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    Privacy

    Table of Contents

    Introduction

    1. Definitions
    2. Responsibility for Your Personal Information
    3. Categories of Individuals About Whom We Process Personal Information
    4. Categories and Sources of Personal Information Processed
    5. Sharing of Personal Information
    6. Cross-Border Transfers of Personal Information
    7. Data Retention Period
    8. Updating Personal Information about You
    9. Security of Personal Information
    10. Policy for Confidentiality of Social Security Numbers
    11. Personal Information about Others that You Provide to Us
    12. Changes to the Global Privacy Policy
    13. How to Contact Us

    Appendix 1: Summary of Privacy Rights under the GDPR (Regulation (EU) 2016/679)

    Appendix 2: Privacy Policy for California Residents under the  California Consumer Privacy Act of 2018

    Appendix 3: HIPAA Privacy Policy

    Appendix 4: Privacy Notice at Collection for California Residents and Privacy Notice at Collection for Job Applicants, Employees, Owners, Directors, Officers, Medical Staff Members, and Contractors, and for their Emergency Contacts, who are California Residents

    Appendix 5: Notice of Compliance with Connecticut Act Concerning the Confidentiality of Social Security Numbers

    Introduction

    Locke Lord LLP and Locke Lord (UK) LLP (jointly “Locke Lord,” the “Firm” or “we”) understand how important your privacy and the protection of your personal data and information is to you. The following Global Privacy Policy explains how we use and protect personal data and information that we collect, store, transfer, and otherwise process.

    If you are (i) a resident of the European Union or you are otherwise covered by the GDPR (as hereinafter defined) or (ii) a resident of California, and in each case your personal information is subject to the privacy laws and regulations of one of those jurisdictions, the additional provisions of each of Appendix 1 (the “GDPR Privacy Rights Summary”) and Appendix 2 (the “CCPA Privacy Policy”) shall also apply, respectively.  To the extent the provisions of this Global Privacy Policy conflict or are inconsistent with the ‎provisions set out in the applicable Appendix, the provisions in that Appendix shall control.‎

    If you have any questions regarding this Global Privacy Policy or do not feel that your concerns have been addressed, please direct your questions through the “How to Contact Us” section at the end of this Privacy Policy.

    1. Definitions

    “CCPA” means the California Consumer Privacy Act of 2018‎ and any regulations issued thereunder, as they may be amended from time to time.

    “GDPR” means Regulation (EU) 2016/679 and any law made under or as a result of it.

    Global Privacy Policy” means this Global Privacy Policy, as supplemented as applicable by the provisions set forth in the GDPR Privacy Rights Summary, the CCPA Privacy Policy, the Connecticut Policy, the Nevada Internet Privacy Act Summary and the HIPAA Privacy Policy.

    “Personal information” as used in this Global Privacy Policy means (i) “personal data” as defined in the GDPR and means any data that relates to an identified or identifiable natural person and (ii) “personal information” as defined under the CCPA, and means information that identifies, relates to, describes, is reasonably capable of being associated with, or could reasonably be linked, directly or indirectly, with a particular consumer or household.

    “Processing” means any operation or set of operations which is performed upon personal information, whether or not by automatic means, such as collection, recording, organization, structuring, storage, adaptation or alteration, retrieval, consultation, use, disclosure by transmission, dissemination or otherwise making available, alignment or combination, restriction, erasure or destruction.

    “you” means any individual person identified or identifiable by personal information, as relevant for the context in which it is used in the Global Privacy Policy.

    2. Responsibility for Your Personal Information

    Locke Lord is responsible for its processing of your personal information under this Global Privacy Policy ‎and is the data controller under GDPR.  Locke Lord consists of the following legal entities:

    • Locke Lord LLP, 2200 Ross Avenue, Suite 2800, Dallas, Texas  75201, United States, T: +1-214-740-8000
    • Locke Lord (UK) LLP, 201 Bishopsgate, London, EC2M 3AB DX 567, United Kingdom; T: +44 (0) 20 7861-9000

    You may contact the Firm regarding any questions or complaints as specified in the “How to Contact Us” section below.

    3. Categories of Individuals About Whom We Process Personal Information

    We process personal information from or about the following categories of individuals:

    • Firm employees, partners, contractors, consultants, paid interns and temporary employees (“HR Data”);
    • Users of the Firm Website (“Website Data”);
    • Individuals who are, or are associated with, Firm clients, vendors, or other business contacts with whom we interact or seek to establish a relationship with (“Contact Data”);
    • Individuals identified in data provided by or on behalf of clients in connection with representation by the Firm (“Client Sourced Data”); and
    • Individuals who are, or are associated with, adverse parties, witnesses, or other third parties relevant to our legal representation of clients, such as information obtained during investigations or discovery in the context of litigation, arbitration, negotiations, or other aspects of client representation (“Other Party Data”)

    4. Categories and Sources of Personal Information Processed

    We may collect and store various types of personal information about you, depending on the category in which you fall and the reason for which the personal information is processed. The following is a general summary of the personal information about you that we may process in each category, the sources of such personal information, and the purposes of processing:

    4.1 HR Data

    When you apply for employment with the Firm (whether as an employee, partner, contractor, consultant, paid intern or temporary employee), when we evaluate your employment application and related materials (e.g., the results of pre-employment screenings), and thereafter throughout the course of your employment, contract or consulting arrangement, we obtain HR Data about you.

    Categories of HR Data: The HR Data we collect and process varies by the roles and responsibilities that you undertake with the Firm, and our needs.  Such personal information may include:

    • Individual Data:  Your name, address, telephone and/or mobile telephone number, e-mail address, gender, gender identity or gender expression, marital status, date of birth/age, citizenship, national origin, foreign language skills, relevant tax identification number(s), information on your passport, driver’s license or other governmental identification, information contained in a governmental employment eligibility form, prior employers, education, prior employment history, results of criminal background screening, visa information, emergency contact information, name change information,  CVs, etc.;

    • Job-Related Data:  Your payroll and salary information, bank account information (to administer direct deposit and/or expense reimbursements), benefits and pension information, dependent and beneficiary information you provide, information about reimbursable expenses you incur on our behalf, information about Firm-owned equipment assigned to you, tax and government reporting information, information about your performance on the job, including reviews, appraisals, warnings, individual and management development plans and reviews, and information relating to promotions and position changes (including requests), information regarding your compliance with company policies and certifications;

    • Special Categories of Personal information: Your racial or ethnic origin, religion or creed, church affiliation (where necessary for deducting church taxes from your income), trade union membership, biometric data for the purpose of uniquely identifying you, data concerning health (e.g., leave information, information on pregnancy or disabilities in order to comply with legal requirements), physical or mental disability, veteran or military status, genetic information (including familial genetic information) or data that you voluntarily submit concerning your sexual orientation; and

    • Other Data About You: Any additional personal information that may be included on documents you submit or we obtain as part of your employment application or throughout the course of your employment, such as information contained on any employment application or cover letter, curriculum vitae or resume, diploma, transcript, license, statement of good behavior, background screening, employment contract, any related documents, reference check, identification card, request for leave, benefits, wage garnishment and other similar court-ordered information, etc., and information collected from publicly available resources, professional license databases, and credit agencies, where applicable. Whenever you provide personal information about a dependent or beneficiary (e.g., in connection with benefits we provide to you), it is your obligation to inform such dependent or beneficiary of the fact that you have provided us with personal information about him or her, and to inform such dependent or beneficiary of his or her rights under the Global Privacy Policy.

