System Privacy and Legal Statement

System Privacy and Legal Statement

  1. Introduction
  2. Why do we process your data?

    2.1. Purpose of the processing

    2.2. Lawfulness of the processing

  3. Which data do we collect and process?
  4. How long do we keep your data?
  5. How do we protect your data?
  6. Who has access to your data and to whom is it disclosed?

    6.1. Sharing of Your Information

    6.2. Future Sharing of Your Information

    6.3. EU-US and Swiss-US Privacy Shield Frameworks
  7. 6.4. EU Standard Contractual Clauses

  8. What are your rights and how can you exercise them?
  9. Notices for Users

    8.1. Providing Others' Personal Data

    8.2. User Responsibilities
  10. Reviewers and Coordinators
  11. Contact information

Annex 1: Data Maintained per CRA and Process

Annex 2: List of Belmont Forum Members and Partners per CRA

Annex 3: BF Systems Support Contractor EU-US and Swiss-US Privacy Shield Certification

Annex 4: Standard Contractual Clauses (Controller to Controller)

1. Introduction

The Belmont Forum is a multinational partnership organization that supports international projects through
Collaborative Research Actions (CRAs), international calls for proposals that result in synchronized funding support
from a variety of resource and funding partners. This Privacy Statement explains
the reason for the collection and processing of your personal data, the way we protect the personal data provided and
what rights you may exercise in relation to your data (the right to access, rectify, block etc.) on the Belmont Forum Systems ("the BF Systems"):
BelmontForum.org, Connect.BelmontForum.org, and Belmont Forum Grant Operations (BFgo.org).

The Belmont Forum is committed to protecting and respecting the privacy of Registrants, Applicants, Reviewers, and Awardees. The
evaluation of proposals, management of funded actions as well as the design, monitoring, evaluation, and learning in
CRAs require the processing of personal data, including those of persons in the European Union. Therefore this privacy
statement and associated policies are designed to be compliant with the EU's General
Data Protection Regulation (2016/679)
(GDPR).

This Privacy Statement concerns the processes associated with (1) application submission, (2) application review and
(3) awardee reporting through the BF Systems. The BF Systems are supported by a U.S. National Science Foundation (NSF)
contractor, Lux Consulting Group, Inc. The data input by users from all over the
globe are received directly into servers in the USA, which are maintained by Amazon Web Services using industry best
practices for data security. The Belmont Forum is hereby making the benefits of these GDPR compliant policies available
to all users regardless of geographic location.

The BF Systems maintain data related to CRAs and associated processes in Annex 1. Changes to this Annex do
not constitute a change to the Privacy and Legal Statement.

These terms have been updated to reflect the most recent EU General Data Protection Regulation (GDPR) Standard Contractual Clauses provided by the
European Commission. Belmont Forum Systems are supported in the United States of America under a contract funded by the US National Science Foundation.
For more information on GDPR Standard Contractual Clauses see
here.

2. Why do we process your data?

2.1 Purpose of the processing

The data provided to us and the purpose of our processing these data are different for (1) application
submission, (2) application review, (3) awardee reporting, (4) Monitoring and Evaluation and Learning (MEL), or (5) Registration of Interest/Network building roles. The
purpose of processing the data for each of these roles are as follows:

  1. Application Submission (by Applicants): The data you provide as an Applicant in your
    application forms are collected to allow the Belmont Forum, reviewers, and funders to:

    • communicate with you about the application process
    • evaluate your proposal and/or organisation
    • award funding if your application is successful
    • analyse and describe our applicant pool
    • improve our communications with potential future applicants in future CRAs
  2. Application Review (by Potential Reviewers and Reviewers): The data you provide as a
    potential reviewer or reviewer allows us to:

    • communicate with you about the review process
    • assign applications for your review
    • collect your evaluation of those applications
    • collect your feedback on the review process
  3. Awardee Reporting (by Awardees): The data you provide as an awardee is used to:
    • communicate with you about the awarded project
    • perform monitoring, evaluation, and learning activities among awardees
    • analyse and describe our applicant pool in Belmont Forum performance reports
    • improve our communications with future awardees in future CRAs
  4. Monitoring Evaluation and Learning (MEL) Management (by Belmont Forum and funder managers):
    The data you provided as a Belmont Forum or funding agency manager are used to:

    • communicate with you about the MEL process
    • help us assign you an appropriate role in the system
    • give you access to the appropriate data to perform your functions.
  5. Registration of Interest and Network Building (by Belmont Forum Interested Parties):
    The data you provided as a Belmont Forum for expressing interest or network building are used to:

    • communicate with you about the Belmont Forum and its process
    • connect you with other interested parties
    • notify you of upcoming events and CRAs
    • help us assign you an appropriate role in the system
    • give you access to the appropriate data to perform your functions.

2.2 Lawfulness of the processing

The Belmont Forum and the NSF contractor supporting the BF Systems have a legitimate interest in processing
these data to meet obligations laid down by law in funding countries, including European Union Member countries,
meeting obligations to which the Belmont Forum is subject, and the necessity for the performance of a contract to which
the data are subject. (This basis is described in GDPR 2016/679 §40.) The organizations providing resources and
funding for the CRAs are subject to obligations laid down by law for the application, review, and award processes and
the Belmont Forum and the NSF contractor processing is directly linked to these obligations.

3. Which data do we collect and process?

The data we collect and process are different for (1) application submission, (2) application review, (3) awardee
reporting, (4) MEL roles, and (5) Registration of Interest/Network building. The purpose of processing the data for each of these roles through the BF Systems are as
follows:

  1. Application Submission (provided by Consortium Lead): The data subjects are
    • Consortium Leads and other Principal Investigators (PIs): Email Address, First Name, Family Name,
      Title, Funding Agency, Organization**, Department, Position, Area(s) of Research, Academic Discipline(s), Gender,
      Year of Ph.D., Curriculum Vitae, and, a list of other personnel represented by the PI
    • Other Team Members: Family Name, First Name, Title, Funding Agency, Organization**, Department,
      Academic Level, Year of Highest Academic Degree, Gender, and Curriculum Vitae
    • Collaborators: Email, Family Name, First Name, Title,  Funding Source,
      Organization**,  Department, Gender, and Curriculum Vitae
    • Stakeholder Representatives: Email, Family Name, First Name, Title, Organization**, Department,
      Gender.

  2. Application Review (provided by Review Coordinator, Potential Reviewers, and Reviewers): The
    data subjects are:

    • Potential Reviewer Contact Information (provided by the Review Coordinator): Email, First Name,
      Family Name
    • Evaluation, Scoring, and Summary Data (provided by the reviewer): Scores, written evaluations, and
      written summaries.

