the end of the term. From then on the SAP Service Level Agreement will be extended automatically for successive one year periods unless one of the parties terminates this SAP Service Level Agreement by giving 6 months prior written notice to the expiration of the then current term.

 

4

 

5.   Signatures

 

	
Bad   Homburg,
    	
 
    	
Bad   Homburg, 08.05.2013
    
	
 
    	
 
    	
 
    
	
Fresenius   Medical Care AG & Co. KGaA represented by its General Partner
   Fresenius Medical Care Management AG, represented by
    	
 
    	
Fresenius   Netcare GmbH represented by
    
	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    
	
By:
    	
/s/   Rice Powell
    	
 
    	
By:
    	
/s/   Klaus Kieren
    
	
 
    	
Rice   Powell
    	
 
    	
 
    	
Klaus   Kieren
    
	
 
    	
Global   Chief Executive Officer and Chairman of the Management Board
    	
 
    	
 
    	
Chairman
    
	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    
	
By:
    	
/s/   Dr. Emanuele Gatti
    	
 
    	
By:
    	
/s/   Jurgen Kunze
    
	
 
    	
Dr.   Emanuele Gatti
    	
 
    	
 
    	
Jürgen   Kunze
    
	
 
    	
CEO   Europe, Latin America,
   Middle East and Africa
   Global Chief Strategist
    	
 
    	
 
    	
Vice   Chairman
    

 

5

 

	

    	
 
    	
 

    

 

SAP Service Level Agreement

X12 ELVIS

 

to the General Agreement / Service Agreement SAP

 

between

 

Fresenius Medical Care AG & Co. KGaA

Else-Kröner-Straße 1

D-61352 Bad Homburg

(„FME”)

 

and

 

Fresenius Netcare GmbH

Else-Kröner-Straße 1

D-61352 Bad Homburg

(„NETCARE”)

 

	
Current   status
    	
:
    	
22.01.2013
    
	
Last   printed
    	
:
    	
1/22/2013   4:17:00 PM
    
	
Version
    	
:
    	
1.0
    

 

1

 

Version

 

This Section ensures tracking of changes and thereby enhances the quality of the document. Each change has to be documented up to the final version. The next subversion will start from beginning.

 

New releases as a result of major reviews of the Service model will cause a higher number before the dot. Therefore all Service descriptions have the same release number at a certain time, starting with 1.x after initial release.

 

Updated versions as a result of general maintenance work will cause a higher number behind the dot, starting with .01, continuing with .02, .03 and so on.

 

This document may be updated regularly by the Service Management Units of the Parties. Changes to this document require the approval of the Steering Committee.

 

	
Vers.
    	
 
    	
Change
    	
 
    	
Section
    	
 
    	
Created by
    / When
    	
 
    	
Reviewed by
    / When
    	
 
    	
Approved by /
   When
    
	
1.0
    	
 
    	
Creation   of the document
    	
 
    	
all
    	
 
    	
FNC-ITSM   / 04.10.2012
    	
 
    	
FME-ITC   / 11.10.2012
    	
 
    	
Steering   Committee / 26.10.2012
    

 

Index

 

	
1.
    	
Description
    	
 
    	
2
    
	
 
    	
 
    	
 
    	
 
    
	
2.
    	
Operating Services
    	
 
    	
3
    
	
 
    	
 
    	
 
    	
 
    
	
3.
    	
SAP Application Services and SAP Support
    	
 
    	
3
    
	
 
    	
 
    	
 
    	
 
    
	
4.
    	
Term and Termination
    	
 
    	
4
    
	
 
    	
 
    	
 
    	
 
    
	
5.
    	
Signatures
    	
 
    	
5
    

 

1.  Description

 

System Family X12 ELVIS

 

ELVIS (acronym for Eigenentwickeltes Lagerverwaltungs- und Informationssystem) is a warehouse management and information system developed by NETCARE to complement the SAP ERP System environment by comprehensive warehouse management functionalities.

 

If not otherwise agreed in this Service Level Agreement the Services with respect to this System Family shall be provided as defined in the Service Agreement SAP.

 

2

 

2.   Operating Services

 

	
System Family
    	
 
    	
X12 ELVIS
    
	
System Landscape
    	
 
    	
P12   (Production)
    
	
 
    	
C12   (Development)
    
	
 
    	
I12   (Integration)
    
	
 
    	
K12   (Test-System for dedicated projects)
    
	
Shared / Dedicated SAP Service
    	
 
    	
Shared
    
	
Operating Services per System
    	
 
    	
 
    
	
P12
    
	
Operating Time
    	
 
    	
included
    
	
Contractual Service Time
    	
 
    	
included
    
	
Availability (only valid for productive System)
    	
 
    	
included
    
	
Server Hardware
    	
 
    	
Shared   Server Farm
    
	
SAPS
    	
 
    	
n.a.
    
	
Memory
    	
 
    	
n.a.
    
	
Storage
    	
 
    	
Mirrored   across 2 data center
    
	
Backup
    	
 
    	
Daily   backup; with retention period of 8 weeks
    
	
Databases
    	
 
    	
DB2
    
	
Response Time at Point of Delivery
    	
 
    	
1,4   sec in 90% of transactions
    
	
Maintenance times
    	
 
    	
included
    
	
C12, I12,   K12
    
	
Server Hardware
    	
 
    	
Shared   Server Farm
    
	
SAPS
    	
 
    	
n.a.
    
	
Memory
    	
 
    	
n.a.
    
	
Storage
    	
 
    	
Non-mirrored
    
	
Backup
    	
 
    	
Daily(C);   Weekly (I, K); retention period of 8 weeks
    
	
Databases
    	
 
    	
DB2
    

 

3.   SAP Application Services and SAP Support

 

	
SAP Application Services and SAP Support
    	
 
    	
 
    
	
Applicability of Maintenance Cycles
    	
 
    	
 
    
	
Maintenance Cycles
    	
 
    	
included
    
	
Policies / Security
    	
 
    	
 
    
	
ICFR / SOX relevant
    	
 
    	
Yes
    
	
GxP (Validation) relevant
    	
 
    	
Yes
    

 

3

 

4.   Term and Termination

 

The term of this SAP Service Level Agreement (the “Term”) shall commence on January 1, 2013 and shall extend to December 31, 2017. Thereafter, the SAP Service Level Agreement shall automatically renew by another period of five years unless one Party terminates the agreement by giving six months prior written notice to the end of the term. From then on the SAP Service Level Agreement will be extended automatically for successive one year periods unless one of the parties terminates this SAP Service Level Agreement by giving 6 months prior written notice to the expiration of the then current term.