    Sources of HR Data: We obtain HR Data about you (i) directly from you, (ii) from our partners and employees at the Firm (e.g., performance reviews), and (iii) from third parties, such as government agencies, recruiters, employment agencies, screening companies, and references that you provide to us, as well as from publicly available sources, such as websites.

    Purposes and Legal Basis for the Processing: Your HR Data is processed for the purpose of establishing and maintaining your employment relationship with us (whether as an employee, partner, contractor, or consultant). The legal basis for such processing is that it is: (i) necessary for entering into and/or performing your employment relationship with the Firm, (ii) necessary for compliance with one or more legal obligations to which you or the Firm is subject (e.g., reporting to governmental or taxing authorities), and/or (iii) necessary for the purposes of the legitimate business interests pursued by the Firm‎ in recruiting and employing personnel in order to provide its services.

             4.2 Website Data

    You do not have to submit any personal information in order to use our Website.

    Categories of Website Data: When you visit the Firm Website, we may collect two types of data: (1) personal information about you that you voluntarily choose to provide to us, and (2) information related to your activities on the Firm Website that we automatically collect as you interact with the Firm Website (“Website Usage Information”).

    • Information You Voluntarily Provide:  We collect personal information that you voluntarily provide in response to requests we may make at various places and through various mechanisms on the Firm Website. The personal information we collect is business-oriented data and is usually limited to contact information necessary for the relationship, such as name, company name, job title, and email address. We may collect such information, for example, when you fill out and submit a form, such as if you register for an event, register to receive a newsletter or email communications, when you submit an inquiry or request to us using a form or e-mail address link on the Firm Website, and when you send an email to a Firm address or Firm mail list that is listed on the Firm Website. In such case, we will collect whatever personal information you voluntarily provide in response to our request.
    • Special Categories of Personal Information: In connection with the registration for and provision of access to an event or seminar, we may ask for information about your health for the purpose of identifying and accommodating any disabilities or special dietary requirements you may have. Any use of such information is based on your consent. If you do not provide any such information about disabilities or special dietary requirements, we will not be able to take any respective precautions.
    • Website Usage Information and Cookies: The Firm Website uses cookies for analytical and functionality purposes that allow us to improve our Website based on visitor experience. Cookies are small text files placed on a computer hard drive to record a visitor’s information such as user ID and browsing behavior. Our cookies do not collect any personal information such as your name or email address.

    We use the following types of cookies:

    (a) Necessary cookies. These are cookies that are required for the operation of our Website. They include, for example, cookies that enable the Website to perform as intended and to access secure areas of our Website.
    (b) Analytical/performance cookies. They allow us to recognize and count the number of visitors and repeat visitors, to see how visitors move around our Website when they are using it, to see which search engine is being used to access our Website, the region a visitor is browsing from, and the type of device a user is visiting from. This helps us to improve the way our Website works, for example, by ensuring that users are finding what they are looking for easily. We may use third-party services, currently Google Analytics and Siteimprove, to collect standard internet log information and details of visitor behavior patterns. This information is only processed in a way that does not identify anyone. To opt out of being tracked by Google Analytics across all websites visit http://tools.google.com/dlpage/gaoptout. Individuals who have opted to browse websites in private or incognito mode will not be tracked by Siteimprove on our Website.

    If you do not wish to receive cookies, most browsers allow you to change your cookie settings. Please note that if you choose to change cookie settings you may not be able to use the full functionality of our Website. These settings will typically be found in the “options” or “preferences” menu of your browser. Further, most browsers permit individuals to decline cookies. To find out more about cookies, including how to see what cookies have been set and how to manage and delete them, visit www.aboutcookies.org or www.allaboutcookies.org.

    • Links to Third Party Websites.  The Firm Website may contain links to other third party websites (including but not limited to publications containing articles written by and about our attorneys and organizations where our attorneys are speaking and/or participating in community, service or bar activities), all of which are separate legal entities whose information practices may be different from ours. This Privacy Policy does not cover any such third party websites. If you provide personal information to such third party websites all information you disclose will be subject to the Privacy Policy and practices of such third parties. We are not responsible for the policies and practices of such third parties and, therefore, you should review the specific policies posted on those websites prior to submitting personal information to them.
    • Information about Children. Neither the Firm Website nor any of our products or services are directed to children younger than age sixteen (16). We do not knowingly collect personal information from children under the age of sixteen (16) via the Firm Website and we will delete any such information later determined to be from a person younger than age sixteen (16).
    • Third-Party Tracking and Do Not Track.  Third parties may use tracking technologies in connection with our Firm Website, which may include the collection of information about your online activities over time and across third-party websites. This Global Privacy Policy does not apply to these third-party technologies because we may not control them and we are not responsible for them. Do Not Track is a technology that enables users to opt out of tracking by websites they do not visit. Currently, we do not monitor or take any action with respect to Do Not Track technology.

    Sources of Website Data: We obtain Website Data about you (i) directly from you if you voluntarily choose to enter personal information on the Firm Website, and (ii) from the data analytics software, cookies, and web beacons that we may use on the Firm Website.

    Purposes and Legal Basis for the Processing: We process Website Data for the purposes of building relationships with existing and potential clients and other interested parties, communicating with such parties, and analyzing and improving the Firm Website. This includes keeping such people informed of the latest updates about legal and regulatory developments and notifying them of seminars and hosted events. Such processing is done in furtherance of and is necessary for the legitimate business interests pursued by the Firm ‎to market and provide legal services.

               4.3 Contact Data

    As any business, we collect, receive, and process Contact Data regarding our clients, potential clients, and other third parties (e.g., vendors, other attorneys, and other business and professional contacts) with whom we may interact from time to time.

    Categories of Contact Data: The Contact Data that we collect and process typically consists of information such as name, title, position, employer, email address, other business contact data (e.g., business card data), and similar relationship type data. Such Contact Data may also include details of your visits to our offices.

    Sources of Contact Data: We obtain Contact Data about you (i) directly from you, such as when you seek legal advice from us, attend a seminar or another event or sign up to receive newsletters, emails, or other information from us, or when you or your organization offer to provide or provide services to us, (ii) from others (e.g., referrals), (iii) from third parties, such as government agencies, and (iv) from publicly available sources, such as websites (e.g., LinkedIn, your business’ website, etc.).

    Purposes and Legal Basis for the Processing: We process Contact Data for the purposes of providing legal services to clients, building and managing relationships with existing and potential clients and other interested parties, communicating with such parties, and generally operating the Firm’s business. This includes keeping such people informed of the latest updates about legal and regulatory developments and notifying them of seminars and hosted events.  Such processing is done in furtherance of and is necessary for the legitimate business interests pursued by the Firm‎ as a provider of legal services.  It may also be done to comply with our legal obligations (such as record-keeping obligations), compliance screening or recording obligations, and financial and credit check and crime prevention and detection purposes.

    4.4 Client Sourced Data

    In the course of representing our clients, and providing legal services to them, we may receive certain Client Sourced Data from such clients or from third parties providing such data on their behalf, as necessary or relevant to the legal services we are providing.

    Categories of Client Sourced Data: The scope and extent of the Client Sourced Data that we collect and process is typically determined by the client and/or the nature and scope of the relationship and legal services involved.

    Sources of Client Sourced Data: We obtain Client Sourced Data directly from our clients, and from third parties that provide such information on behalf of our clients, such as their professional advisors, attorneys, auditors, and accountants, consultants, and others.

    Purposes and Legal Basis for the Processing: We process Client Sourced Data for the purposes of providing legal services to our clients. Such processing is done in furtherance of and is necessary for the legitimate business interests pursued by the Firm ‎as such a provider, and in some cases because it is necessary for the performance of a contract to which the data subject is party, or is necessary for compliance with a court order or a legal obligation.