  3. Awardee Reporting (provided by Consortium Lead): The data subjects are: Personnel
    (including Consortium Lead, Partner PI's, Other Team Members, In-Kind Collaborators, Fully Self-Financed Collaborators, Stakeholder Representatives,
    Postdocs, Graduate Students, Undergraduate Students, Senior Personnel, and Contractors)
    : Email, First Name, Family
    Name, Phone, Open Researcher and Contributor ID (ORCID), Organization**,  Gender, Identification of
    Underrepresented group in Science, Academic Level, Academic Discipline(s), Areas of Expertise, Project Role(s).
     
  4. Monitoring Evaluation and Learning (MEL) Management: The data subjects are: MEL Users:
    Email address, First Name, Family Name
  5. Registration of Interest and Network Building: The data subjects are:
    Belmont Forum Interested Parties:
    Email address, First Name, Family Name, Title, Organization**, Department, Area(s) of Interest/Research, Academic Discipline(s) and Degree(s), Gender, Year of Ph.D.

**In all cases above, "Organization" information includes the organization's name, website, email,
phone, fax, Twitter handle, street address, city/town, state, country, and postal code.

The Belmont Forum and the NSF contractor supporting the BF Systems will not collect or
process personal data revealing racial or ethnic origin, political opinions, religious or philosophical beliefs, trade
union membership, genetic data, biometric data for the purpose of uniquely identifying a natural person, data
concerning health, data concerning a natural person's sex life or sexual orientation, ideological views or activities,
information on social security measures, or administrative or criminal proceedings and sanctions, which are treated
outside pending proceedings. (These are "special categories" of data under GDPR Article 9 and Swiss-U.S.
Privacy Shield and are not collected or processed by the Belmont Forum or the NSF contractor supporting the BF
systems.)

4. How long do we keep your data?

Personal data and reviewer data related to unsuccessful applications are kept for up to 10 years after the
closure of the call for which the data have been collected or updated, or, concerning calls with multiple cut-offs, for
up to 10 years after the date of the cut-off following the submission of the application. This applies also to data
contained in previous outdated versions of applications and in withdrawn proposals.

Information on awardees receiving funding through a CRA, personal data (in electronic and/or any other format)
are retained for 10 years after the closing of the action.

Anonymized data can be retained for a longer period and further processed for historical, statistical, or
scientific purposes.

5. How do we protect your data?

All data in the BF systems are stored on the support contractor's servers or those of their vendor, Amazon Web
Services. The operations of these services comply with industry best practices and the appropriate U.S. government's
Federal Information Security Act (FISMA) provisions.

6. Who has access to your data and to whom is it disclosed?

6.1. Sharing of Your Information

Your data will be accessible to Belmont Forum staff and contractors, resource and funding organizations and their
contractors, partner organisations and contractors, and the contractor supporting the BF Systems. (The BF systems are supported
by a U.S. National Science Foundation (NSF) contractor, Lux Consulting Group, Inc.)
Additionally, data in applications will be accessible by application reviewers solely for the purpose of providing
their review.

The BF Systems maintain a list of Belmont Forum members and partners for each CRA in Annex 2. Changes to
this Annex do not constitute a change to the Privacy and Legal Statement.

6.2. Future Sharing of Your Information

We do not currently share your personal information with companies, organizations, or individuals outside of
Belmont Forum staff and contractors, resource and funding organizations and their contractors, partner organisations
and contractors, and the contractor supporting the BF Systems. If the need arises, we may share your information in
the following cases:

Future Sharing with your consent
We'll share personal information outside of Belmont Forum
when we have your consent. We'll ask for your explicit consent to share any sensitive personal information.

Future Sharing for external processing
We would provide personal information to our affiliates
and other trusted businesses or persons to process it for us, based on our instructions and in compliance with our
Privacy Policy and any other appropriate confidentiality and security measures.

Future Sharing for legal reasons
We will share personal information outside of Belmont Forum if
we have a good-faith belief that access, use, preservation, or disclosure of the information is reasonably necessary
to:

  • Meet any applicable law, regulation, legal process, or enforceable governmental request.
  • Enforce applicable Terms of Service, including investigation of potential violations.
  • Detect, prevent, or otherwise address fraud, security, or technical issues.
  • Protect against harm to the rights, property or safety of Belmont Forum, our users, or the public as required
    or permitted by law.

6.3. EU-US and Swiss-US Privacy Shield Frameworks

The BF Systems is supported by Lux Consulting Group, Inc, (Lux) a Maryland USA corporation under a contract with the
National Science Foundation, which is a U.S. Federal Government agency. Per their Privacy Shield certification and the letter provided in Annex 3, Lux complies with the EU-US and Swiss-US Privacy Shield Frameworks (Privacy Shield) as set
forth by the US Department of Commerce regarding the collection, use, and retention of personal information transferred
from the European Union and the United Kingdom and/or Switzerland, as applicable, to the United States in reliance on
Privacy Shield. Lux has certified that it adheres to the Privacy Shield Principles and this Privacy and Legal Statement.
Lux remains responsible for any of your personal information that is shared under the Privacy Shield Onward Transfer Principle
with third parties for external processing on our behalf, as described in the "Who has access to your data
and to whom is it disclosed?
" section. To learn more about the Privacy Shield program, and to view Lux's
certification, please visit the Privacy Shield website.

6.4 EU Standard Contractual Clauses

For transfers of personal data originating in the European Economic Area ("EEA") to Lux, you and Lux agree to comply with the obligations set out in module 1 of the standard contractual clauses for the controller to controller transfer of personal data to third countries pursuant to the GDPR approved by the European Commission in the European Commission's Implementing Decision 2021/914/EU of 4 June 2021 (the "Clauses"), which are exhibited at Annex 4 and hereby incorporated by reference and are an integral part of this Agreement with the same force and effect as if they were fully set forth herein. For the purpose of the application of the Clauses: (i) the option under clause 7 (docking clause) shall not apply; (ii) the option under clause 11 (redress) shall not apply; (iii) the governing law for the purposes of clause 17 (governing law) shall be the law of Ireland; (vi) the courts under clause 18 (choice of forum and jurisdiction) shall be the courts Ireland and the appendix to the Clauses shall be completed as follows: (a) the applicant organisation is the data exporter and the Lux is the data importer for the purposes of Annex I.A (list of parties); (b) the information in sections 2, 3, 4 and 6 of this Privacy and Legal Statement shall form Annex I.B (description of transfer); (c) Annex I.C (competent supervisory authority) the supervisory authority with responsibility for ensuring compliance by the data exporter with the GDPR as regards the data transfer shall act as competent supervisory authority; and (d) the information in section 5 of this Privacy and Legal Statement shall form Annex II. In the event of any conflict between the terms of the Clauses and this Privacy and Legal Statement, the Clauses shall prevail..

Lux is subject to the investigatory and enforcement powers of the US Federal Trade Commission (FTC). In certain
circumstances, the Privacy Shield Framework provides the right to invoke binding arbitration to resolve complaints not
resolved by other means, as described in Annex
I to the Privacy Shield Principles
.