 

4

 

5.   Signatures

 

	
Bad   Homburg,
    	
 
    	
Bad Homburg, 08.05.2013
    
	
 
    	
 
    	
 
    
	
Fresenius Medical Care AG & Co. KGaA represented by its General   Partner
   Fresenius Medical Care Management AG represented by
    	
 
    	
Fresenius Netcare GmbH represented by
    
	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    
	
By:
    	
/s/ Rice Powell
    	
 
    	
By:
    	
/s/ Klaus Kieren
    
	
 
    	
Rice Powell
    	
 
    	
 
    	
Klaus Kieren
    
	
 
    	
Global Chief Executive Officer and Chairman of the Management Board
    	
 
    	
 
    	
Chairman
    
	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    
	
By:
    	
/s/ Dr. Emanuele Gatti
    	
 
    	
By:
    	
/s/ Jurgen Kunze
    
	
 
    	
Dr. Emanuele Gatti
    	
 
    	
 
    	
Jürgen Kunze
    
	
 
    	
CEO Europe, Latin America,
   Middle East and Africa
   Global Chief Strategist
    	
 
    	
 
    	
Vice Chairman
    

 

5

 

	

    	
 
    	
 

    

 

SAP Service Level Agreement

X13 HCM

 

to the General Agreement / Service Agreement SAP

 

between

 

Fresenius Medical Care AG & Co. KGaA

Else-Kröner-Straße 1

D-61352 Bad Homburg

(„FME”)

 

and

 

Fresenius Netcare GmbH

Else-Kröner-Straße 1

D-61352 Bad Homburg

(„NETCARE”)

 

	
Current   status
    	
:
    	
22.01.2013
    
	
Last   printed
    	
:
    	
1/22/2013   4:19:00 PM
    
	
Version
    	
:
    	
1.0
    

 

1

 

Version

 

This Section ensures tracking of changes and thereby enhances the quality of the document. Each change has to be documented up to the final version. The next subversion will start from beginning.

 

New releases as a result of major reviews of the Service model will cause a higher number before the dot. Therefore all Service descriptions have the same release number at a certain time, starting with 1.x after initial release.

 

Updated versions as a result of general maintenance work will cause a higher number behind the dot, starting with .01, continuing with .02, .03 and so on.

 

This document may be updated regularly by the Service Management Units of the Parties. Changes to this document require the approval of the Steering Committee.

 

	
Vers.
    	
 
    	
Change
    	
 
    	
Section
    	
 
    	
Created by
    / When
    	
 
    	
Reviewed by
    / When
    	
 
    	
Approved by /
   When
    
	
1.0
    	
 
    	
Creation   of the document
    	
 
    	
all
    	
 
    	
FNC-ITSM   / 04.10.2012
    	
 
    	
FME-ITC   / 11.10.2012
    	
 
    	
Steering   Committee / 26.10.2012
    

 

	
Index
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    
	
1.
    	
Description
    	
 
    	
2
    
	
 
    	
 
    	
 
    	
 
    
	
2.
    	
Operating Services
    	
 
    	
3
    
	
 
    	
 
    	
 
    	
 
    
	
3.
    	
SAP Application Services and SAP Support
    	
 
    	
4
    
	
 
    	
 
    	
 
    	
 
    
	
4.
    	
Out-of-Scope Services
    	
 
    	
4
    
	
 
    	
 
    	
 
    	
 
    
	
5.
    	
Term and Termination
    	
 
    	
4
    
	
 
    	
 
    	
 
    	
 
    
	
6.
    	
Signatures
    	
 
    	
5
    

 

1.  Description

 

System Family X13 HCM

 

Human Resource Management System provides the Application bases which enables further optional Services in the area of human resource management including but not limited to: Payroll Service, Cost Planning, Time Management.

 

2

 

The Human Resource Management System is fully integrated with several other SAP Systems (finance, controlling, etc.).

 

If not otherwise agreed in this Service Level Agreement the Services with respect to this System Family shall be provided as defined in the Service Agreement SAP.

 

2.  Operating Services

 

	
System Family
    	
 
    	
X13 HCM
    
	
System Landscape
    	
 
    	
P13   (Production)
    
	
 
    	
C13   (Development)
    
	
 
    	
I13   (Integration)
    
	
 
    	
K13   (Test-System for dedicated projects)
    
	
Shared / Dedicated SAP Service
    	
 
    	
Shared
    
	
Operating Services per System
    	
 
    	
 
    
	
P13
    
	
Operating Time
    	
 
    	
included
    
	
Contractual Service Time
    	
 
    	
included
    
	
Availability (only valid for productive System)
    	
 
    	
included
    
	
Server Hardware
    	
 
    	
Shared   Server Farm
    
	
SAPS
    	
 
    	
n.a.
    
	
Memory
    	
 
    	
n.a.
    
	
Storage
    	
 
    	
Mirrored   across 2 data center
    
	
Backup
    	
 
    	
Daily   backup; with retention period of 8 weeks
    
	
Databases
    	
 
    	
DB2
    
	
Response Time at Point of Delivery
    	
 
    	
1,4   sec in 90% of transactions
    
	
Maintenance times
    	
 
    	
included
    
	
C13, I13,   K13
    
	
Server Hardware
    	
 
    	
Shared   Server Farm
    
	
SAPS
    	
 
    	
n.a.
    
	
Memory
    	
 
    	
n.a.
    
	
Storage
    	
 
    	
Non-mirrored
    
	
Backup
    	
 
    	
Daily(C);   Weekly (I, K); retention period of 8 weeks
    
	
Databases
    	
 
    	
DB2
    

 

3

 

3.  SAP Application Services and SAP Support

 

	
SAP Application Services and SAP Support
    	
 
    	
 
    
	
Applicability of Maintenance Cycles
    	
 
    	
 
    
	
Maintenance Cycles
    	
 
    	
n.a.
    