    As a matter of Firm policy, Firm attorneys and staff may use or disseminate Client Sourced Data only for the purpose of providing legal services consistent with our ethical obligations to our clients, including the duty of confidentiality under rules of professional responsibility applicable to our lawyers in our various jurisdictions .  The Firm believes in transparency with the client as to the collection, use, and dissemination of Client Sourced Data, and the reasons therefor.

    Protected Health Information Under HIPAA. To the extent that any Client is considered to be a Covered Entity or Business Associate (as each is defined in HIPAA) under the U.S. Health Insurance Portability and Accountability Act of 1996 (“HIPAA”), and the Client Sourced Data includes Protected Health Information (as defined in HIPAA), or Protected Health Information is collected by us in our capacity as a Business Associate or sub-contractor Business Associate under HIPAA, the provisions of the HIPAA Privacy Policy attached as Appendix 3 shall also apply.

                4.4 Other Party Data

    In the course of representing our clients, and providing legal services to them, we may seek, obtain, receive, or require, certain Other Party Data regarding adverse parties, witnesses, or other third parties relevant to our legal representation of the client.

    Categories of Other Party Data: The scope and extent of the Other Party Data that we collect and process is typically determined by the applicable client, an adverse party, a court, and/or the nature and scope of the legal representation involved.

    Sources of Other Party Data: We obtain Other Party Data about you from a variety of sources as necessary in the context of representing our clients, which may include directly from adverse parties (either voluntarily or through discovery in litigation or arbitration), from our own investigations in connection with representing our clients, and from other third parties providing such data.

    Purposes and Legal Basis for the Processing: We process Other Party Data for the purposes of providing legal services to our clients. Such processing is done in furtherance of and is necessary for the legitimate business interests pursued by the Firm‎ as a provider of legal services, or is necessary for compliance with a legal obligation.

    Protected Health Information Under HIPAA. To the extent that any Other Party Data is provided by a Covered Entity or Business Associate under the HIPAA, and the Other Party Data includes Protected Health Information, the provisions of the HIPAA Privacy Policy attached as Appendix 3 shall also apply.

    5. Sharing of Personal Information

    Subject in all cases to our ethical obligations as attorneys, we may share selected personal information about you with the following parties or in the following circumstances.  We do not sell personal information we collect about you, including as the term “sale” is used within the meaning of the CCPA or the Nevada Act Relating to Internet Privacy.

    5.1       Intra-Firm

    Locke Lord LLP, Locke Lord (UK) LLP and Locke Lord may share personal information about you between or among them as necessary for the conduct of the Firm’s business.

                5.2       Third Party Service Providers

    We may share personal information about you with third parties who perform services for us or on our or our clients’ behalf, for the limited purpose of carrying out such services. This includes, without limitation, third parties that assist in managing our organization, hosting or administering the Firm Website or other systems, sending communications on our or our clients’ behalf, maintaining or analyzing our or our clients’ data, providing marketing assistance, conducting background checks, or in providing legal services to us or our clients. It also includes third parties providing services for money laundering checks, credit risk reduction and other fraud and crime prevention purposes and companies providing similar services, including financial institutions, credit reference and background check agencies and regulatory bodies with whom such personal information is shared.

                5.3       Clients and Other Parties

    We may share selected personal information about you with clients, adverse parties, courts, regulators, legal counsel, experts, consultants, law enforcement personnel, and other persons or entities to the extent reasonably necessary or appropriate in the context of providing legal representation or other legal services for our clients.

                5.4       Corporate Change

    We reserve the right to disclose and transfer personal information about you in connection with a Firm merger, consolidation, restructuring, financing, sale of substantially all assets, or other organizational change.

                5.5       Legal Requirements and Law Enforcement

    We may disclose personal information about you when we believe in good faith that the law requires it; at the request of governmental authorities conducting an audit or investigation; pursuant to a court order, subpoena, or discovery request in litigation; to verify or enforce compliance with our agreements or policies and applicable laws, rules, and regulations; or whenever we believe disclosure is necessary to limit our legal liability or to protect or enforce the rights, interests, or safety of the Firm Website, its users, or other third parties. We also reserve the right to report to law enforcement agencies any activities that we, in good faith, believe to be unlawful.

                5.6       Consent

    We may also share personal information about you in accordance with any express consent you or your authorized agent give us which is specific to the purposes of the processing which you will be informed about at the time we request such consent. You do not have to give such consent.  If you do give consent, you may withdraw it at any time by contacting us (see “How to Contact Us” section below), however please be aware that such withdrawal will not affect the lawfulness of personal information collected and processed prior to the date of your withdrawal of consent.

    6. Cross-Border Transfers of Personal Information

    Some Firm offices are located in different countries.  The Firm will transfer personal information from one country to another from time to time.  It will do so in compliance with applicable privacy and data protection law. For purposes of facilitating transfers of personal information from the EU to the U.S., Locke Lord LLP, and Locke Lord (UK) LLP, have entered into EU Standard Contractual Clauses. You may request a copy of the EU Standard Contractual Clauses from the Firm at any time.  Where the Firm transfers personal information from the EU to any third party outside the EU where ‎there is no relevant adequacy decision, it will put in place EU Standard Contractual Clauses with ‎such third party or ensure a condition required by GDPR is met.  ‎

    7. Data Retention Period

    All personal information retained by the Firm will be deleted when such personal information are no longer necessary for the purposes for which it was processed, unless applicable law requires a longer retention period.  As set out in the Firm’s “Closing Matters and Client Document Retention” policy, the standard Retention Period for all client/matter ‎documents that contain personal information is five (5) years from the date the client/matter is ‎closed, or six (6) years in the case of files in the London office, except for documents to be retained for a shorter or longer period of time as ‎determined by the client’s guidelines or other agreement with the Firm or a member of the General ‎Counsel’s Office.

    8. Updating Personal Information about You

    If any of the personal information that you have provided to us changes, for example if you change your email address or if you wish to cancel any request you have made of us, or if you become aware we have any inaccurate personal information about you, please contact us as specified in the “How to Contact Us” section below. We will not be responsible for any losses arising from any inaccurate, inauthentic, deficient or incomplete personal information that you provide to us.

    9. Security of Personal Information

    We have implemented appropriate technical and organizational measures (i) to ensure a level of
    security appropriate to the risks that are presented by the Firm’s processing of personal information, in particular from accidental or unlawful destruction, loss, alteration, unauthorized disclosure of, or access to personal information transmitted, stored or otherwise processed, and (ii) to ensure the ongoing confidentiality, integrity, availability and resilience of processing systems and services for the personal information.’

    10. Policy for Confidentiality of Social Security Numbers

    It is the policy of the Firm to protect the confidentiality of Social Security numbers in its ‎possession from misuse and improper disclosure by maintaining and enforcing policies and ‎physical and electronic safeguards against misuse and improper disclosure. Unlawful disclosure ‎of Social Security numbers is prohibited, and access to them is limited to Firm personnel who ‎need access to such information in order to perform their job functions at the Firm.‎

    11. Personal Information about Others that You Provide to Us

    If you provide personal information to us about someone else (such as one of your directors or employees, or someone with whom you have business dealings) you must ensure that you are entitled to disclose that personal information to us and that, without our taking any further steps, we may collect, use and disclose that personal information as described in this Global Privacy Policy. In particular, you must ensure the individual concerned is aware of the various matters detailed in this Global Privacy Policy, as those matters relate to that individual, including our identity, how to contact us, our purposes for collection, our personal information disclosure practices (including disclosure to overseas recipients), the individual’s right to obtain access to their personal information and make complaints about the handling of their personal information, and the consequences if the personal information is not provided (such as our inability to provide services).