7. What are your rights and how can you exercise them?

You are entitled to access your personal data and rectify/block or erase them in case the data are inaccurate or
incomplete. You can exercise your rights by emailing :helpEmailAddress. In case
of conflict, you can contact the Belmont Forum at info@belmontforum.org.
Each will reply to requests within 60 days.

8. Notices for Users

8.1 Providing Others' Personal Data

Do not provide personal data about others unless you are authorized or required to do so by contract or
applicable law.

8.2 User Responsibilities

BF Systems users must comply with this statement and may not take any actions to subvert the processes
associated with this statement. Those with access to these data are reminded of their obligation to process the
personal data provided to them only for the purposes for which they were transmitted.

9. Reviewers and Coordinators

If you are a reviewer or a coordinator, you acknowledge and agree that the subject matter, nature and purpose of the processing
are the performance of the services detailed in the Review and Awards Guide. The duration of the processing is the period of time necessary to perform
those services and the types of personal data you process are those detailed in this Privacy Statement.

You will:

  1. Only process the personal data, on behalf of Lux, on Lux's documented instructions, unless required to do so by law. You
    will inform Lux of that legal obligation before processing, unless that law prohibits such information on important
    grounds of public interest;
  2. Hold the personal data in strict confidence and ensure that persons authorised to process the personal data are subject
    to a contractual or appropriate statutory obligation to keep the personal data confidential;
  3. Not download or make copies of the personal data without Lux's prior written consent;
  4. Not engage another processor without Lux's prior written consent;
  5. Insofar as possible, and taking into account the nature of the processing, assist Lux in fulfilling its obligations
    to respond to data subjects' requests to exercise their rights under the GDPR. You will immediately notify Lux, and in
    any case within 24 hours, of such requests.
  6. Taking into account the nature of the processing, assist Lux in ensuring compliance with its obligations under the
    GDPR in regard to data security; data breach notification to the supervisory authority and to data subjects; carrying out
    data protection impact assessments and related consultations with supervisory authorities. You will immediately notify Lux,
    and in any case within 24 hours, upon becoming aware of a personal data breach;
  7. At Lux's request, delete or return all the personal data to Lux after the end of the provision of the services, and
    delete existing copies unless applicable law requires storage of that personal data;
  8. Make available to Lux all information necessary to demonstrate compliance with the above obligations; and
  9. Immediately inform Lux if, in your opinion, an instruction of Lux's infringes the GDPR.

10. Contact information

If you have comments or questions, any concerns or complaints regarding the collection and use of your personal data,
please feel free to contact the Belmont Forum at info@belmontforum.org.
Persons in European Union Member countries may also contact their National Data Commissioner or other national office
responsible for GDPR compliance.

If you have an inquiry regarding Lux's privacy practices in relation to its Privacy Shield certification, we
encourage you to contact them at it@luxcg.com.

 


Annex 1: Data Maintained per CRA and Process

CRA Shortname* Application
Receipt
Application
Review
Awardee
Reporting
Freshwater2012     X
Coastal2012     X
Food2013     X
Arctic2014 X X X
Biodiversity2014 X X X
Climate2015 X X X
Mountains2015 X X X
Nexus2016     X
T2S2016 X X X
Biodiversity2017     X
SEI2018 X X X
Oceans2018 X X X
Arctic2019 X X X
CEH2019 X X X
DR32019 X X X
Soils2020 X X X
Pathways2020 X X X

*Full project names and descriptions are available at www.belmontforum.org.

 