	
Policies / Security
    	
 
    	
 
    
	
ICFR / SOX relevant
    	
 
    	
Yes
    
	
GxP (Validation) relevant
    	
 
    	
Yes
    

 

4.  Out-of-Scope Services

 

The following HCM Services are not in scope of this Service Level Agreement:

 

·      HCM Personnel Cost Planning

 

·      HCM Time Management

 

·      HCM Personnel Allocation Planning

 

·      HCM XTIME

 

·      HCM Payroll

 

·      HCM Payroll Clinics

 

·      HCM Learning Management

 

5.  Term and Termination

 

The term of this SAP Service Level Agreement (the “Term”) shall commence on January 1, 2013 and shall extend to December 31, 2017. Thereafter, the SAP Service Level Agreement shall automatically renew by another period of five years unless one Party terminates the agreement by giving six months prior written notice to the end of the term. From then on the SAP Service Level Agreement will be extended automatically for successive one year periods unless one of the parties terminates this SAP Service Level Agreement by giving 6 months prior written notice to the expiration of the then current term.

 

4

 

6.  Signatures

 

	
Bad Homburg,
    	
 
    	
Bad Homburg, 08.05.2013
    
	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    
	
Fresenius   Medical Care AG & Co. KGaA represented by its General Partner
    	
 
    	
Fresenius   Netcare GmbH represented by
    
	
Fresenius   Medical Care Management AG, represented by
    	
 
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    
	
By:
    	
/s/   Rice Powell
    	
 
    	
By:
    	
/s/   Klaus Kieren
    
	
 
    	
Rice   Powell
    	
 
    	
 
    	
Klaus Kieren
    
	
 
    	
Global   Chief Executive Officer and Chairman of the Management Board
    	
 
    	
 
    	
Chairman
    
	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    
	
By:
    	
/s/ Dr.   Emanuele Gatti
    	
 
    	
By:
    	
/s/ Jurgen   Kunze
    
	
 
    	
Dr. Emanuele Gatti
    	
 
    	
 
    	
Jürgen   Kunze
    
	
 
    	
CEO   Europe, Latin America,
   Middle East and Africa
   Global Chief Strategist
    	
 
    	
 
    	
Vice Chairman
    

 

5

 

	

    	
 
    	
 

    

 

SAP Service Level Agreement

X22 ERP LA

 

to the General Agreement / Service Agreement SAP

 

between

 

Fresenius Medical Care AG & Co. KGaA

Else-Kröner-Straße 1

D-61352 Bad Homburg

(„FME”)

 

and

 

Fresenius Netcare GmbH

Else-Kröner-Straße 1

D-61352 Bad Homburg

(„NETCARE”)

 

	
Status
    	
:
    	
22.01.2013
    
	
Last   printed
    	
:
    	
1/22/2013   5:23:00 PM
    
	
Version
    	
:
    	
1.0
    

 

1

 

Version

 

This Section ensures tracking of changes and thereby enhances the quality of the document. Each change has to be documented up to the final version. The next subversion will start from beginning.

 

New releases as a result of major reviews of the Service model will cause a higher number before the dot. Therefore all Service descriptions have the same release number at a certain time, starting with 1.x after initial release.

 

Updated versions as a result of general maintenance work will cause a higher number behind the dot, starting with .01, continuing with .02, .03 and so on.

 

This  document  may be  updated  regularly by the  Service  Management  Units  of  the Parties. Changes to this document require the approval of the Steering Committee.

 

	
Vers.
    	
 
    	
Change
    	
 
    	
Section
    	
 
    	
Created by
    / When
    	
 
    	
Reviewed by
    / When
    	
 
    	
Approved by /
   When
    
	
1.0
    	
 
    	
Creation   of the document
    	
 
    	
all
    	
 
    	
FNC-ITSM   / 04.10.2012
    	
 
    	
FME-ITC   / 11.10.2012
    	
 
    	
Steering   Committee / 26.10.2012
    

 

Index

 

	
1.
    	
Description
    	
 
    	
2
    
	
 
    	
 
    	
 
    	
 
    
	
2.
    	
Operating Services
    	
 
    	
3
    
	
 
    	
 
    	
 
    	
 
    
	
3.
    	
SAP Application Services and SAP Support
    	
 
    	
4
    
	
 
    	
 
    	
 
    	
 
    
	
4.
    	
Term and Termination
    	
 
    	
4
    
	
 
    	
 
    	
 
    	
 
    
	
5.
    	
Signatures
    	
 
    	
5
    

 

1.  Description

 

System Family X22 ERP LA

 

The SAP ERP System P22 is the shared SAP System for Fresenius Medical Care and Fresenius Kabi for Latin America (LA).

 

In focus are the end-to-end processes using Modules like:

 

·                  Finance

 

·                  Controlling

 

·                  Materials Management

 

2

 

·                  Production Planning and Control

 

·                  Plant Maintenance

 

·                  Quality Management

 

·                  Sales and Distribution

 

P22 allows the computerized handling of a variety of tasks within a business enterprise. P22 is configured and customized according to the needs of FME’s business. P22 uses integrated warehouse management functionality. P22 has also integration to other Fresenius SAP Systems by using in most cases SAP-PI operated interfaces.

 

If not otherwise agreed in this Service Level Agreement the Services with respect to this System Family shall be provided as defined in the Service Agreement SAP.

 

2.  Operating Services

 

	
System Family
    	
 
    	
X22 ERP LA
    
	
System Landscape
    	
 
    	
P22   (Production)
   C22 (Development)
   I22 (Integration)
   K22 (Test-System for dedicated projects)
    
	
Shared / Dedicated SAP Service
    	
 
    	
Shared
    
	
Operating Services per System
    	
 
    	
 
    
	
P22
    
	
Operating Time
    	
 
    	
Included
    
	
Contractual Service Time
    	
 
    	
The   Contractual Service Times for the Latin America System Family shall be Monday   through Friday 09:00 to 01:00 (of the following day) CET.
    
	
Availability (only valid for productive System)
    	
 
    	
Included
    
	
Server Hardware
    	
 
    	
Shared   Server Farm
    
	
SAPS
    	
 
    	
n.a.
    