    12. Changes to the Global Privacy Policy

    The Firm reserves the right to modify or amend the Global Privacy Policy at any time. The current versions of the Global Privacy Policy will be published on our Website. Nothing contained in the Global Privacy Policy creates or is intended to create an attorney-client agreement between you and the Firm.  Please see our Legal Notices/Disclaimer on our Website for more information about attorney-client privilege.

     

    13. How to Contact Us

    For any questions about the Global Privacy Policy, to exercise any of your rights listed above or under the particular Appendix, or for any questions or complaints regarding the manner in which we handle or protect personal information, we can be contacted as follows:

    By e-mail: Sheryl.Hanley@lockelord.com

    By phone: +1-401-276-6628 or toll free:  888-558-5025

    By postal mail:

    Locke Lord LLP
    Attn: Sheryl Hanley, Privacy Officer
    2800 Financial Plaza
    Providence, RI  02903

    Additional rights afforded to California residents under the CCPA are set forth in the CCPA Privacy Policy under the section entitled “Contact Information.”

    ********************************************************************

    Effective Date:           June 18, 2018, as updated June 18, 2019 and December 31, 2019
    Geographic Scope:    Applies to all offices
    Application:               Applies to all attorneys and staff

    ________________________________________

    This policy is not a contract, and the Firm reserves the right to change, modify, suspend, interpret or cancel this policy in whole or in part, at any time, with or without prior notice.  Nothing in this policy is intended to change the traditional relationship of employment at will.


    Appendix 1
    Summary of Privacy Rights under the GDPR (Regulation (EU) 2016/679)‎ ‎

    To the extent provided by applicable law, and subject to our ethical obligations as attorneys, you have the following rights:

    • To request access to the personal data that we hold about you and to request that we rectify or erase it;
    • To request a copy of the personal data that we hold about you;
    • To request a transfer of your personal data from us to another data controller;  and
    • To request restriction of processing of your personal data or object to its processing.

    We do not impose any charge for these requests ‎(except further copies of data)‎.  For any such request, you can contact us by e-mail, postal mail, or phone as specified in the “How to Contact Us” section below. We will endeavor to respond to all requests in a timely manner, but in no event longer than thirty (30) days although where your request is complex it may takes us up to a further two ‎months to provide a copy of your personal data.

    To the extent the Firm is not the controller of your data, we will notify the controller of your request if required by applicable law.

    Withdrawing consent under the GDPR
    Where the lawful basis of our processing under the GDPR is that you have consented to it for a particular identified purpose, you have the right to withdraw that consent at any time. To do so, please contact us as specified in the “How to Contact Us” section below. If you do withdraw consent, this will not affect the lawfulness of any processing that was based on your consent before its withdrawal.

    Filing a Complaint under the GDPR
    In addition to the foregoing, you have the right under the GDPR to lodge a complaint in respect of your data protection rights with the applicable supervisory authority for data protection in your jurisdiction.  If you are in the United Kingdom, that supervisory authority is the UK’s Information Commissioner’s Office: https://ico.org.uk/.


    Appendix 2
    Privacy Policy for California Residents under the
    California Consumer Privacy Act of 2018

    Locke Lord LLP and Locke Lord (UK) LLP (jointly ‎‎”Locke Lord,” the “Firm” or “we”) understand how important your privacy and the protection ‎of your personal information is to you.  ‎

    This Privacy Policy for California Residents under the California Consumer Privacy Act of 2018 (the “CCPA Privacy Policy”) applies to personal information of California residents to the extent the information is subject to the California Consumer Privacy Act of 2018 (“CCPA”).  The Firm’s “Privacy Notice at Collection for California Residents” and “Privacy Notice at Collection for Job Applicants, Employees, Owners, Directors, Officers, Medical Staff Members, and Contractors, and for their Emergency Contacts, who are California Residents” may be linked to here..  These provisions do not apply to personal information collected pursuant to (i) the federal Gramm-Leach-Bliley Act and its implementing regulations or the California Financial Information Privacy Act or (ii) certain medical and health information covered by HIPAA.

    The provisions of the Firm’s global privacy policy (the “Global Privacy Policy”) to which this CCPA Privacy Policy is attached shall also apply to your personal information.  ‎To the extent the provisions of the Global Privacy Policy conflict or are inconsistent with the provisions ‎of the CCPA Privacy Policy, the provisions of the CCPA Privacy Policy shall control.

    To the extent that any Client is considered to be a Covered Entity or Business Associate under the U.S. Health Insurance Portability and Accountability Act of 1996 (“HIPAA”), and the personal information includes Protected Health Information, or Protected Health Information is collected by us in our capacity as a Business Associate or sub-contractor Business Associate under HIPAA, the provisions of the HIPAA Privacy Policy attached as Appendix 3 to the Global Privacy Policy shall also apply.

    Personal Information We Collect, Use or Disclose

    Categories of Personal Information, Categories of Sources of Personal Information, Business or Commercial Purposes for which Personal Information was Collected, and Third Parties with whom Personal Information was Shared

    We collect information that identifies, relates to, describes, is reasonably capable of being associated with, or could reasonably be linked, directly or indirectly, with a particular consumer or household (“personal information”).  We do not sell your personal information.‎

    In the preceding twelve (12) months we collected the following categories of personal information from the sources identified below for the business and commercial purposes indicated, and shared such categories of personal information with the categories of third parties specified below.  More information about the personal information collected, the sources of that information, our business and commercial purposes and who we share that information with can be found in Section 4 and 5 of the global privacy policy .

    Identifiers – A real name, alias, postal ‎address, unique personal ‎identifier, online identifier, ‎Internet Protocol address, ‎email address, account ‎name, social security ‎number, driver’s license ‎number, passport number, or ‎other similar identifiers. 

    Sources of Personal Information:

    From you, when you:

    • apply for employment at the Firm or work at the Firm;
    • visit our website and choose to share this information; or
    • choose to share this information about you or others as a client, potential client, or other third party (e.g., vendor, other attorney, and other business and professional contact).

    From governmental agencies, screening companies, publically available sources and references when you apply for employment at the Firm or work at the Firm.

    From publicly available sources, such as LinkedIn or your business’ website.

    As necessary or relevant to the legal services we are providing:

    • from your professional advisors, attorneys, auditors, and accountants, consultants and others;
    • from adverse parties, witnesses or other third parties (either voluntarily or through discovery); or
    • from our own investigations and from other third parties providing such data.

    Business or Commercial Purpose(s) for which Personal Information was Collected:

    This information was collected for the purpose of:

    • establishing and maintaining your employment relationship with us, whether as a partner, employee, contractor or consultant;
    • building relationships with existing and potential clients and other interested parties and communicating with such parties; and
    • providing legal services to our clients.

    Third Parties Shared ‎With, If Any:

    Subject in all cases to our ethical obligations as attorneys or applicable law, we share personal information about you with the following parties or in the following circumstances:

    • Locke Lord LLP, Locke Lord (UK) LLP and Locke Lord may share personal information about you between or among them as necessary for the conduct of the Firm’s business or with others in connection with a Firm merger, consolidation, restructuring, financing, sale of substantially all assets, or ‎other organizational change‎;
    • we share personal information about you with third parties who perform services for us or on our or our clients’ behalf, for the limited purpose of carrying out such services;
    • we share selected personal information about you to the extent reasonably necessary or appropriate in the context of providing legal representation or other legal services for our clients;
    • we disclose personal information about you when we believe in good faith that the law requires it or with respect to any activities that we believe to be unlawful; at the request of governmental authorities conducting an audit or investigation; pursuant to a court order, subpoena, or discovery request in litigation; to verify or enforce compliance with our agreements or policies and applicable laws, rules, and regulations; or whenever we believe disclosure is necessary to limit our legal liability or to protect or enforce the rights, interests, or safety of the Firm Website, its users, or other third parties.