Annex 2: List of Belmont Forum Members and Partners per CRA

CRA Shortname* Member and Partners
Freshwater2012 The French National Research Agency (ANR), The Commonwealth Scientific and Industrial Research Organisation
(CSIRO), German Research Foundation (DFG), São Paulo Research Foundation (FAPESP), Japan Society for the
Promotion of Science (JSPS), Ministry of Earth Sciences (MoES), Natural Environment Research Council (NERC),
Economic and Social Research Council (ESRC), Biotechnology and Biological Sciences Research Council (BBSRC),
National Research Foundation (NRF), Natural Sciences and Engineering Research Council of Canada (NSERC), National
Science Foundation (NSF), Russian Foundation for Basic Research (RFBR)
Coastal2012 The French National Research Agency (ANR), The Commonwealth Scientific and Industrial Research Organisation
(CSIRO), German Research Foundation (DFG), São Paulo Research Foundation, (FAPESP), Japan Society for the
Promotion of Science (JSPS), Ministry of Earth Sciences (MoES), Natural Environment Research Council (NERC),
National Research Foundation (NRF), National Science Foundation (NSF), Russian Foundation for Basic Research (RFBR)
Food2013 The French National Research Agency (ANR), The Commonwealth Scientific and Industrial Research Organisation
(CSIRO), São Paulo Research Foundation (FAPESP), Japan Science and Technology Agency (JST), Ministry of
Agriculture and Rural Development (MOARD), Ministry of Earth Sciences (MoES), Natural Environment Research Council
(NERC), Biotechnology and Biological Sciences Research Council (BBSRC), Economic and Social Research Council (ESRC),
National Research Foundation (NRF), National Science Foundation (NSF), Research Promotion Foundation (RPF), Swiss
National Science Foundation (SNSF), Teagasc Executive Unit for Financing Higher Education, Research, Development and
Innovation (UEFISCDI), Wageningen University and Research Centre (WUR)
Arctic2014 The French National Research Agency (ANR), Federal Ministry of Education and Research (BMBF), Bureau of
Ocean Energy Management (BOEM), Department of Earth System Science and Environmental Technologies of the National
Research Council (CNR-DTA), Centre National de la Recherche Scientifique (CNRS), Japan Science and Technology Agency
(JST), Ministry of Earth Sciences (MoES), NordForsk Natural Sciences and Engineering Research Council of Canada
(NSERC), National Science Foundation (NSF), National Natural Science Foundation of China (NSFC), The Icelandic
Centre for Research (RANNIS), Research Council of Norway (RCN), Russian Foundation for Basic Research (RFBR), Social
Sciences and Humanities Research Council (SSHRC)
Biodiversity2014 The French National Research Agency (ANR), The Commonwealth Scientific and Industrial Research Organisation
(CSIRO), German Research Foundation (DFG), São Paulo Research Foundation (FAPESP), Ministry of Education,
Culture, Sports, Science and Technology (MEXT), Japan Science and Technology Agency (JST), Ministry of Earth
Sciences (MoES), National Research Foundation (NRF), National Science Foundation (NSF), National Natural Science
Foundation of China (NSFC), Research Council of Norway (RCN)
Mountains2015 The French National Research Agency (ANR), Federal Ministry of Science, Research and Economy (BMWFW),
Department of Earth System Science and Environmental Technologies of the National Research Council (CNR-DTA), German
Research Foundation (DFG), São Paulo Research Foundation (FAPESP), National Science Foundation (NSF),
National Natural Science Foundation of China (NSFC)
Nexus2016 Arts and Humanities Research Council (AHRC), Engineering and Physical Sciences Research Council (EPSRC),
Economic and Social Research Council (ESRC), InnovateUK, Academy of Finland (AKA), The French National Research
Agency (ANR), Slovenian Research Agency (ARRS), Federal Ministry of Education and Research (BMBF), European
Commission (EC), São Paulo Research Foundation (FAPESP), The Foundation for Science and Technology (FCT),
Austrian Research Promotion Agency (FFG), Formas Federative Research Structure (FRS), National Fund for Scientific
Research (FNRS), Research Foundation – Flanders (FWO), Innovation Fund Denmark (IFD), Innoviris Japan Science
and Technology Agency (JST), Ministry of Science, Technology and Productive Innovation (MINCyT), Ministry of
Education, University and Research (MIUR), Ministry of Science and Technology (MOST), National Science Centre (NCN),
Netherlands Research Agency (NWO), National Science Foundation (NSF), Qatar National Research Foundation (QNRF),
Research Council of Lithuania (RCL), Research Council of Norway (RCN), Research Promotion Foundation (RPF), Swedish
Energy Agency, Tekes, The Scientific and Technological Research Council of Turkey (TÜBİTAK), Executive Unit
for Financing Higher Education, Research, Development and Innovation (UEFISCDI), State Education Development Agency
(VIAA), VINNOVA
T2S2016 Academy of Finland (AKA), The French National Research Agency (ANR), Slovenian Research Agency (ARRS),
German Aerospace Center (DLR), European Commission (EC), Economic and Social Research Council (ESRC), São
Paulo Research Foundation (FAPESP), Luxembourg National Research Fund (FNR), National Fund for Scientific Research
(FNRS), Research Foundation – Flanders (FWO), Irish Research Council (IRC), International Social Science
Council (ISSC), Japan Science and Technology Agency (JST), Ministry of Science and Technology (MOST), NordForsk,
National Science Foundation (NSF), The Netherlands Organisation for Scientific Research (NWO), Research Council of
Norway (RCN), Swiss National Science Foundation (SNSF), Swedish Research Council (VR)
Biodiversity2017 FWF Austria, BELSPO, FRS-FNRS, Bulgarian National Science Foundation (BNSF), FAPESP, FRQ Canada, NSERC, ETAG
Estonia, AKA Finland, ANR France, DFG, DLR-PT, Irish EPA, PASRES, RCL Lithuania, RCN, NCN Poland, UEFISCDI Romania,
SAS Slovakia, MINECO Spain, FORMAS Sweden, SNSF Switzerland, NWO, TÜBITAK, NSF
SEI2018 São Paulo Research Foundation (FAPESP)
, Ministry of Science and Technology (MOST)
, The French National Research Agency (ANR)
, Japan Science and Technology Agency (JST)
, National Science Foundation (NSF)
Oceans2018 Oceans and Atmosphere, Commonwealth Scientific and Industrial Research Organisation(CSIRO),
São Paulo Research Foundation(FAPESP),
National Research Agency(ANR),
Federal Ministry of Education and Research(BMBF),
Icelandic Centre for Research(RANNIS),
Ministry of Earth Sciences(MoES),
Japan Science and Technology Agency(JST),
The Research Council of Norway(RCN),
Department of Science and Technology(DOST-PCIEERD),
Russian Foundation for Basic Research(RFBR),
King Abdullah University of Science and Technology(KAUST),
National Research Foundation(NRF),
Swedish Research Council for Env, Agric Sci & Spatial Planning(FORMAS),
Swedish International Development Cooperation Agency(SIDA),
Bureau of Ocean Energy Management(BOEM),
National Science Foundation(NSF)
DR32019 Ministry of Science and Technology (Most),Japan Science and Technology Agency (JST),
Qatar National Research Fund (QNRF), National Science Foundation (NSF)
Arctic2019 Natural Sciences and Engineering Research Council of Canada (NSERC), Danish Agency for Science and Higher Education (DAFSHE),
National Research Agency (ANR), Icelandic Center for Research (RANNIS), Japan Science and Technology Agency (JST), Netherlands Polar Programme (NPP) of the Netherlands Organization for Scientific Research (NWO),
Research Council of Norway (RCN), Russian Foundation for Basic Research (RFBR),
Swedish Research Council for Environment, Agricultural Sciences and Spatial Planning (FORMAS), National Science Foundation (NSF)
CEH2019 Ministry of Science and Technology (MoST), PASRES, Academy of Finland (AKA), Research Council of Norway (RCN),
The Swedish Research Council for Health, Working Life and Welfare (Forte) and Welfare in collaboration with Swedish Research Council (Vetenskapsradet),
The Scientific and Technological Research Council of Turkey (TUBITAK), UK Research and Innovation (UKRI),
National Oceanic and Atmospheric Administration (NOAA), National Science Foundation (NSF)
Soils2020 São Paulo Research Foundation (FAPESP),
Ministry of Science and Technology (MOST),
French National Alliance for Environmental Research (AllEnvi),
National Research Agency (ANR),
National Research Council of Italy Department Earth System Sciences and Environmental Technologies (CNR-DSSTTA),
Japan Science and Technology Agency (JST),
Qatar National Research Fund (QNRF),
Russian Foundation for Basic Research (RFBR),
King Abdullah University of Science and Technology (KAUST),
National Science Foundation (NSF)
Pathways2020 Austrian Science Fund (FWF),
São Paulo Research Foundation (FAPESP),
Ministry of Science and Technology (MOST),
French National Alliance for Environmental Research (AllEnvi),
National Research Agency (ANR),
Deutsche Forschungsgemeinschaft (DFG),
Research and Grant Institute of Ghana (REGIG),
Future Earth (Future Earth),
Inter-American Institute for Global Change Research (IAI),
Group on Earth Observations (GEO),
National Research Foundation (NRF),
The Scientific and Technological Research Council of Turkey (TUBITAK),
National Science Foundation (NSF)

*Full project names and descriptions are available at www.belmontforum.org.

 


Annex 3: BF Systems Support Contractor EU-US and Swiss-US Privacy Shield Certification

Lux Consulting Group, Inc.
8403 Colesville Rd. Suite #1100
Silver Spring, MD 20910.

November 2, 2018

To Whom It May Concern,

Lux Compliance with BF Systems Privacy and Legal Statement EU-US and Swiss-US Privacy Shield
Frameworks

Lux Consulting Group, Inc. (Lux) supports the Belmont Forum Systems under a contract with
the National Science Foundation. Lux hereby certify and affirms compliance with the BF Systems Privacy and Legal
Statement and the EU-US and Swiss-US Privacy Shield Frameworks as set forth by the US Department of Commerce regarding
the collection, use and retention of personal information from European Union member countries and Switzerland,
respectively. Lux remains responsible for any personal information that is shared under the Privacy Shield Onward
Transfer Principle with third parties for external processing on our behalf, as described in the "Sharing your
information" section.