	
Memory
    	
 
    	
n.a.
    
	
Storage
    	
 
    	
Mirrored   across 2 data center
    
	
Backup
    	
 
    	
Daily   backup; with retention period of 8 weeks
    
	
Databases
    	
 
    	
DB2
    
	
Response Time at Point of Delivery
    	
 
    	
1,4   sec in 90% of transactions
    
	
Maintenance times
    	
 
    	
The   Latin America System Family shall be available 7x24h minus the agreed upon   maintenance times on Saturday, 08:00 until 12:00 and 22:00 to 02:00 CET,   Sunday, 08:00 until 14:00 and 14:00 to 20:00 CET.
    
	
C22, I22,   K22
    
	
Server Hardware
    	
 
    	
Shared   Server Farm
    
	
SAPS
    	
 
    	
n.a.
    

 

3

 

	
System Family
    	
 
    	
X22 ERP LA
    
	
Memory
    	
 
    	
n.a.
    
	
Storage
    	
 
    	
Non-mirrored
    
	
Backup
    	
 
    	
Daily(C);   Weekly (I, K); retention period of 8 weeks
    
	
Databases
    	
 
    	
DB2
    

 

3.  SAP Application Services and SAP Support

 

	
SAP Application Services and SAP Support
    	
 
    	
 
    
	
Applicability of Maintenance Cycles
    	
 
    	
 
    
	
Maintenance Cycles
    	
 
    	
n.a.
    
	
Policies / Security
    	
 
    	
 
    
	
ICFR / SOX relevant
    	
 
    	
Yes
    
	
GxP (Validation) relevant
    	
 
    	
Yes
    

 

4.  Term and Termination

 

The term of this SAP Service Level Agreement (the “Term”) shall commence on January 1, 2013 and shall extend to December 31, 2017. Thereafter, the SAP Service Level Agreement shall automatically renew by another period of five years unless one Party terminates the agreement by giving six months prior written notice to the end of the term. From then on the SAP Service Level Agreement will be extended automatically for successive one year periods unless one of the parties terminates this SAP Service Level Agreement by giving 6 months prior written notice to the expiration of the then current term.

 

4

 

5.  Signatures

 

	
Bad Homburg,
    	
 
    	
Bad Homburg, 08.05.2013
    
	
 
    	
 
    	
 
    
	
Fresenius   Medical Care AG & Co. KGaA represented by its General Partner Fresenius   Medical Care Management AG, represented by
    	
 
    	
Fresenius   Netcare GmbH represented by
    
	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    
	
By:
    	
/s/   Rice Powell
    	
 
    	
By:
    	
/s/   Klaus Kieren
    
	
 
    	
Rice   Powell
    	
 
    	
 
    	
Klaus   Kieren
    
	
 
    	
Global   Chief Executive Officer and Chairman of the Management Board
    	
 
    	
 
    	
Chairman
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
By:
    	
/s/   Dr. Emanuele Gatti
    	
 
    	
By:
    	
/s/   Jurgen Kunze
    
	
 
    	
Dr.   Emanuele Gatti
    	
 
    	
 
    	
Jürgen   Kunze
    
	
 
    	
CEO   Europe, Latin America,
   Middle East and Africa
   Global Chief Strategist
    	
 
    	
 
    	
Vice   Chairman
    

 

5

 

	

    	

    

 

SAP Service Level Agreement

 

X29 SEM

 

to the General Agreement / Service Agreement SAP

 

between

 

Fresenius Medical Care AG & Co. KGaA

Else-Kröner-Straße 1

D-61352 Bad Homburg

(„FME”)

and

 

Fresenius Netcare GmbH

Else-Kröner-Straße 1

D-61352 Bad Homburg

(„NETCARE”)

 

	
Current status
    	
:
    	
22.01.2013
    
	
 
    	
 
    	
 
    
	
Last printed
    	
:
    	
1/22/2013   4:28:00 PM
    
	
 
    	
 
    	
 
    
	
Version
    	
:
    	
1.0
    

 

1

 

Version

 

This Section ensures tracking of changes and thereby enhances the quality of the document. Each change has to be documented up to the final version. The next subversion will start from beginning.

 

New releases as a result of major reviews of the Service model will cause a higher number before the dot. Therefore all Service descriptions have the same release number at a certain time, starting with 1.x after initial release.

 

Updated versions as a result of general maintenance work will cause a higher number behind the dot, starting with .01, continuing with .02, .03 and so on.

 

This document may be updated regularly by the Service Management Units of the Parties. Changes to this document require the approval of the Steering Committee.

 

	
Vers.
    	
 
    	
Change
    	
 
    	
Section
    	
 
    	
Created by
    / When
    	
 
    	
Reviewed by
    / When
    	
 
    	
Approved by /
   When
    
	
1.0
    	
 
    	
Creation   of the document
    	
 
    	
all
    	
 
    	
FNC-ITSM   / 04.10.2012
    	
 
    	
FME-ITC   / 11.10.2012
    	
 
    	
Steering   Committee / 26.10.2012
    

 

Index

 

	
1. Description
    	
2
    
	
 
    	
 
    
	
2. Operating Services
    	
3
    
	
 
    	
 
    
	
3. SAP Application Services and SAP Support
    	
4
    
	
 
    	
 
    
	
4. Term and Termination
    	
5
    
	
 
    	
 
    
	
5. Signatures
    	
6
    

 

1.              Description

 

System Family X29 Strategic Enterprise Management

 

This Application supports legal and management consolidation processes in large enterprises, based on various GAAPs, like local GAAPs, US GAAP and IFRS.

 

FME is using the SEM component BCS which is specifically customized for the needs of FME. This component will be used for legal and management consolidation, reporting and planning. (“SEM-BCS”).

 

If not otherwise agreed in this Service Level Agreement the Services with respect to this System Family shall be provided as defined in the Service Agreement SAP.