    Personal Information Categories Listed in the California Customer Records statue (Cal. Civ. Code 1798.80(e)) – A name, signature, social ‎security number, physical ‎characteristics or ‎description, address, ‎telephone number, passport ‎number, driver's license or ‎state identification card ‎number, insurance policy ‎number, education, ‎employment, employment ‎history, bank account ‎number, credit card number, ‎debit card number, or any ‎other financial information, ‎medical information, or ‎health insurance ‎information.‎  Some personal information ‎included in this category ‎may overlap with other ‎categories.
     

    Sources of Personal Information:

    The sources of personal ‎information for this ‎category are the same as ‎those listed above under ‎‎“Identifiers.”‎
     

    Business or Commercial Purpose(s) for which Personal Information was Collected:

    This information is used for the purpose of:

    • establishing and maintaining your employment relationship with us, whether as a partner, employee, contractor or consultant;
    • building relationships with existing and potential clients and other interested parties and communicating with such parties; and
    • providing legal services to our clients.

    Third Parties Shared ‎With, If Any:

    In the preceding 12 months, we have shared, this personal information as set forth above under “Identifiers.”
     

    Characteristics of protected classifications under California or federal law – Race, color, age (40 years ‎and older), ancestry, ‎national origin, citizenship, ‎religion or creed, marital ‎status, medical condition, ‎physical or mental disability, ‎sex (including gender, ‎gender identity, gender ‎expression, pregnancy or ‎childbirth and related ‎medical conditions), sexual ‎orientation, veteran or ‎military status, genetic ‎information (including ‎familial genetic ‎information)
     

    Sources of Personal Information:

    From you, when you:

    • apply for employment at the Firm or work at the Firm;
    • visit our website and choose to share this information;
    • choose to share this information about you or others as a client, potential client, or other third party (e.g., vendor, other attorney, and other business and professional contact).
    • choose to share this information with us when you register for an ‎event or seminar so that we may identify and ‎accommodate any ‎disabilities or special ‎dietary requirements you ‎may have.

    From governmental agencies, screening companies, publically available sources and references when you apply for employment at the Firm or work at the Firm.

    If you are a client or potential client, from publicly available sources, such as LinkedIn or your business’ website.

    As necessary or relevant to the legal services we are providing:

    • from your professional advisors, attorneys, auditors, and accountants, consultants and others;
    • from adverse parties, witnesses or other third parties (either voluntarily or through discovery); or
    • from our own investigations and from other third parties providing such data.

    Business or Commercial Purpose(s) for which Personal Information was Collected:

    This information is used for the purpose of:

    • establishing and maintaining your employment relationship with us, whether as a partner, employee, contractor or consultant;
    • building relationships with existing and potential clients and other interested parties and communicating with such parties; and
    • providing legal services to our clients.

    Third Parties Shared ‎With, If Any:

    In the preceding 12 months, we have shared this personal information as set forth above under “Identifiers.”
      

    Commercial Information – Records of personal ‎property, products or ‎services purchased, ‎obtained, or considered, or ‎other purchasing or ‎consuming histories or ‎tendencies.‎
      

    Sources of Personal Information:

    From you, when you choose to share this information about you or others as a client, potential client, or other third party (e.g., vendor, other attorney, and other business and professional contact).
    As necessary or relevant to the legal services we are providing:

    • from your professional advisors, attorneys, auditors, and accountants, consultants and others;
    • from adverse parties, witnesses or other third parties (either voluntarily or through discovery); or
    • from our own investigations and from other third parties providing such data.

    Business or Commercial Purpose(s) for which Personal Information was Collected:

    This information is used for the purpose of:

    • building relationships with existing and potential clients and other interested parties and communicating with such parties; and
    • providing legal services to our clients.

    Third Parties Shared ‎With, If Any:

    In the preceding 12 months, we have shared this personal information as set forth above under “Identifiers.”
     

    Biometric Information – Physiological, biological or ‎behavioral characteristics, ‎including imagery of the face ‎and voice recordings, from ‎which an identifier ‎template, such as a ‎face print, a minutiae ‎template, or a voiceprint, ‎can be extracted, and information on sleep, health, ‎or exercise.‎ 
     

    Sources of Personal Information:

    We may obtain imagery of your face:

    • from you, when you apply for employment at the Firm or work at the Firm;
    • from you, when you choose to share these images of you or others as a client, potential client, or other third party (e.g., vendor, other attorney, and other business and professional contact);
    • from governmental agencies, screening companies, and publically available sources when you apply for employment at the Firm, work at the Firm or become a client of the Firm;
    • from publicly available sources, such as LinkedIn or your business’ website;
    • as necessary or relevant to the legal services we are providing;
    • from your professional advisors, attorneys, auditors, and accountants, consultants and others;
    • from adverse parties, witnesses or other third parties (either voluntarily or through discovery); or
    • from our own investigations and from other third parties providing such data.

    We may obtain your voice recording when you leave us a voice mail or as necessary or relevant to the ‎legal services we are ‎providing‎.

    We may obtain sleep, health and exercise information about you:

    • from you, when you apply for employment at the Firm or work at the Firm;
    • as necessary or relevant to the legal services we are providing;
    • from your professional advisors, attorneys, auditors, and accountants, consultants and others;
    • from adverse parties, witnesses or other third parties (either voluntarily or through discovery); or
    • from our own investigations and from other third parties providing such data.

    Business or Commercial Purpose(s) for which Personal Information was Collected:

    This information is used for the purpose of:

    • establishing and maintaining your employment relationship with us, whether as a partner, employee, contractor or consultant;
    • building relationships with existing and potential clients and other interested parties and communicating with such parties; and
    • providing legal services to our clients.

    Third Parties Shared ‎With, If Any:

    In the preceding 12 months, we have shared this personal information as set forth above under “Identifiers.”
     

    Sensory Data – Audio, electronic, visual, thermal, olfactory, or similar information.

    Sources of Personal Information:

    We may obtain audio information when you leave us a voice mail or as necessary or relevant to the ‎legal services we are ‎providing‎.

    We may obtain imagery of your face or other photograph that identifies you:

    • from you, when you apply for employment at the Firm or work at the Firm;
    • from you, when you choose to share these images of you or others as a client, potential client, or other third party (e.g., vendor, other attorney, and other business and professional contact);
    • from governmental agencies, screening companies, and publically available sources when you apply for employment at the Firm, work at the Firm or become a client of the Firm;
    • from publicly available sources, such as LinkedIn or your business’ website;
    • as necessary or relevant to the legal services we are providing;
    • from your professional advisors, attorneys, auditors, and accountants, consultants and others;
    • from adverse parties, witnesses or other third parties (either voluntarily or through discovery); or
    • from our own investigations and from other third parties providing such data.

    Business or Commercial Purpose(s) for which Personal Information was Collected:

    This information is used for the purpose of:

    • establishing and maintaining your employment relationship with us, whether as a partner, employee, contractor or consultant;
    • building relationships with existing and potential clients and other interested parties and communicating with such parties; and
    • providing legal services to our clients.

    Third Parties Shared ‎With, If Any:

    In the preceding 12 months, we have shared this personal information as set forth above under “Identifiers.”
      