In particular, Lux shares your data with other parties involved in the review and processing of
the application, award, and monitoring of your grant. This includes national governments, funding agencies, program
staff, application reviewers, and program evaluators. Lux does not share your data for commercial purposes and we do
not use your data for a purpose materially different from the purpose(s) for which it was originally collected or
subsequently authorized by you.

You can exercise right to opt-out of sharing with third parties by emailing it@luxcg.com with the subject line
"OPT-OUT OF SHARING", your name, the program/opportunity name, and application number or project name in the body of your
email.

If you choose to opt-out of sharing your data with Lux or third parties, please be advised that this will prevent
your further use of this system, it may also affect compliance with national government agencies' rules, evaluation of
your application, and/or the conditions of your award. Lux does not monitor or enforce compliance with national
government, funding agency, or program rules, but will inform these parties that an opt-out and anonymization has
occurred for your application or awarded opportunity, so they may follow up as required and appropriate. Lux will reply to requests within 60 days.

In compliance with the Privacy Shield Principles, Lux commits to resolve complaints about our collection or use of your
personal information. EU and Swiss individuals with inquiries or complaints regarding our Privacy Shield policy should
first contact Lux at: it@luxcg.com.

Lux has further committed to cooperate with the panel established by the EU data protection authorities (DPAs)
and the Swiss Federal Data Protection and Information Commissioner (FDPIC) with regard to unresolved Privacy Shield
complaints concerning data transferred from the EU and Switzerland.

To learn more about the Privacy Shield program, and to view Lux's certification, please visit the Privacy Shield website at
https://www.privacyshield.gov/welcome. Lux's
certification is listed at this Privacy Shield website maintained by the U.S government at https://www.privacyshield.gov/list.

Lux is subject to the investigatory and enforcement powers of the US Federal Trade Commission (FTC). In certain
circumstances, the Privacy Shield Framework provides the right to invoke binding arbitration to resolve complaints not
resolved by other means, as described in Annex I to the Privacy Shield Principles at https://www.privacyshield.gov/article?id=ANNEX-I-introduction.

Please email it@luxcg.com with any questions.

Sincerely,

Leonard Boyd. President and CEO, Lux Consulting Group, Inc.

 


Annex 4: Standard Contractual Clauses (Controller to Controller)

CONTROLLER TO CONTROLLER

STANDARD CONTRACTUAL CLAUSES

Section I

Clause 1

Purpose and scope

(a) The purpose of these standard contractual clauses is to ensure compliance with the requirements of Regulation (EU) 2016/679 of the European Parliament and of the Council of 27 April 2016 on the protection of natural persons with regard to the processing of personal data and on the free movement of such data (General Data Protection Regulation)1 for the transfer of personal data to a third country.

(b) The Parties:

(i) the natural or legal person(s), public authority/ies, agency/ies or other body/ies (hereinafter "entity/ies") transferring the personal data, as listed in Annex I.A. (hereinafter each "data exporter"), and

(ii) the entity/ies in a third country receiving the personal data from the data exporter, directly or indirectly via another entity also Party to these Clauses, as listed in Annex I.A. (hereinafter each "data importer") have agreed to these standard contractual clauses (hereinafter: "Clauses").

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

(d) The Appendix to these Clauses containing the Annexes referred to therein forms an integral part of these Clauses.

Clause 2

Effect and invariability of the Clauses

(a) These Clauses set out appropriate safeguards, including enforceable data subject rights and effective legal remedies, pursuant to Article 46(1) and Article 46 (2)(c) of Regulation (EU) 2016/679 and, with respect to data transfers from controllers to processors and/or processors to processors, standard contractual clauses pursuant to Article 28(7) of Regulation (EU) 2016/679, provided they are not modified, except to select the appropriate Module(s) or to add or update information in the Appendix. This does not prevent the Parties from including the standard contractual clauses laid down in these Clauses in a wider contract and/or to add other clauses or additional safeguards, provided that they do not contradict, directly or indirectly, these Clauses or prejudice the fundamental rights or freedoms of data subjects.

(b) These Clauses are without prejudice to obligations to which the data exporter is subject by virtue of Regulation (EU) 2016/679.

Clause 3

Third-party beneficiaries

(a) Data subjects may invoke and enforce these Clauses, as third-party beneficiaries, against the data exporter and/or data importer, with the following exceptions:

(i) Clause 1, Clause 2, Clause 3, Clause 6, Clause 7;

(ii) Clause 8 – Module One: Clause 8.5 (e) and Clause 8.9(b); Module Two: Clause 8.1(b), 8.9(a), (c), (d) and (e); Module Three: Clause 8.1(a), (c) and (d) and Clause 8.9(a), (c), (d), (e), (f) and (g); Module Four: Clause 8.1 (b) and Clause 8.3(b);

(iii) Clause 9 – N/A;

(iv) Clause 12 – Module One: Clause 12(a) and (d); Modules Two and Three: Clause 12(a), (d) and (f);

(v) Clause 13;

(vi) Clause 15.1(c), (d) and (e);

(vii) Clause 16(e);

(viii) Clause 18 – Modules One, Two and Three: Clause 18(a) and (b); Module Four: Clause 18.

(b) Paragraph (a) is without prejudice to rights of data subjects under Regulation (EU) 2016/679.

Clause 4

Interpretation

(a) Where these Clauses use terms that are defined in Regulation (EU) 2016/679, those terms shall have the same meaning as in that Regulation.

(b) These Clauses shall be read and interpreted in the light of the provisions of Regulation (EU) 2016/679.

(c) These Clauses shall not be interpreted in a way that conflicts with rights and obligations provided for in Regulation (EU) 2016/679.

Clause 5

Hierarchy

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

Clause 6

Description of the transfer(s)

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

Clause 7 – Optional

Docking clause

Not applicable

SECTION II – OBLIGATIONS OF THE PARTIES

Clause 8

Data protection safeguards

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

MODULE ONE: Transfer controller to controller

8.1 Purpose limitation

The data importer shall process the personal data only for the specific purpose(s) of the transfer, as set out in Annex I.B. It may only process the personal data for another purpose:

(i) where it has obtained the data subject's prior consent;

(ii) where necessary for the establishment, exercise or defence of legal claims in the context of specific administrative, regulatory or judicial proceedings; or

(iii) where necessary in order to protect the vital interests of the data subject or of another natural person.

8.2 Transparency

(a) In order to enable data subjects to effectively exercise their rights pursuant to Clause 10, the data importer shall inform them, either directly or through the data exporter:

(i) of its identity and contact details;

(ii) of the categories of personal data processed;

(iii) of the right to obtain a copy of these Clauses;

(iv) where it intends to onward transfer the personal data to any third party/ies, of the recipient or categories of recipients (as appropriate with a view to providing meaningful information), the purpose of such onward transfer and the ground therefore pursuant to Clause 8.7.

