I. Introduction

Aperio CI, Inc. (“Aperio”) transacts business with companies here in the United States and internationally, including countries that are part of the European Union (“EU”). We currently have employees and agents who reside outside of the United States. Our policy concerning the privacy of individuals’ personal identifiable information is treated consistently with the same high level of security regardless of whether the information emanated from within or without the United States.

II. Data Protection Compliance

It is Aperio CI’s policy to comply with all applicable regulatory requirements for the processing of personal and sensitive data, including the EU Data Protection Directive, the U.S. Commerce Department Safe Harbor framework, the U.K. Data Protection Act of 1998, as each may be amended and supplemented.

III. Aperio CI as a Data Processor

Aperio CI’s role in data protection and privacy is generally limited by its position as a data processor. Aperio CI currently receives data from entities located in the EU (an “EU Member”) merely for processing. As set forth in FAQ 10 of the Safe Harbor Framework: A U.S. organization participating in the safe harbor and receiving personal information from the EU merely for processing thus does not have to apply the Principles to this information, because the controller in the EU remains responsible for it vis-à-vis the individual in accordance with the relevant EU provisions (which may be more stringent that the equivalent Safe Harbor Principles). Accordingly, for processing purposes, Aperio CI’s privacy policy with regard to the EU and Safe Harbor Principles is tailored to Aperio CI’s Role as a data processor. Many responsibilities imposed by regulatory authorities are necessarily outside the scope of Aperio CI’s limited role as a data processor and therefore fall to other parties, including Aperio CI’s clients and their constituents.

Aperio CI currently is subject to and will enter into a written contract with a EU Member, prior to processing any such data. The contract will contain terms and provisions regarding each respective party’s rights and obligations as it relates to the processing of data. This will ensure that the EU data controller will be in compliance with the Member State Data Protection law. Any data processed by Aperio CI will not be disclosed to third parties, except where permitted or required by the contract between the EU Member and Aperio CI. Any information, which an Aperio CI customer (acting as the EU controller) identifies as sensitive information will be treated accordingly.

Aperio CI has in place and will provide as such in a Master Agreement with an EU Member that Aperio CI has adequate data security measures to protect personal information from loss, misuse, unauthorized access, disclosure, alteration and destruction.

IV. Definitions

For purposes of this Policy, the following definitions shall apply:
“Agent” means any third party that may use Personal information provided by Aperio CI to perform tasks on behalf of or at the instruction of Aperio CI.

“Personal Information” means any information or set of information that identifies or could be used by or on behalf of Aperio CI to identify an individual. Personal information does not include information that is encoded or anonym zed, or publicly available information that has been combined with nonpublic Personal information.

“Sensitive Personal Information” means Personal information that reveals race, ethnic origin, trade union membership, or that concerns health. In addition, Aperio CI will treat as sensitive Personal Information any information received from a third party where that third party treats and identifies the information as sensitive.

V. Privacy Principles

A. “Notice.” Where Aperio CI collects Personal Information directly from individuals, it will inform them about the purposes for which it collects and uses Personal Information about them, the types of non-agent third parties to which Aperio CI discloses that information, and the choices and means, if any, Aperio CI offers individuals for limiting the use and disclosure of their Personal Information. Notice will be provided in clear and conspicuous language when individuals are fist asked to provide Personal Information to Aperio CI, or as soon as practicable thereafter, and in any event before Aperio CI uses the information for a purpose other than that for which it was originally collected. Aperio CI may disclose Personal Information if required to do so by law or to protect and defend the rights or property of Aperio CI.

B. “Choice.” Aperio CI will offer individuals the opportunity to choose (opt-out) whether their Personal Information is

C. “Data Integrity.” Aperio CI will use Personal information only in ways that are compatible with the purposes for which it was collected or subsequently authorized by the individual. Aperio CI will take reasonable steps to ensure that Personal Information is relevant to its intended use, accurate, complete and current.

D. “Access.” Upon request, Aperio CI will grant individuals reasonable access to personal information that it holds about them. In addition, Aperio CI will take reasonable steps to permit individuals to correct, amend, or delete information that is demonstrated to be inaccurate or incomplete.

E. “Enforcement.” Aperio CI will conduct compliance audits of its relevant privacy practices to verify adherence to this Policy. Any employee that Aperio CI determines is in violation of this policy will be subject to disciplinary action up to and including termination of employment.

VI. Dispute Resolution. Any questions or concerns regarding the use or disclosure of personal information should be directed to the Aperio CI Privacy Officer at the address given below. Aperio CI will investigate and attempt to resolve complaints and disputes regarding use and disclosure of personal information in accordance with the principles contained in this Policy. For complaints that cannot be resolved between Aperio CI and the complainant, Aperio CI has agreed to participate in the dispute resolution procedures of the panel established by the European data protection authorities to resolve disputes pursuant to the Safe Harbor Principles.

VII. Contact Information. Questions or comments regarding this Policy should be submitted to the Aperio CI Privacy Officer by mail or e-mail as follows:

Aperio CI, Inc.’s Privacy Officer
Aperio CI, Inc.
25 Howard Place
Ronkonkoma, New York 11779
privacy.officer@aperioci.com

Changes to Aperio CI’s Safe Harbor Privacy Policy

The preceding paragraphs describe Aperio CI’s personal data protection policy as of Monday, September 26, 2005. Aperio CI retains the right to modify or amend this Policy at any time consistent with the requirements of the Safe Harbor Principles.