    Internet or other electronic network activity information – Browsing history, search ‎history, and information ‎regarding a consumer’s ‎interaction with an Internet ‎Web site, application, or ‎advertisement.‎‎
      

    Sources of Personal Information:

    From you:

    • when you visit our website and choose to share this information;
    • when you, as an employee of the Firm, use our information systems; or
    • from the data analytics software, cookies and web beacons that we may use on the Firm Website.

    As necessary or relevant to the legal services we are providing:

    • from adverse parties, witnesses or other third parties (either voluntarily or through discovery); or
    • from our own investigations and from other third parties providing such data.

    Business or Commercial Purpose(s) for which Personal Information was Collected:

    This information is used for the purpose of:

    • building relationships with existing and potential clients and other interested parties and communicating with such parties;
    • monitoring the use of the Firm’s systems by our personnel; and
    • analyzing and improving the firm website.

    Third Parties Shared ‎With, If Any:

    In the preceding 12 months, we have shared this personal information as set forth above under “Identifiers.”
      

    Professional or employment-related information – Current and/or past ‎employment history ‎including performance ‎evaluations.
      

    Sources of Personal Information:

    From you, when you:

    • apply for employment at the Firm or work at the Firm;
    • visit our website and choose to share this information;
    • choose to share this information about you or others as a client, potential client, or other third party (e.g., vendor, other attorney, and other business and professional contact).

    From governmental agencies, screening companies, publically available sources and references when you apply for employment at the Firm or work at the Firm.
    From publicly available sources, such as LinkedIn or your business’ website.
    As necessary or relevant to the legal services we are providing:

    • from your professional advisors, attorneys, auditors, and accountants, consultants and others;
    • from adverse parties, witnesses or other third parties (either voluntarily or through discovery); or
    • from our own investigations and from other third parties providing such data.

    Business or Commercial Purpose(s) for which Personal Information was Collected:

    This information is used for the purpose of:

    • establishing and maintaining your employment relationship with us, whether as a partner, employee, contractor or consultant;
    • building relationships with existing and potential clients and other interested parties and communicating with such parties; and
    • providing legal services to our clients.

    Third Parties Shared ‎With, If Any:

    In the preceding 12 months, we have shared this personal information as set forth above under “Identifiers.”
      

    Non-public education information (as defined in the Family Educational Rights and Privacy Act (20 U.S.C. 1232g, 34 C.F.R. Part 99)) – Education records, files, ‎documents, and other ‎materials directly related to ‎a student maintained by an ‎educational agency or ‎institution or by a person ‎acting for such an agency or ‎institution, such as grades, ‎transcripts, class lists, ‎student schedules, student ‎identification codes, student ‎financial information, or ‎student disciplinary records.
      

    Sources of Personal Information:

    From you, when you:

    • apply for employment at the Firm or work at the Firm;
    • visit our website and choose to share this information;
    • choose to share this information about you or others as a client, potential client, or other third party (e.g., vendor, other attorney, and other business and professional contact).

    From governmental agencies, screening companies, publically available sources and references when you apply for employment at the Firm or work at the Firm.

    As necessary or relevant to the legal services we are providing:

    • from your professional advisors, attorneys, auditors, and accountants, consultants and others;
    • from adverse parties, witnesses or other third parties (either voluntarily or through discovery); or
    • from our own investigations and from other third parties providing such data.

    Business or Commercial Purpose(s) for which Personal Information was Collected:

    This information is used for the purpose of:

    • establishing and maintaining your employment relationship with us, whether as a partner, employee, contractor or consultant; and
    • providing legal services to our clients.

    Third Parties Shared ‎With, If Any:

    In the preceding 12 months, we have shared this personal information as set forth above under “Identifiers.”
      

    Disclosure or Sale of Personal Information for a Business or Commercial Purpose

    We do not and will not sell personal information.  In the preceding 12 months we have shared personal information with third parties for business or commercial purposes as described above for each category of personal information.

    Your Privacy Rights

    Right to Know

    You have the right to request that we disclose to you personal information we collect, use or disclose about you.  This is called a “verifiable consumer request.”

    To make a verifiable consumer request, please send an email to CCPAInquiries@lockelord.com.  You can also call 888-558-5025 to make a verifiable consumer request.  You may make up to two requests in any 12 month period.

    Making a verifiable consumer request does not require you to create an account with us.

    Only you, or someone legally authorized to act on your behalf, may make a verifiable consumer request related to your personal information. You may also make a verifiable consumer request on behalf of your minor child.

    Consumer Request for Access or Change to Personal Information for California Residents Form

    Right to Request Deletion

    You have the right to request that we delete your personal information (a “deletion request”).  To make a deletion request, please send an email to CCPAInquiries@lockelord.com.  You can also call 888-558-5025 to make a deletion request.

    Only you, or someone legally authorized to act on your behalf, may make a deletion request ‎related to your personal information‎. You may also make a deletion request on behalf of your minor child.

    You should be aware, however, that California law allows us to retain your personal information under certain conditions, even if you have asked us to delete it, such as when retaining your personal information is necessary for us to complete a transaction with you or provide you with a service you have requested.  We will notify you of any denial of your deletion request and the reason for such denial.

    Consumer Request for Deletion of Personal Information Form

    Verifying your Identity

    In making either of these requests, we will need to verify your identity.  To verify your identity, we may ask you to provide personal information we have previously collected about you.  If you are making the request for an entity, we will also ask that you provide some independent evidence that you are a representative of that entity and are authorized to make such request.
    We will only use personal information provided in a verifiable consumer request or a deletion request to verify the requestor’s identity or authority to make the request.

    We cannot respond to your request or provide you with personal information if we cannot verify your identity or authority to make the request and confirm the personal information relates to you.

    Using an Authorized Agent

    You may use an authorized agent to submit a verifiable consumer request or a deletion request.  To use an authorized agent, you will need to (i) provide written instruction to your agent and verify your identity to us, or (ii) provide a power of attorney pursuant to California Probate Code Sections 4000 to 4465.

    We Do Not Sell Your Personal Information

    The Firm does not sell personal information we collect about you.

    Right to Non-Discrimination for Exercise of Consumer Privacy Rights

    We will not discriminate against you because you have chosen to exercise any of your privacy rights described above.

    Contact Information

    If you have questions about the Global Privacy Policy or this CCPA Privacy Policy, please contact us at:

    Phone:             888-558-5025

    Website:          www.lockelord.com

    Email:              CCPAInquiries@lockelord.com

    Address:          2200 Ross Avenue
                            Suite 2800
                            Dallas, TX
                            
    Attn: CCPA Inquiries

    Effective Date:              December 31, 2019
    Geographic Scope:      Applies to all offices
    Application:                  Applies to all attorneys and staff



    Appendix 3
    HIPAA Privacy Policy

    I.                   Background

    Locke Lord LLP (the “Firm”) provides legal services to certain entities that are considered to be Covered Entities or Business Associates under the U.S. Health Insurance Portability and Accountability Act of 1996 (“HIPAA”).  The policies contained in this HIPAA Privacy Policy and the Firm’s Global Privacy Policy (“Policies”) apply to the Firm solely in its role as a HIPAA Business Associate.

    HIPAA and its implementing regulations (“HIPAA Privacy Regulations”) restrict the Firm’s uses of, disclosures of, and requests for Protected Health Information as a Business Associate. The Health Information Technology for Economic and Clinical Health Act, passed as part of the American Recovery and Reinvestment Act of 2009 (the “HITECH Act”), expanded regulatory authority of the U.S. Department of Health and Human Services (HHS) and certain rights of individuals under HIPAA.  The Firm’s Global Privacy Policy and this HIPAA Privacy Policy set forth guidelines that the Firm’s personnel (“Workforce”) must follow when collecting, using or disclosing Protected Health Information, and set forth a number of rights Individuals have pursuant to applicable law. The Firm considers the protection of this information to be an essential priority and expects all of its Workforce to act in a manner consistent with these Policies. Failure of a member of Workforce to follow the Policies may result in disciplinary action.

