Sopheon Corporation Data Privacy Framework Policy

Last updated 1 September, 2023

Sopheon Corporation (CO), and our U.S. subsidiaries Sopheon Corporation (MN), and Alignent Software, Inc. (together "Sopheon," “we,” “our,” and “us”), complies with the EU-U.S. Data Privacy Framework (EU-U.S. DPF), the United Kingdom Extension to the EU-U.S. DPF (UK Extension to the EU-U.S. DPF), and the Swiss-U.S. Data Privacy Framework (Swiss-U.S. DPF) as set forth by the U.S. Department of Commerce regarding the collection, use, and retention of Personal Data (as defined below) from European Union member countries, the United Kingdom (and Gibraltar) and Switzerland. Sopheon has certified that it adheres to the Data Privacy Principles of Notice; Choice; Accountability for Onward Transfer; Security; Data Integrity and Purpose Limitation; Access; and Recourse, Enforcement, and Liability. If there is any conflict between the policies in this Sopheon Data Privacy Framework Policy (“DPF Policy”) and the DPF Principles, the DPF Principles shall govern. To learn more about the Data Privacy Framework program, and to view our certification page, please visit https://www.dataprivacyframework.gov/.

Definitions
“Data Subject” means the individual to whom any given Personal Data covered by this DPF Policy refers.
“Personal Data” means any information relating to an individual residing in the European Union, the United Kingdom and Switzerland that can be used to identify that individual either on its own or in combination with other readily available data.
“Sensitive Personal Data” means Personal Data regarding an individual's racial or ethnic origin, political opinions, religious or philosophical beliefs, trade-union membership, medical or health conditions, or sexual life.

Scope and Responsibility
This Data Privacy Framework Policy applies to Personal Data transferred from European Union member countries, the United Kingdom (and Gibraltar) and Switzerland to Sopheon’s operations in the U.S. in reliance on the respective Data Privacy Framework and does not apply to Personal Data transferred under Standard Contractual Clauses or any approved derogation from the EU Directive.

Some types of Personal Data may be subject to other privacy-related requirements and policies. For example:

Some Sopheon websites and systems have their own privacy policies.
Personal Data regarding and/or received from a client is also subject to any specific agreement with, or notice to, the client, as well as additional applicable laws and professional standards.
Employee Personal Information is subject to internal human resource policies including the Employee Data Privacy Notice.

All employees of Sopheon that have access in the U.S. to Personal Data covered by this DPF Policy are responsible for conducting themselves in accordance with this DPF Policy. Adherence by Sopheon to this DPF Policy may be limited to the extent required to meet legal, regulatory, governmental, or national security obligations, but Personal Data covered by this DPF Policy shall not be collected, used, or disclosed in a manner contrary to this policy without the prior written permission of Sopheon’s Chief Privacy Officer.

Sopheon employees responsible for engaging third parties to which Personal Data covered by this DPF Policy will be transferred are responsible for obtaining appropriate assurances that such third parties have an obligation to conduct themselves in accordance with the applicable provisions of this DPF Principles, including any applicable contractual assurances required by the Data Privacy Framework Program.

Data Privacy Framework Principles
Sopheon commits to subject to the Data Privacy Framework’s Principles, all Personal Data received by Sopheon in the U.S. from European Union member countries, the United Kingdom (and Gibraltar) and Switzerland in reliance on the respective Data Privacy Framework.

1. Data Collected

Sopheon hosts and processes Customer Data, including any Personal Data contained therein, at the direction of and pursuant to the instructions of Sopheon’s Customers. Sopheon also collects several types of information from our Customers, including information and correspondence our Customers and Users submit to us in connection with hosted applications, consulting services or other requests related to our products and services. The information collected may include geographic location data and information regarding Users’ Devices and OS identification, login credentials, language and time zone. Further information can be found at https://www.sopheon.com/privacy-policy.

In addition, Sopheon collects general information about its customers and vendors, including a company name and address, bank information, and the representative’s contact information for billing and contracting purposes.
In addition, Sopheon collects information about its staff in the course of employment and operations. Further information can be found in the Employee Data Privacy Notice available to all employees on the Corporate Intranet.

2. Choice

If Personal Data covered by this DPF Policy is to be used for a new purpose that is materially different from that for which the Personal Data was originally collected or subsequently authorized, or is to be disclosed to a non-agent third party, Sopheon will provide Data Subjects with an opportunity to choose whether to have their Personal Data so used or disclosed. Requests to opt out of such uses or disclosures of Personal Data should be sent to: privacy@Sopheon.com.

If Sensitive Personal Data covered by this DPF Policy is to be used for a new purpose that is different from that for which the Personal Data was originally collected or subsequently authorized, or is to be disclosed to a third party, Sopheon will obtain the Data Subject’s affirmative explicit consent prior to such use or disclosure. Sopheon will treat any personal information received from a third party as sensitive if they identify it as sensitive.

3. Third Parties and Accountability for Onward Transfer

Sopheon shares data for business purposes only on a need-to-know basis and only with: other companies within our group of companies; its own employees and affiliates; the entity from which Sopheon received the data; Sopheon agents, consultants, subcontractors, advisers and auditors; to suppliers of services to us, and third-party service-provider companies, in each case that have agreed to take measures to safeguard your data and other entities authorized to have access to such data under applicable law or regulation. Except as described in the Privacy Notice, Sopheon will not share the personal data you provide to Sopheon with non-Sopheon third parties without your permission except as required by law to government agencies (such as the police) or courts of competent authority or when necessary in order to protect the rights of Sopheon or its employees.

Sopheon is required to disclose personal information in response to lawful requests by public authorities, including to meet national security or law enforcement requirements.
We acknowledge our liability for data transfers to third parties.