 

2

 

2.              Operating Services

 

	
System Family
    	
 
    	
X29 SEM
    
	
System Landscape
    	
 
    	
P29   (Production)
   C29 (Development)
   I29 (Integration)
   K29 (Test-System for dedicated projects)
    
	
Shared / Dedicated SAP Service
    	
 
    	
Shared
    
	
Operating Services per System
    	
 
    	
 
    
	
P29
    
	
Operating Time
    	
 
    	
included
    
	
Contractual Service Time
    	
 
    	
included
    
	
Extended Contractual Service Time
    	
 
    	
The   Extended Contractual Service Times shall apply to the closing phases described   in Extended Service Schedule. The Extended Service shall not exceed 50 days   per year.
    
	
Availability
    	
 
    	
included
    
	
Server Hardware
    	
 
    	
Shared   Server Farm
    
	
SAPS
    	
 
    	
n.a.
    
	
Memory
    	
 
    	
n.a.
    
	
Storage
    	
 
    	
Mirrored   across 2 data center
    
	
Backup
    	
 
    	
Daily   backup; with retention period of 8 weeks
    
	
Databases
    	
 
    	
DB2
    
	
Maintenance times
    	
 
    	
included
    
	
C29, I29, K29
    
	
Server Hardware
    	
 
    	
Shared   Server Farm
    
	
SAPS
    	
 
    	
n.a.
    
	
Memory
    	
 
    	
n.a.
    
	
Storage
    	
 
    	
Non-mirrored
    
	
Backup
    	
 
    	
Daily(C);   Weekly (I, K); retention period of 8 weeks
    
	
Databases
    	
 
    	
DB2
    

 

The Response Time shall be measured and monitored by NETCARE on a regular monthly basis. Without FME’s request required, NETCARE shall report such measured Response Time of the previous calendar month before the fifth working day to FME.

 

In case the determined KPIs will be exceeded significantly by the regular measured Response Time NETCARE shall immediately perform a root cause analysis, shall discuss the results of such analysis with FME and shall undertake to optimize the performance of the Systems if reasonable necessary.

 

3

 

In any case such optimization of the performance will require changes of the System (e.g. new hardware or significant hardware extensions) FME and NETCARE will mutually decide about the realization of such changes by separate Agreement.

 

For the determination of the KPI’s and the measurement of the Response Time the reports and also the selections of the parameters as defined in hereunder

 

NETCARE and FME agree to evaluate biannually the performance of the Application based on the measured Response Time. On basis of this evaluation both Parties may agree jointly on new KPIs to grant a continuous improvement of the performance of the Application.

 

For the period after implementation of new functionalities, in particular ABAPprograms developed by NETCARE, a grace period shall be agreed upon between the parties.

 

Reports and selected parameters for the determination of KPIs:

 

FBCSM PL BY COUNTRY 2009 NEVV

FBCSM MF PLANUNG_V2

FBCSLDC INVENTORYAFF F3

FBCSLCF CHANGE IN INVENTORIES

FBCSMCTFL PL GM SGA ACT

FBCSMCTFL SU HDPDSALES FLASH

 

3.              SAP Application Services and SAP Support

 

	
SAP Application Services and SAP Support
    	
 
    	
 
    
	
Applicability of Maintenance   Cycles
    	
 
    	
 
    
	
Maintenance Cycles
    	
 
    	
n.a.
    
	
Policies / Security
    	
 
    	
 
    
	
ICFR / SOX relevant
    	
 
    	
Yes
    
	
GxP (Validation) relevant
    	
 
    	
No
    
	
Support-Services: (Production)
    	
 
    	
 
    
	
Reaction Times
    	
 
    	
· During the   closing phases:

without   undue delay

· During   preclosing phases:

two   hours

· all other   days:

one   business day

 

The   Application Support is based on the limited capacities of the   SEM-Support-Group and priorities.
    

 

4

 

Furthermore NETCARE hereby offers Application Support on weekends upon FME’s request against separate remuneration. The request will have to be confirmed by FME latest on Thursday 04.00 pm to get effective for the following weekend. The reaction time for such Application Support shall be one hour.

 

4.              Term and Termination

 

The term of this SAP Service Level Agreement (the “Term”) shall commence on January 1, 2013. The Term shall be one year and shall expire on December 31, 2013. Thereafter, this SAP Service Level Agreement shall automatically extend by one year renewal periods, unless one of the parties terminates the agreement by giving six months prior written notice.

 

5

 

	
5.              Signatures
    	
 
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    
	
Bad   Homburg,
    	
 
    	
 
    	
Bad   Homburg, 08.05.2013
    
	
 
    	
 
    	
 
    
	
Fresenius   Medical Care AG & Co. KGaA represented by its General Partner Fresenius   Medical Care Management AG, represented by
    	
 
    	
Fresenius   Netcare GmbH represented by
    
	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    
	
By:
    	
/s/   Rice Powell
    	
 
    	
By:
    	
/s/   Klaus Kieren
    
	
 
    	
Rice   Powell
    	
 
    	
 
    	
Klaus   Kieren
    
	
 
    	
Global   Chief Executive Officer and Chairman of the Management Board
    	
 
    	
 
    	
Chairman
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
By:
    	
/s/   Dr. Emanuele Gatti
    	
 
    	
By:
    	
/s/   Jurgen Kunze
    
	
 
    	
Dr. Emanuele   Gatti
    	
 
    	
 
    	
Jürgen   Kunze
    
	
 
    	
CEO   Europe, Latin America,
   Middle East and Africa
   Global Chief Strategist
    	
 
    	
 
    	
Vice   Chairman
    
						

 

6

 

	

    	
 
    	

    

 

SAP Price List for Fresenius Medical Care 

to the Service Agrement SAP 

between

 

Fresenius Medical Care AG & Co. KGaA

 

and

 

Fresenius Netcare GmbH

 

General Agreement 2013

 

 

SAP Price List for Fresenius Medical Care

Price Overview 2013

 

	
System Family
    	
 
    	
X11 ERP EMEA
    	
 
    	
X12 Elvis
    	
 
    	
X13 HCM
    
	
Duration
    	
 
    	
01.01.2013   - 31.12.2017 and (if not terminated according to Sec. 4 of the respective   SLA)

01.01.2018   - 31.12.2013
    	
 
    	
01.01.2013   - 31.12.2017 and (if not terminated according to Sec. 4 of the respective   SLA)

01.01.2018   - 31.12.2013
    	
 
    	
01.01.2013   - 31.12.2017 and (if not terminated according to Sec. 5 of the respective   SLA)

01.01.2018   - 31.12.2013
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Support   Services remuneration:
    	
 
    	
Base   2013 (see next worksheet: SAP Remuneration 2013-2022)
    	
 
    	
Base   2013 (see next worksheet: SAP Remuneration 2013-2022)
    	
 
    	
Base   2013 (see next worksheet: SAP Remuneration 2013-2022)
    
	
named   User based
    	
 
    	
Yes
    	
 
    	
Yes
    	
 
    	
No
    
	
supported   User type:
    	
 
    	
n.a.
    	