    In conjunction with the Policies, the Firm has also implemented the HIPAA Data Security Policy and Breach Notification Procedures to set forth requirements that Workforce must follow when dealing with and safeguarding electronically maintained or transmitted Protected Health Information and when a potential breach of unsecured Protected Health Information is discovered.  These Policies and the HIPAA Data Security Policy and Breach Notification Procedures are intended to supplement the Firm’s Privacy and Compliance Information Security Program, and shall be construed and administered at all times in a manner consistent with the applicable requirements of HIPAA, the HITECH Act, and HIPAA regulations.

    These Policies will change as necessary and appropriate to comply with changes in the law and/or business needs of the Firm.

    Any Business Associate agreement that the Firm is asked to sign, or any agreement under which a subcontractor to the Firm will have access, use, maintenance or disclosure of PHI on behalf of the Firm, must be approved by the Firm’s Privacy Officer or her designee prior to signature.

    II.                Overview of Key HIPAA/HITECH Definitions:

    A.          Business Associate:  Business Associate means a person or entity who on behalf of a Covered Entity creates, receives, maintains, or transmits Protected Health Information (“PHI”) for a function or activity regulated by the HIPAA Privacy Regulations.

    1.            These services include, but are not limited to, claims processing or administration; data analysis, processing or administration; utilization review; quality assurance; billing; certain Patient Safety Activities; benefit management; re-pricing; and practice management; or

    2.            The provision of legal services, actuarial services, accounting services, consulting services, data aggregation services, management services, administrative services, or accreditation services and financial services to or for a Covered Entity where the provision of the service involves the disclosure of PHI from the Covered Entity or from another Business Associate of the Covered Entity, to the person.

    The term Business Associate includes a Health Information Organization, E-prescribing Gateway, or other person that provides data transmission services with respect to PHI to a Covered Entity and that requires access on a routine basis to such PHI.  The term Business Associate also includes a person that offers a personal health record to one or more individuals on behalf of a Covered Entity.  A subcontractor that creates, receives, maintains, or transmits PHI on behalf of a Business Associate is also considered a Business Associate.  In some situations, the Firm may function as a subcontractor to another Business Associate.  In such situations, the Firm is a Business Associate if it creates, receives, maintains, or transmits a Covered Entity’s PHI on behalf of another Business Associate.

    B.           Covered Entity:  Covered entity means (i) a Health Plan, (ii) a Health Care Clearinghouse and (iii) a Health Care Provider who transmits any health information in electronic form in connection with a transaction covered by HIPAA.

    C.           Designated Record Set:  A group of records maintained by or for a Covered Entity that is: (i) the medical records and billing records about individuals maintained by or for a covered health care provider; (ii) the enrollment, payment, claims adjudication, and or case or medical management record systems maintained by or for a health plan; or (iii) used, in whole or in part, by or for the Covered Entity to make decisions about individuals.

    D.          Electronic Protected Health Information:  Electronic Protected Health Information (“Electronic Protected Health Information” or “ePHI”) means electronic protected health information as defined under HIPAA regulations that is created, received, maintained or transmitted by or on behalf of Covered Entities, including Protected Health Information that is transmitted over the Internet, stored on a computer, CD, disk, magnetic tape or other related means.

    E.           Limited Data Set:  Protected Health Information of that excludes the following direct identifiers of the individual or of relatives, employers, or household members of the individual: (i) names; (ii) postal address information, other than town or city, State, and zip code; (iii) telephone numbers; (iv) fax numbers; (v) electronic mail addresses; (vi) social security numbers; (vii) medical record numbers; (viii) health plan beneficiary numbers; (ix) account numbers; (x) certificate/license numbers; (xi) vehicle identifiers and serial numbers, including license plate numbers; (xii) device identifiers and serial numbers; (xiii) web universal resource locators (URLs); (xiv) internet protocol (IP) address numbers; (xv) biometric identifiers, including finger and voice prints; and (xvi) full face photographic images and any comparable images.

    F.            Protected Health Information or PHI: Protected Health Information(“PHI”) means information that is created or received by a Covered Entity (or by a Business Associate acting on behalf of a Covered Entity) and relates to the past, present, or future physical or mental health or condition of an Individual; the provision of health care to an Individual; or the past, present, or future Payment for the provision of health care; and that identifies the Individual or for which there is a reasonable basis to believe the information can be used to identify the Individual. Protected Health Information includes information about persons living or deceased whether in electronic, printed, or spoken form.  PHI excludes: (1) individually identifiable health information in education records covered by the Family Educational Rights and Privacy Act (“FERPA”); (2) records held by a Covered Entity in its role as employer; and (3) records regarding a person who has been deceased for more than 50 years.

    G.            Workforce:  Workforce means any associate, partner, counsel, staff member, and any other employee, whether employed directly, engaged by contract, or otherwise, of the Firm.  The term includes all administrative, management and technical employees as well as all attorneys and paralegals representing Firm clients on behalf of the Firm.  Business Associates or subcontractor Business Associates are not considered to be Workforce.

    III.             Workforce Covered by This Manual

    These Policies apply to any member of the Workforce that, by nature of his or her job description and through the course of providing services to a Covered Entity or another Business Associate, uses, discloses, or requests PHI.

    IV.             General HIPAA Privacy Policy

    The Firm considers the protection of Protected Health Information to be an essential priority and expects all of its Workforce to act in a manner consistent with HIPAA, the HITECH Act, and HIPAA Privacy Regulations.  The Firm will use, disclose, maintain and request Protected Health Information received from or created on behalf of Covered Entities or other Business Associates only as permitted under HIPAA and in compliance with the Firm’s applicable Business Associate Agreements.

    In general, HIPAA and the HIPAA Privacy Regulations restrict the Firm’s uses of, disclosures of, and requests for Protected Health Information to the minimum amount of information necessary to accomplish the intended purpose of the use or disclosure.  The Firm respects the rights of Individuals under HIPAA and maintains documentation of compliance with the HIPAA privacy requirements and the terms of its Business Associate Agreements for six (6) years from the date the documentation was created.

    All Workforce members have the responsibility to immediately report violations or potential violations of these Policies to their supervisor or to the Privacy Officer or to the Workforce member that the Privacy Officer may designate to receive initial reports.  The Firm is committed to taking and will take appropriate disciplinary measures against Workforce who violate any policy or procedure concerning the privacy of health information.  The Firm trains its Workforce regarding compliance with the Policies as necessary and appropriate for Workforce to carry out Firm Business Associate functions.  The Firm’s current Privacy Officer is:

    Name and Title

    Address

    Email/Phone
      

    Sheryl D. Hanley
    Director of Employee Relations and Employment Counsel

    2800 Financial Plaza
    Providence, RI 02903

    Sheryl. Hanley@lockelord.com
    401.276.6628

    V.                Documentation

    Documentation created pursuant to these Policies shall be retained by the Privacy Officer for six years from the date on which it was created.  Documentation shall be made available to those persons responsible for implementing the procedures to which the documentation pertains.