(b) Paragraph (a) shall not apply where the data subject already has the information, including when such information has already been provided by the data exporter, or providing the information proves impossible or would involve a disproportionate effort for the data importer. In the latter case, the data importer shall, to the extent possible, make the information publicly available.

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

(d) Paragraphs (a) to (c) are without prejudice to the obligations of the data exporter under Articles 13 and 14 of Regulation (EU) 2016/679.

8.3 Accuracy and data minimisation

(a) Each Party shall ensure that the personal data is accurate and, where necessary, kept up to date. The data importer shall take every reasonable step to ensure that personal data that is inaccurate, having regard to the purpose(s) of processing, is erased or rectified without delay.

(b) If one of the Parties becomes aware that the personal data it has transferred or received is inaccurate, or has become outdated, it shall inform the other Party without undue delay.

(c) The data importer shall ensure that the personal data is adequate, relevant and limited to what is necessary in relation to the purpose(s) of processing.

8.4 Storage limitation

The data importer shall retain the personal data for no longer than necessary for the purpose(s) for which it is processed. It shall put in place appropriate technical or organisational measures to ensure compliance with this obligation, including erasure or anonymisation of the data and all back-ups at the end of the retention period.

8.5 Security of processing

(a) The data importer and, during transmission, also the data exporter shall implement appropriate technical and organisational measures to ensure the security of the personal data, including protection against a breach of security leading to accidental or unlawful destruction, loss, alteration, unauthorised disclosure or access (hereinafter "personal data breach"). In assessing the appropriate level of security, they shall take due account of the state of the art, the costs of implementation, the nature, scope, context and purpose(s) of processing and the risks involved in the processing for the data subject. The Parties shall in particular consider having recourse to encryption or pseudonymisation, including during transmission, where the purpose of processing can be fulfilled in that manner.

(b) The Parties have agreed on the technical and organisational measures set out in Annex II. The data importer shall carry out regular checks to ensure that these measures continue to provide an appropriate level of security.

(c) The data importer shall ensure that persons authorised to process the personal data have committed themselves to confidentiality or are under an appropriate statutory obligation of confidentiality.

(d) In the event of a personal data breach concerning personal data processed by the data importer under these Clauses, the data importer shall take appropriate measures to address the personal data breach, including measures to mitigate its possible adverse effects.

(e) In case of a personal data breach that is likely to result in a risk to the rights and freedoms of natural persons, the data importer shall without undue delay notify both the data exporter and the competent supervisory authority pursuant to Clause 13. Such notification shall contain i) a description of the nature of the breach (including, where possible, categories and approximate number of data subjects and personal data records concerned), ii) its likely consequences, iii) the measures taken or proposed to address the breach, and iv) the details of a contact point from whom more information can be obtained. To the extent it is not possible for the data importer to provide all the information at the same time, it may do so in phases without undue further delay.

(f) In case of a personal data breach that is likely to result in a high risk to the rights and freedoms of natural persons, the data importer shall also notify without undue delay the data subjects concerned of the personal data breach and its nature, if necessary in cooperation with the data exporter, together with the information referred to in paragraph (e), points ii) to iv), unless the data importer has implemented measures to significantly reduce the risk to the rights or freedoms of natural persons, or notification would involve disproportionate efforts. In the latter case, the data importer shall instead issue a public communication or take a similar measure to inform the public of the personal data breach.

(g) The data importer shall document all relevant facts relating to the personal data breach, including its effects and any remedial action taken, and keep a record thereof.

8.6 Sensitive data

Where the transfer involves personal data revealing racial or ethnic origin, political opinions, religious or philosophical beliefs, or trade union membership, genetic data, or biometric data for the purpose of uniquely identifying a natural person, data concerning health or a person's sex life or sexual orientation, or data relating to criminal convictions or offences (hereinafter "sensitive data"), the data importer shall apply specific restrictions and/or additional safeguards adapted to the specific nature of the data and the risks involved. This may include restricting the personnel permitted to access the personal data, additional security measures (such as pseudonymisation) and/or additional restrictions with respect to further disclosure.

8.7 Onward transfers

The data importer shall not disclose the personal data to a third party located outside the European Union2 (in the same country as the data importer or in another third country, hereinafter "onward transfer") unless the third party is or agrees to be bound by these Clauses, under the appropriate Module. Otherwise, an onward transfer by the data importer may only take place if:

(i) it is to a country benefiting from an adequacy decision pursuant to Article 45 of Regulation (EU) 2016/679 that covers the onward transfer;

(ii) the third party otherwise ensures appropriate safeguards pursuant to Articles 46 or 47 of Regulation (EU) 2016/679 with respect to the processing in question;

(iii) the third party enters into a binding instrument with the data importer ensuring the same level of data protection as under these Clauses, and the data importer provides a copy of these safeguards to the data exporter;

(iv) it is necessary for the establishment, exercise or defence of legal claims in the context of specific administrative, regulatory or judicial proceedings;

(v) it is necessary in order to protect the vital interests of the data subject or of another natural person; or

(vi) where none of the other conditions apply, the data importer has obtained the explicit consent of the data subject for an onward transfer in a specific situation, after having informed him/her of its purpose(s), the identity of the recipient and the possible risks of such transfer to him/her due to the lack of appropriate data protection safeguards. In this case, the data importer shall inform the data exporter and, at the request of the latter, shall transmit to it a copy of the information provided to the data subject.

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

8.8 Processing under the authority of the data importer

The data importer shall ensure that any person acting under its authority, including a processor, processes the data only on its instructions.

8.9 Documentation and compliance

(a) Each Party shall be able to demonstrate compliance with its obligations under these Clauses. In particular, the data importer shall keep appropriate documentation of the processing activities carried out under its responsibility.

(b) The data importer shall make such documentation available to the competent supervisory authority on request.

Clause 9

Use of sub-processors

Not applicable

Clause 10

Data subject rights

MODULE ONE: Transfer controller to controller

(a) The data importer, where relevant with the assistance of the data exporter, shall deal with any enquiries and requests it receives from a data subject relating to the processing of his/her personal data and the exercise of his/her rights under these Clauses without undue delay and at the latest within one month of the receipt of the enquiry or request. The data importer shall take appropriate measures to facilitate such enquiries, requests and the exercise of data subject rights. Any information provided to the data subject shall be in an intelligible and easily accessible form, using clear and plain language.

(b) In particular, upon request by the data subject the data importer shall, free of charge:

(i) provide confirmation to the data subject as to whether personal data concerning him/her is being processed and, where this is the case, a copy of the data relating to him/her and the information in Annex I; if personal data has been or will be onward transferred, provide information on recipients or categories of recipients (as appropriate with a view to providing meaningful information) to which the personal data has been or will be onward transferred, the purpose of such onward transfers and their ground pursuant to Clause 8.7; and provide information on the right to lodge a complaint with a supervisory authority in accordance with Clause 12(c)(i);

(ii) rectify inaccurate or incomplete data concerning the data subject;

(iii) erase personal data concerning the data subject if such data is being or has been processed in violation of any of these Clauses ensuring third-party beneficiary rights, or if the data subject withdraws the consent on which the processing is based.