 
    	
n.a.
    	
 
    	
n.a.
    
	
User   fee [per year]
    	
 
    	
n.a.
    	
 
    	
n.a.
    	
 
    	
n.a.
    
	
SAP   Support Professional [per year]
    	
 
    	
2.452,00 €
    	
 
    	
2.452,00 €
    	
 
    	
2.452,00 €
    
	
SAP   Support limited Professional [per year]
    	
 
    	
934,00 €
    	
 
    	
934,00 €
    	
 
    	
934,00 €
    
	
SAP   Support SRM [per year]
    	
 
    	
n.a.
    	
 
    	
n.a.
    	
 
    	
n.a.
    
	
SAP   Support light (Latin America only) [per year]
    	
 
    	
n.a.
    	
 
    	
n.a.
    	
 
    	
n.a.
    
	
SAP   Support Base [per year]
    	
 
    	
n.a.
    	
 
    	
953,00 €
    	
 
    	
n.a.
    
	
SAP   Support Handheld [per year]
    	
 
    	
934,00 €
    	
 
    	
934,00 €
    	
 
    	
934,00 €
    
	
SAP   Support Elvis Mobile [per year]
    	
 
    	
n.a.
    	
 
    	
953,00 €
    	
 
    	
n.a.
    
	
time   and material base [per year]
    	
 
    	
n.a.
    	
 
    	
n.a.
    	
 
    	
Yes,   partly (Incidents on T&M base)
    
	
7*24   global support fee [per year]
    	
 
    	
n.a.
    	
 
    	
n.a.
    	
 
    	
n.a.
    
	
lump   sum [per year]
    	
 
    	
n.a.
    	
 
    	
n.a.
    	
 
    	
n.a.
    
	
SAP   Maintenance [per year]
    	
 
    	
User   based licensing as described in the Service Agreement SAP and priced in the   FME Price List
    	
 
    	
User   based licensing as described in the Service Agreement SAP and priced in the   FME Price List
    	
 
    	
User   based licensing as described in the Service Agreement SAP and priced in the   FME Price List
    
	
Stipulation   for Application Upgrade
    	
 
    	
Included max. one implementation of Enhancement Package or Support   Package per year.

Annual contingent of 0,2 person days per user for EHP Upgrades is   already considered in the Support remuneration.

The real EHP Upgrade effort will be balanced within this contingent.   Reimbursement may happen if no EHP Upgrade takes place or the assumed   contingent is not fully needed.
    	
 
    	
Included max. one implementation of Enhancement Package or Support   Package per year.

Annual contingent of 0,2 person days per user for EHP Upgrades is   already considered in the Support remuneration.

The real EHP Upgrade effort will be balanced within this contingent.   Reimbursement may happen if no EHP Upgrade takes place or the assumed   contingent is not fully needed.
    	
 
    	
EHP Upgrade: charged separately (T&M) Support Package (max   4/year) : included Legal change Packages:

not part of this Service
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
DataCenter   Services remuneration:
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
named   User based
    	
 
    	
Synthetic   measuring of CPU usage
    	
 
    	
Synthetic   measuring of CPU usage
    	
 
    	
Synthetic   measuring of CPU usage
    
	
CPU   Usage [EUR per hour]
    	
 
    	
28,94   € (see next worksheet: SAP

Remuneration   2013-2022)
    	
 
    	
28,94   € (see next worksheet: SAP

Remuneration   2013-2022)
    	
 
    	
28,94   € (see next worksheet: SAP

Remuneration   2013-2022)
    
	
lump   sum [EUR per year]
    	
 
    	
n.a.
    	
 
    	
n.a.
    	
 
    	
n.a.
    
	
User   based [EUR per user and year]
    	
 
    	
n.a.
    	
 
    	
n.a.
    	
 
    	
n.a.
    
	
Increase   of Storage

[EUR   per 10 GB / year]
    	
 
    	
n.a.
    	
 
    	
n.a.
    	
 
    	
n.a.
    
	
Technical   Basis Support
    	
 
    	
n.a.
    	
 
    	
n.a.
    	
 
    	
n.a.
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Additional   price information regarding

DataCenter   Services for the inSITE Program, not yet covered by the SAP Service Level   Agreements under the Annex SAP
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Systems
    	
 
    	
E11   (ERP Template DEV) 13.080 €
    	
 
    	
J12   (ELVIS Template TEST) 27.840,- €
    	
 
    	
 
    
	
 
    	
 
    	
J11   (ERP Template TEST) 70.440,- €
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
X11   (New GL) 50.040,- €
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
S11   (Sandbox) 13.080,- €
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
M11   (TREX E11) 5.760,- €
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
N11   (TREX J11) 5.760,- €
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
O11   (TREX K11) 5.760,- €
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
U11   (TREX C11) 5.760,- €
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
V11   (TREX I11) 5.760,- €
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
W11   (TREX P11) 5.760,- €
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
L11   (ERP Training)
    	
 
    	
 
    	
 
    	
 
    
	
Penalty:   (productive System)
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
System   Operation
    	
 
    	
(99%   - Availability) * 5 * fees paid for CPU- usage in the month at question (* =   multiplied by)
    	
 
    	
(99%   - Availability) * 5 * fees paid for CPU-usage in the month at question (* =   multiplied by)
    	
 
    	
(99%   - Availability) * 5 * fees paid for CPU-usage in the month at question (* =   multiplied by)
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
Such   credit shall not exceed 15 % of the monthly fees payable to NETCARE for CPU   consumption. FME shall be entitled to set-off credits against future   payments.
    	