In the event we transfer Personal Data covered by this DPF Policy to a third party acting as a controller, we will do so consistent with any notice provided to Data Subjects and any consent they have given, and only if the third party has given us contractual assurances that it will (i) process the Personal Data for limited and specified purposes consistent with any consent provided by the Data Subjects, (ii) provide at least the same level of protection as is required by the DPF Principles and notify us if it makes a determination that it cannot do so; and (iii) cease processing of the Personal Data or take other reasonable and appropriate steps to remediate if it makes such a determination. If Sopheon has knowledge that a third party acting as a controller is processing Personal Data covered by this DPF Policy in a way that is contrary to the DPF Principles, Sopheon will take reasonable steps to prevent or stop such processing.

With respect to our agents, we will transfer only the Personal Data covered by this DPF Policy needed for an agent to deliver to Sopheon the requested product or service. Furthermore, we will (i) permit the agent to process such Personal Data only for limited and specified purposes; (ii) require the agent to provide at least the same level of privacy protection as is required by the DPF Principles; (iii) take reasonable and appropriate steps to ensure that the agent effectively processes the Personal Data transferred in a manner consistent with Sopheon’s obligations under the DPF Principles; and (iv) require the agent to notify Sopheon if it makes a determination that it can no longer meet its obligation to provide the same level of protection as is required by the DPF Principles. Upon receiving notice from an agent that it can no longer meet its obligation to provide the same level of protection as is required by the DPF Principles, we will take reasonable and appropriate steps to stop and remediate unauthorized processing. Sopheon will provide a summary or representative copy of the relevant privacy provisions of its contract with that agent to the Department of Commerce upon request.

Sopheon remains liable under the DPF Principles if an agent processes Personal Data covered by this DPF Policy in a manner inconsistent with the Principles, except where Sopheon is not responsible for the event giving rise to the damage.

4. Security

Sopheon takes reasonable and appropriate measures to protect Personal Data covered by this DPF Policy from loss, misuse, and unauthorized access, disclosure, alteration, and destruction, taking into due account the risks involved in the processing and the nature of the Personal Data.

5. Data Integrity and Purpose Limitation

Sopheon limits the collection of Personal Data covered by this DPF Policy to information that is relevant for the purposes of processing. Sopheon does not process such Personal Data in a way that is incompatible with the purposes for which it has been collected or subsequently authorized by the Data Subject.

Sopheon takes reasonable steps to ensure that such Personal Data is reliable for its intended use, accurate, complete, and current. Sopheon takes reasonable and appropriate measures to comply with the requirement under the DPF to retain Personal Data in identifiable form only for as long as it serves a purpose of processing, which includes Sopheon’s obligations to comply with professional standards, Sopheon’s business purposes and unless a longer retention period is permitted by law, and it adheres to the DPF Principles for as long as it retains such Personal Data.

6. Access

Data Subjects whose Personal Data is covered by this DPF Policy have the right to access such Personal Data and to correct, amend, or delete such Personal Data if it is inaccurate or has been processed in violation of the DPF Principles (except when the burden or expense of providing access, correction, amendment, or deletion would be disproportionate to the risks to the Data Subject’s privacy, or where the rights of persons other than the Data Subject would be violated). Requests for access, correction, amendment, or deletion should be sent to: privacy@Sopheon.com.

7. Recourse, Enforcement and Liability

Sopheon’s participation in the EU-U.S. DPF, the UK Extension to the EU-U.S. DPF, and the Swiss-U.S. DPF is subject to investigation and enforcement by the Federal Trade Commission.
In compliance with the DPF, Sopheon commits to resolve complaints about our collection or use of your Personal Data. Data Subjects with inquiries or complaints regarding our handling of Personal Data received in reliance on the EU-U.S. DPF, the UK Extension to the EU-U.S. DPF and the Swiss-U.S. DPF should first contact Sopheon at: privacy@Sopheon.com.

Sopheon further commits to cooperate and comply with the advice of the panel established by the EU Data Protection Authorities (“DPA’s”), the UK Information Commissioner’s Office (ICO) and the Gibraltar Regulatory Authority (GRA), or the Swiss Federal Data Protection and Information Commissioner (FDPIC) with regard to unresolved complaints concerning our handling of Personal Data received in reliance on the EU-U.S. DPF, the UK Extension to the EU-U.S. DPF and the Swiss-U.S. DPF. If you do not receive timely acknowledgment of your complaint, or if your complaint is not satisfactorily addressed, to contact your jurisdiction’s DPA:

• European Union: http://ec.europa.eu/justice/data-protection/article-29/structure/data-protection-authorities/index_en.htm
• Swiss FDPIC: https://www.edoeb.admin.ch/edoeb/en/home/datenschutz.html
• UK Information Commissioner’s Office (ICO): https://ico.org.uk/
• Gibraltar Regulatory Authority (GRA): https://www.gra.gi/data-protection

Under certain conditions detailed in the DPF Program, Data Subjects may be able to invoke binding arbitration before the DPF Panel to be created by the U.S. Department of Commerce and the European Commission. If your complaint is not resolved by any of the other DPF mechanisms, please see DPF Annex I for additional information: https://www.dataprivacyframework.gov/s/article/ANNEX-I-introduction-dpf?tabset-35584=2

Sopheon agrees to periodically review and verify its compliance with the DPF Principles, and to remedy any issues arising out of failure to comply with the DPF Principles. Sopheon acknowledges that its failure to provide an annual self-certification, the U.S. Department of Commerce will remove it from the Department’s list of DPF participants.

Changes to this Data Privacy Framework Policy

This DPF Policy may be amended from time to time consistent with the requirements of the DPF Program. Appropriate notice regarding such amendments will be given.

Last updated 1 September 2023