(c) Where the data importer processes the personal data for direct marketing purposes, it shall cease processing for such purposes if the data subject objects to it.

(d) The data importer shall not make a decision based solely on the automated processing of the personal data transferred (hereinafter "automated decision"), which would produce legal effects concerning the data subject or similarly significantly affect him / her, unless with the explicit consent of the data subject or if authorised to do so under the laws of the country of destination, provided that such laws lays down suitable measures to safeguard the data subject's rights and legitimate interests. In this case, the data importer shall, where necessary in cooperation with the data exporter:

(i) inform the data subject about the envisaged automated decision, the envisaged consequences and the logic involved; and

(ii) implement suitable safeguards, at least by enabling the data subject to contest the decision, express his/her point of view and obtain review by a human being.

(e) Where requests from a data subject are excessive, in particular because of their repetitive character, the data importer may either charge a reasonable fee taking into account the administrative costs of granting the request or refuse to act on the request.

(f) The data importer may refuse a data subject's request if such refusal is allowed under the laws of the country of destination and is necessary and proportionate in a democratic society to protect one of the objectives listed in Article 23(1) of Regulation (EU) 2016/679.

(g) If the data importer intends to refuse a data subject's request, it shall inform the data subject of the reasons for the refusal and the possibility of lodging a complaint with the competent supervisory authority and/or seeking judicial redress.

Clause 11

Redress

(a) The data importer shall inform data subjects in a transparent and easily accessible format, through individual notice or on its website, of a contact point authorised to handle complaints. It shall deal promptly with any complaints it receives from a data subject.

MODULE ONE: Transfer controller to controller

(b) In case of a dispute between a data subject and one of the Parties as regards compliance with these Clauses, that Party shall use its best efforts to resolve the issue amicably in a timely fashion. The Parties shall keep each other informed about such disputes and, where appropriate, cooperate in resolving them.

(c) Where the data subject invokes a third-party beneficiary right pursuant to Clause 3, the data importer shall accept the decision of the data subject to:

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

(ii) refer the dispute to the competent courts within the meaning of Clause 18.

(d) The Parties accept that the data subject may be represented by a not-for-profit body, organisation or association under the conditions set out in Article 80(1) of Regulation (EU) 2016/679.

(e) The data importer shall abide by a decision that is binding under the applicable EU or Member State law.

(f) The data importer agrees that the choice made by the data subject will not prejudice his/her substantive and procedural rights to seek remedies in accordance with applicable laws.

Clause 12

Liability

MODULE ONE: Transfer controller to controller

(a) Each Party shall be liable to the other Party/ies for any damages it causes the other Party/ies by any breach of these Clauses.

(b) Each Party shall be liable to the data subject, and the data subject shall be entitled to receive compensation, for any material or non-material damages that the Party causes the data subject by breaching the third-party beneficiary rights under these Clauses. This is without prejudice to the liability of the data exporter under Regulation (EU) 2016/679.

(c) Where more than one Party is responsible for any damage caused to the data subject as a result of a breach of these Clauses, all responsible Parties shall be jointly and severally liable and the data subject is entitled to bring an action in court against any of these Parties.

(d) The Parties agree that if one Party is held liable under paragraph (c), it shall be entitled to claim back from the other Party/ies that part of the compensation corresponding to its / their responsibility for the damage.

(e) The data importer may not invoke the conduct of a processor or sub-processor to avoid its own liability.

Clause 13

Supervision

MODULE ONE: Transfer controller to controller

(a) The supervisory authority with responsibility for ensuring compliance by the data exporter with Regulation (EU) 2016/679 as regards the data transfer, as indicated in Annex I.C, shall act as competent supervisory authority.

(b) The data importer agrees to submit itself to the jurisdiction of and cooperate with the competent supervisory authority in any procedures aimed at ensuring compliance with these Clauses. In particular, the data importer agrees to respond to enquiries, submit to audits and comply with the measures adopted by the supervisory authority, including remedial and compensatory measures. It shall provide the supervisory authority with written confirmation that the necessary actions have been taken.

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

Clause 14

Local laws and practices affecting compliance with the Clauses

MODULE ONE: Transfer controller to controller

(a) The Parties warrant that they have no reason to believe that the laws and practices in the third country of destination applicable to the processing of the personal data by the data importer, including any requirements to disclose personal data or measures authorising access by public authorities, prevent the data importer from fulfilling its obligations under these Clauses. This is based on the understanding that laws and practices that respect the essence of the fundamental rights and freedoms and do not exceed what is necessary and proportionate in a democratic society to safeguard one of the objectives listed in Article 23(1) of Regulation (EU) 2016/679, are not in contradiction with these Clauses.

(b) The Parties declare that in providing the warranty in paragraph (a), they have taken due account in particular of the following elements:

(i) the specific circumstances of the transfer, including the length of the processing chain, the number of actors involved and the transmission channels used; intended onward transfers; the type of recipient; the purpose of processing; the categories and format of the transferred personal data; the economic sector in which the transfer occurs; the storage location of the data transferred;

(ii) the laws and practices of the third country of destination- including those requiring the disclosure of data to public authorities or authorising access by such authorities – relevant in light of the specific circumstances of the transfer, and the applicable limitations and safeguards3;

(iii) any relevant contractual, technical or organisational safeguards put in place to supplement the safeguards under these Clauses, including measures applied during transmission and to the processing of the personal data in the country of destination.

(c) The data importer warrants that, in carrying out the assessment under paragraph (b), it has made its best efforts to provide the data exporter with relevant information and agrees that it will continue to cooperate with the data exporter in ensuring compliance with these Clauses.

(d) The Parties agree to document the assessment under paragraph (b) and make it available to the competent supervisory authority on request.

(e) The data importer agrees to notify the data exporter promptly if, after having agreed to these Clauses and for the duration of the contract, it has reason to believe that it is or has become subject to laws or practices not in line with the requirements under paragraph (a), including following a change in the laws of the third country or a measure (such as a disclosure request) indicating an application of such laws in practice that is not in line with the requirements in paragraph (a).

(f) Following a notification pursuant to paragraph (e), or if the data exporter otherwise has reason to believe that the data importer can no longer fulfil its obligations under these Clauses, the data exporter shall promptly identify appropriate measures (e.g. technical or organisational measures to ensure security and confidentiality) to be adopted by the data exporter and/or data importer to address the situation . The data exporter shall suspend the data transfer if it considers that no appropriate safeguards for such transfer can be ensured, or if instructed by the competent supervisory authority to do so. In this case, the data exporter shall be entitled to terminate the contract, insofar as it concerns the processing of personal data under these Clauses. If the contract involves more than two Parties, the data exporter may exercise this right to termination only with respect to the relevant Party, unless the Parties have agreed otherwise. Where the contract is terminated pursuant to this Clause, Clause 16(d) and (e) shall apply.