 
    	
Such   credit shall not exceed 15 % of the monthly fees payable to NETCARE for CPU   consumption. FME shall be entitled to set-off credits against future   payments.
    	
 
    	
Such   credit shall not exceed 15 % of the monthly fees payable to NETCARE for CPU   consumption. FME shall be entitled to set-off credits against future   payments.
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
Support   Operation
    	
 
    	
For   each full percentage-point below the 75% level, 1 % of the respective charge   for SAP- Support shall be deducted based on the month and the users within   the scope of measurement (to be defined in detail by the Steering Committee).   Excluded are time frames with priority 1 system failures.
    	
 
    	
For   each full percentage-point below the 75% level, 1 % of the respective charge   for SAP-Support shall be deducted based on the month and the users within the   scope of measurement (to be defined in detail by the Steering Committee).   Excluded are time frames with priority 1 system failures.
    	
 
    	
For   each full percentage-point below the 75% level, 1 % of the respective charge   for SAP- Support shall be deducted based on the month and the users within   the scope of measurement (to be defined in detail by the Steering Committee).   Excluded are time frames with priority 1 system failures.
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
The   total reduction will be limited to 15 % of the monthly contractual fees   payable
    	
 
    	
The   total reduction will be limited to 15 % of the monthly contractual fees   payable
    	
 
    	
The   total reduction will be limited to 15 % of the monthly contractual fees   payable
    

 

1

 

SAP Price List for Fresenius Medical Care

Price Overview 2013

 

	
System Family
    	
 
    	
X22 ERP LA
    	
 
    	
X29 SEM
    
	
Duration
    	
 
    	
01.01.2013   - 31.12.2017 and (if not terminated according to Sec. 4 of the respective   SLA)

01.01.2018   - 31.12.2013
    	
 
    	
01.01.2013   - 31.12.2013
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
Support   Services remuneration:
    	
 
    	
Base   2013 (see next worksheet: SAP Remuneration 2013-2022)
    	
 
    	
Base   2013
    
	
named   User based 
    	
 
    	
Yes
    	
 
    	
Yes
    
	
supported   User type:
    	
 
    	
n.a.
    	
 
    	
n.a.
    
	
User   fee [per year]
    	
 
    	
n.a.
    	
 
    	
n.a.
    
	
SAP   Support Professional [per year]
    	
 
    	
1.909,00 €
    	
 
    	
n.a.
    
	
SAP   Support limited Professional [per year]
    	
 
    	
934,00 €
    	
 
    	
n.a.
    
	
SAP   Support SRM [per year]
    	
 
    	
n.a.
    	
 
    	
n.a.
    
	
SAP   Support light (Latin America only) [per year]
    	
 
    	
636,00 €
    	
 
    	
n.a.
    
	
SAP   Support Base [per year]
    	
 
    	
n.a.
    	
 
    	
n.a.
    
	
SAP   Support Handheld [per year]
    	
 
    	
934,00 €
    	
 
    	
n.a.
    
	
SAP   Support Elvis Mobile [per year]
    	
 
    	
n.a.
    	
 
    	
n.a.
    
	
time   and material base [per year]
    	
 
    	
n.a.
    	
 
    	
n.a.
    
	
7*24   global support fee [per year]
    	
 
    	
n.a.
    	
 
    	
n.a.
    
	
lump   sum [per year]
    	
 
    	
n.a.
    	
 
    	
158.728,68 €
    
	
SAP   Maintenance [per year]
    	
 
    	
User   based licensing as described in the Service Agreement SAP and priced in the   FME Price List
    	
 
    	
 
    
	
Stipulation   for Application Upgrade
    	
 
    	
Included max. one implementation of Enhancement Package or Support   Package per year.

Annual contingent of 0,2 person days per user for EHP Upgrades is   already considered in the Support remuneration.

The real EHP Upgrade effort will be balanced within this contingent.   Reimbursement may happen if no EHP Upgrade takes place or the assumed   contingent is not fully needed.
    	
 
    	
Included max. one implementation of Enhancement Package or Support   Package per year
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
DataCenter Services remuneration:
    	
 
    	
 
    	
 
    	
 
    
	
named   User based
    	
 
    	
Synthetic   measuring of CPU usage
    	
 
    	
n.a.
    
	
CPU   Usage [EUR per hour]
    	
 
    	
28,94   € (see next worksheet: SAP Remuneration 2013-2022)
    	
 
    	
n.a.
    
	
lump   sum [EUR per year]
    	
 
    	
n.a.
    	
 
    	
46.475,04 €
    
	
User   based [EUR per user and year]
    	
 
    	
n.a.
    	
 
    	
n.a.
    
	
Increase   of Storage [EUR per 10 GB / year]
    	
 
    	
n.a.
    	
 
    	
n.a.
    
	
Technical   Basis Support
    	
 
    	
n.a.
    	
 
    	
n.a.
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
Additional   price information regarding DataCenter Services for the inSITE Program, not   yet covered by the SAP Service Level Agreements under the Annex SAP
    	
 
    	
 
    	
 
    	
 
    
	
Systems
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
Penalty:  (productive  System)
    	
 
    	
 
    	
 
    	
 
    
	
System   Operation
    	
 
    	
(99%   - Availability) * 5 * fees paid for CPU-usage in the month at question (* =   multiplied by)
    	
 
    	
(99%   - Availability) * 5 * fees paid for CPU-usage in the month at question (* =   multiplied by)
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
Such   credit shall not exceed 15 % of the monthly fees payable to NETCARE for CPU   consumption. FME shall be entitled to set-off credits against future   payments.
    	
 
    	
Such   credit shall not exceed 30 % of the monthly fees payable to NETCARE for CPU   consumption. FME shall be entitled to set-off credits against future   payments.
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
Support   Operation
    	
 
    	
For   each full percentage-point below the 75% level, 1 % of the respective charge   for SAP-Support shall be deducted based on the month and the users within the   scope of measurement (to be defined in detail by the Steering Committee).  Excluded are time frames with priority 1   system failures.
    	