Clause 15

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

MODULE ONE: Transfer controller to controller

15.1 Notification

(a) The data importer agrees to notify the data exporter and, where possible, the data subject promptly (if necessary with the help of the data exporter) if it:

(i) receives a legally binding request from a public authority, including judicial authorities, under the laws of the country of destination for the disclosure of personal data transferred pursuant to these Clauses; such notification shall include information about the personal data requested, the requesting authority, the legal basis for the request and the response provided; or

(ii) becomes aware of any direct access by public authorities to personal data transferred pursuant to these Clauses in accordance with the laws of the country of destination; such notification shall include all information available to the importer.

(b) If the data importer is prohibited from notifying the data exporter and/or the data subject under the laws of the country of destination, the data importer agrees to use its best efforts to obtain a waiver of the prohibition, with a view to communicating as much information as possible, as soon as possible. The data importer agrees to document its best efforts in order to be able to demonstrate them on request of the data exporter.

(c) Where permissible under the laws of the country of destination, the data importer agrees to provide the data exporter, at regular intervals for the duration of the contract, with as much relevant information as possible on the requests received (in particular, number of requests, type of data requested, requesting authority/ies, whether requests have been challenged and the outcome of such challenges, etc.).

(d) The data importer agrees to preserve the information pursuant to paragraphs (a) to (c) for the duration of the contract and make it available to the competent supervisory authority on request.

(e) Paragraphs (a) to (c) are without prejudice to the obligation of the data importer pursuant to Clause 14(e) and Clause 16 to inform the data exporter promptly where it is unable to comply with these Clauses.

15.2 Review of legality and data minimisation

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

(b) The data importer agrees to document its legal assessment and any challenge to the request for disclosure and, to the extent permissible under the laws of the country of destination, make the documentation available to the data exporter. It shall also make it available to the competent supervisory authority on request.

(c) The data importer agrees to provide the minimum amount of information permissible when responding to a request for disclosure, based on a reasonable interpretation of the request.

SECTION IV – FINAL PROVISIONS

Clause 16

Non-compliance with the Clauses and termination

(a) The data importer shall promptly inform the data exporter if it is unable to comply with these Clauses, for whatever reason.

(b) In the event that the data importer is in breach of these Clauses or unable to comply with these Clauses, the data exporter shall suspend the transfer of personal data to the data importer until compliance is again ensured or the contract is terminated. This is without prejudice to Clause 14(f).

(c) The data exporter shall be entitled to terminate the contract, insofar as it concerns the processing of personal data under these Clauses, where:

(i) the data exporter has suspended the transfer of personal data to the data importer pursuant to paragraph (b) and compliance with these Clauses is not restored within a reasonable time and in any event within one month of suspension;

(ii) the data importer is in substantial or persistent breach of these Clauses; or

(iii) the data importer fails to comply with a binding decision of a competent court or supervisory authority regarding its obligations under these Clauses.

In these cases, it shall inform the competent supervisory authority of such non-compliance. Where the contract involves more than two Parties, the data exporter may exercise this right to termination only with respect to the relevant Party, unless the Parties have agreed otherwise.

(d) Personal data that has been transferred prior to the termination of the contract pursuant to paragraph (c) shall at the choice of the data exporter immediately be returned to the data exporter or deleted in its entirety. The same shall apply to any copies of the data. The data importer shall certify the deletion of the data to the data exporter. Until the data is deleted or returned, the data importer shall continue to ensure compliance with these Clauses. In case of local laws applicable to the data importer that prohibit the return or deletion of the transferred personal data, the data importer warrants that it will continue to ensure compliance with these Clauses and will only process the data to the extent and for as long as required under that local law.

(e) Either Party may revoke its agreement to be bound by these Clauses where (i) the European Commission adopts a decision pursuant to Article 45(3) of Regulation (EU) 2016/679 that covers the transfer of personal data to which these Clauses apply; or (ii) Regulation (EU) 2016/679 becomes part of the legal framework of the country to which the personal data is transferred. This is without prejudice to other obligations applying to the processing in question under Regulation (EU) 2016/679.

Clause 17

Governing law

MODULE ONE: Transfer controller to controller

These Clauses shall be governed by the law of one of the EU Member States, provided such law allows for third-party beneficiary rights. The Parties agree that this shall be the law of Ireland.

Clause 18

Choice of forum and jurisdiction

MODULE ONE: Transfer controller to controller

(a) Any dispute arising from these Clauses shall be resolved by the courts of an EU Member State.

(b) The Parties agree that those shall be the courts of Ireland.

(c) A data subject may also bring legal proceedings against the data exporter and/or data importer before the courts of the Member State in which he/she has his/her habitual residence.

(d) The Parties agree to submit themselves to the jurisdiction of such courts.

Annex 4 – Appendix

Annex 4 – Appendix – Annex I

A. LIST OF PARTIES

Data exporter(s):

1. Name: [As found in the user's profile]

Address: [As found in the user's profile]

Contact person's name, position and contact details: [As found in the user's profile]

Activities relevant to the data transferred under these Clauses: [As found in the user's profile]

Signature and date: [As per electronic confirmation and system timestamp]

Role (controller/processor): Controller

 

Data importer(s):

1. Name: Lux Consulting Group, Inc.

Address: 8403 Colesville Rd. Suite #1100, Silver Spring, MD 20910

Contact person's name, position and contact details: Johnny Erickson, CIO, it@luxcg.com

Activities relevant to the data transferred under these Clauses: As defined by roles, see Belmont Forum Review and Awards Guide and/or Belmont Forum Reporting Guide

Signature and date: Johnny Erickson, 17 February 2022

Role (controller/processor): Controller

 

B. DESCRIPTION OF TRANSFER

Categories of data subjects whose personal data is transferred

See section 3 of the Privacy and Legal Statement.

Categories of personal data transferred

See section 3 of the Privacy and Legal Statement.

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

N/A

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

See section 2 of the Privacy and Legal Statement.

Nature of the processing

See section 2 and section 6 of the Privacy and Legal Statement.

Purpose(s) of the data transfer and further processing

See section 2 and section 6 of the Privacy and Legal Statement.

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

See section 4 of the Privacy and Legal Statement.

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

See section 2 of the Privacy and Legal Statement.

 

C. COMPETENT SUPERVISORY AUTHORITY

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

The lead or sole supervisory authority with responsibility for ensuring compliance by the data exporter with Regulation.

Annex 4 – Appendix – Annex II – TECHNICAL AND ORGANISATIONAL MEASURES INCLUDING TECHNICAL AND ORGANISATIONAL MEASURES TO ENSURE THE SECURITY OF THE DATA

Data security plan by Lux Consulting Group, Inc. is available upon request.

Footnotes

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

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

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