 
    	
If   the SEM Support Group fails to comply with the reaction times specified,   NETCARE shall pay EUR 1000,00 € to FME as penalty for each case, however, not   more than 3000,00 € per calendar month.
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
The   total reduction will be limited to 15 % of the monthly contractual fees   payable
    	
 
    	
 
    

 

2

 

SAP Price List for Fresenius Medical Care

Price Overview 2013-2022

 

CPU Usage:

 

	
SAP productive System:
    	
P11,   P12, P13, P22
    

 

	
Year
    	
 
    	
2013
    	
 
    	
2014
    	
 
    	
2015
    	
 
    	
2016
    	
 
    	
2017
    	
 
    	
2018
    	
 
    	
2019
    	
 
    	
2020
    	
 
    	
2021
    	
 
    	
2022
    	
 
    
	
€   per
   CPU/h
    	
 
    	
28,94 €
    	
 
    	
28,07 €
    	
 
    	
27,23 €
    	
 
    	
26,41 €
    	
 
    	
25,62 €
    	
 
    	
24,85 €
    	
 
    	
24,10 €
    	
 
    	
23,38 €
    	
 
    	
22,68 €
    	
 
    	
22,00 €
    	
 
    

 

	
Usertypes - Application Support Fee:
    	
P11,   P12, P13
    

 

	
Usertype / Year
    	
 
    	
2013
    	
 
    	
2014
    	
 
    	
2015
    	
 
    	
2016
    	
 
    	
2017
    	
 
    	
2018
    	
 
    	
2019
    	
 
    	
2020
    	
 
    	
2021
    	
 
    	
2022
    	
 
    
	
SAP   Support Professional
    	
 
    	
2.452,00 €
    	
 
    	
2.501,00 €
    	
 
    	
2.551,00 €
    	
 
    	
2.602,00 €
    	
 
    	
2.654,00 €
    	
 
    	
2.654,00 €
    	
 
    	
2.654,00 €
    	
 
    	
2.707,00 €
    	
 
    	
2.761,00 €
    	
 
    	
2.817,00 €
    	
 
    
	
SAP   Support limited Professional
    	
 
    	
934,00 €
    	
 
    	
953,00 €
    	
 
    	
972,00 €
    	
 
    	
992,00 €
    	
 
    	
1.011,00 €
    	
 
    	
1.011,00 €
    	
 
    	
1.011,00 €
    	
 
    	
1.032,00 €
    	
 
    	
1.052,00 €
    	
 
    	
1.073,00 €
    	
 
    
	
SAP   Support EBP
    	
 
    	
61,00 €
    	
 
    	
62,00 €
    	
 
    	
64,00 €
    	
 
    	
65,00 €
    	
 
    	
66,00 €
    	
 
    	
66,00 €
    	
 
    	
66,00 €
    	
 
    	
68,00 €
    	
 
    	
69,00 €
    	
 
    	
70,00 €
    	
 
    
	
SAP   Support LIGHT
    	
 
    	
636,00 €
    	
 
    	
649,00 €
    	
 
    	
662,00 €
    	
 
    	
675,00 €
    	
 
    	
689,00 €
    	
 
    	
689,00 €
    	
 
    	
689,00 €
    	
 
    	
703,00 €
    	
 
    	
717,00 €
    	
 
    	
731,00 €
    	
 
    
	
SAP   Support Base
    	
 
    	
953,00 €
    	
 
    	
972,00 €
    	
 
    	
992,00 €
    	
 
    	
1.011,00 €
    	
 
    	
1.032,00 €
    	
 
    	
1.032,00 €
    	
 
    	
1.032,00 €
    	
 
    	
1.052,00 €
    	
 
    	
1.073,00 €
    	
 
    	
1.095,00 €
    	
 
    
	
SAP   Support Handheld
    	
 
    	
934,00 €
    	
 
    	
953,00 €
    	
 
    	
972,00 €
    	
 
    	
992,00 €
    	
 
    	
1.011,00 €
    	
 
    	
1.011,00 €
    	
 
    	
1.011,00 €
    	
 
    	
1.032,00 €
    	
 
    	
1.052,00 €
    	
 
    	
1.073,00 €
    	
 
    
	
SAP   Support Elvis Mobile
    	
 
    	
953,00 €
    	
 
    	
972,00 €
    	
 
    	
992,00 €
    	
 
    	
1.011,00 €
    	
 
    	
1.032,00 €
    	
 
    	
1.032,00 €
    	
 
    	
1.032,00 €
    	
 
    	
1.052,00 €
    	
 
    	
1.073,00 €
    	
 
    	
1.095,00 €
    	
 
    

 

	
Usertypes - Application Support Fee:
    	
P22   (and also valid for P11-migrated Latin America users)
    

 

	
 
    	
 
    	
2013
    	
 
    	
2014
    	
 
    	
2015
    	
 
    	
2016
    	
 
    	
2017
    	
 
    	
2018
    	
 
    	
2019
    	
 
    	
2020
    	
 
    	
2021
    	
 
    	
2022
    	
 
    
	
SAP   Support Professional
    	
 
    	
1.909,00 €
    	
 
    	
1.947,00 €
    	
 
    	
1.986,00 €
    	
 
    	
2.026,00 €
    	
 
    	
2.066,00 €
    	
 
    	
2.108,00 €
    	
 
    	
2.150,00 €
    	
 
    	
2.193,00 €
    	
 
    	
2.237,00 €
    	
 
    	
2.281,00 €
    	
 
    
	
SAP   Support limited Professional
    	
 
    	
636,00 €
    	
 
    	
649,00 €
    	
 
    	
662,00 €
    	
 
    	
675,00 €
    	
 
    	
688,00 €
    	
 
    	
702,00 €
    	
 
    	
716,00 €
    	
 
    	
731,00 €
    	
 
    	
745,00 €
    	
 
    	
760,00 €
    	
 
    
	
SAP   Support Handheld
    	
 
    	
934,00 €
    	
 
    	
953,00 €
    	
 
    	
972,00 €
    	
 
    	
991,00 €
    	
 
    	
1.011,00 €
    	
 
    	
1.031,00 €
    	
 
    	
1.052,00 €
    	
 
    	
1.073,00 €
    	
 
    	
1.094,00 €
    	
 
    	
1.116,00 €
    	
 
    

 

3

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