    VI.             Specific Privacy Policies

    A.          Privacy Officer.  The Firm will designate a Privacy Officer to oversee the formulation and implementation of the Firm’s HIPAA Privacy Policy. The Privacy Officer’s duties include coordinating activities related to protecting privacy and monitoring the Firm’s HIPAA privacy program to oversee compliance with applicable laws, rules, and regulations. The Privacy Officer also serves as the chief liaison for dealing with privacy matters that arise in relationships with Covered Entities, other Business Associates, the Firm’s subcontractors, the public, and privacy enforcement authorities.

    B.           Workforce Training.  The Firm will train Workforce members who access, use and disclose PHI regarding the Firm’s policies and procedures for the safeguarding of PHI as necessary and appropriate for each such Workforce member to carry out his or her job functions under HIPAA.  The Firm will also train all applicable Workforce members in Texas as required for compliance with the Texas Medical Records Privacy Act, Tex. Health & Safety Code Chapter 181.

    C.           Workforce Sanctions.  The Firm expects all Workforce members handling PHI to adhere to the Firm’s policies and procedures regarding the safeguarding of PHI and will sanction Workforce members who violate the Firm’s policies and procedures pertaining to PHI.

    D.          Refraining From Intimidating or Retaliatory Acts.  The Firm shall refrain from engaging in intimidation, threats, coercion, discrimination, or any other retaliatory acts in regards to PHI under the situations proscribed by the HIPAA Privacy Regulations.

    E.           Waiver of Rights.  The Firm will not make eligibility for benefits or treatment, payment, or enrollment in a health plan conditional upon the waiver of an individual’s rights. The Firm’s health plans may require certain authorizations for PHI if that information is used for underwriting or risk rating purposes only, as permitted by law.

    F.            Complaints.  It is the policy of the Firm, as a Business Associate, to receive, respond to, and resolve complaints regarding allegations of improper use or disclosure of PHI by Individuals, Covered Entities, other Business Associates, Workforce members, or the Firm’s subcontractors.

    G.          Subcontractors. The Firm will require all subcontractors who access, use, maintain or disclose PHI on behalf of the Firm and its Covered Entity or Business Associate clients to agree to comply with the Firm’s HIPAA policies, applicable law, and the terms of all applicable Business Associate Agreements to which the Firm is a party.

    H.          Authorization.  It is the Firm’s policy to only use or disclose PHI in a manner permitted by the HIPAA Privacy Regulations or as authorized by the applicable Individual.

    I.             Minimum Necessary Uses and Disclosures of and Requests for PHI.  The Firm will use the minimum amount of PHI necessary to carry out job functions and to provide legal services pursuant to its obligations under the applicable Business Associate Agreement to which it is a party and will disclose or request PHI in accordance with determinations made regarding the minimum amount needed to achieve the purpose of the disclosure or request. Workforce members who routinely use, receive and process requests for disclosure of, or request PHI, will receive training regarding policies and the determinations that have been made regarding minimum necessary disclosures.

    Effective from February 17, 2010 until the time the Secretary of the U.S. Department of Health and Human Services (the “Secretary”) issues guidance, as required by the HITECH Act, on what constitutes the “minimum necessary,” the Firm will limit any use, disclosure or request for PHI to the Limited Data Set, as set forth in the HIPAA Privacy Regulations, or if needed by the Firm, to the minimum necessary to accomplish the intended purpose of the use, disclosure or request. The Firm will comply with any future guidance on what constitutes the “minimum necessary” promulgated by the Secretary, which guidance shall override inconsistent policies and procedures established herein.

    J.             Personal Representatives and Verification of Identity.  The Firm recognizes that, with respect to the HIPAA Privacy Regulations and PHI, a personal representative of an Individual is to be treated as if that personal representative were the Individual.  The Firm will verify the identity and authority of a person or entity that requests access to PHI and who will be recognized as personal representatives.

    K.          Right to Request Privacy Restrictions.  In accordance with the HIPAA Privacy Regulations and these Policies, the Firm will respect any requests for privacy restrictions granted by the applicable Covered Entity and shall refer any requests received by the Firm to the Covered Entity or Business Associate client in accordance with the terms of the applicable Business Associate Agreement.

    L.           Requests for Confidential or Alternative Communications.  The Firm, in its role as a Business Associate, recognizes an Individual’s right to request that a Covered Entity and its Business Associates communicate with that Individual about his or her PHI only in the manner and at the location that the Individual requests. For instance, an Individual may wish to be contacted about their PHI only at work or by sending mail to a specific address. The Firm will reasonably accommodate such requests, to the extent such request have been granted by the applicable Covered Entity, in accordance with the terms of the applicable Business Associate Agreement.

    M.         Access to Records.  The Firm shall process a request to access, inspect, and/or obtain a copy of certain PHI maintained by the Firm, if the request is made by a Covered Entity or Business Associate client in response to a request from an Individual or his or her authorized representative.  The Firm will respond to such request in accordance with the terms of the applicable Business Associate Agreement.

    N.          Requests for Amendments.  The Firm recognizes an Individual’s right to request that the applicable Covered Entity and its Business Associates including, but not limited to, the Firm, amend his or her PHI that is maintained in a Designated Record Set. Such requests may be subject to the Covered Entity’s denial, in accordance with applicable law.  The Firm will defer to the Covered Entity regarding the denial or acceptance of a request for amendment unless stated otherwise in the applicable Business Associate Agreement.

    O.          Accounting of Disclosures.  It is the Firm’s policy to provide to a Covered Entity upon its receipt of a request from Individuals, a timely accounting of certain disclosures of an Individual’s PHI as required by law.  The Firm shall maintain all information required by law to prepare and provide such an accounting when requested and in accordance with the applicable Business Associate Agreement.

    P.            Mitigation.  To the extent known by the Firm, the Firm is committed to complying with HIPAA and other applicable legal requirements regarding the mitigation of the harmful effects of the improper use or disclosure of PHI.

    Q.          Records Management.  The Firm will retain all required HIPAA Privacy Regulations documentation for at least six (6) years, maintain appropriate storage facilities to protect documentation containing PHI or ePHI and establish appropriate procedures for destruction of records.

    R.           Disclosures to the Secretary.  The Firm will provide the Secretary with copies and/or access to records in such time and manner required by HIPAA Privacy Regulations and as requested by the Secretary.  The Firm will cooperate with the Secretary, if the Secretary undertakes an investigation or compliance review of the Firm’s HIPAA policies, procedures, or practices.

    Effective Date:  March 15, 2016, as updated June 18, 2018 and June 18, 2019
    Geographic Scope:  Applies to all U.S. offices
    Application:  Applies to all attorneys and staff


    This policy is not a contract, and the Firm reserves the right to change, modify, suspend, interpret or cancel this policy in whole or in part, at any time, with or without prior notice.  Nothing in this policy is intended to change the traditional relationship of employment at will.


    Appendix 4
    Privacy Notices at Collection for California Residents
     

    This Privacy Notice at Collection applies to personal information of California residents to the extent the information is subject to the California Consumer Privacy Act of 2018 (CCPA).  This notice does not apply to personal information collected pursuant to (i) the federal Gramm-Leach-Bliley Act and its implementing regulations or the California Financial Information Privacy Act; or, (ii) certain medical and health information covered by HIPAA.

    Additional information can be found in the Firm’s global privacy policy (the “Global Privacy Policy”) and the Firm’s Privacy Policy for California Residents under the California Consumer Privacy Act of 2018‎ (the “CCPA Policy”).

    Personal Information We Collect

    We collect information that identifies, relates to, describes, is capable of being associated with, or could reasonably be linked, directly or indirectly, with a particular consumer or household (“personal information”).  We do not and will not sell your information.

    We may collect the following categories of your personal information for the following business or commercial purpose(s):

    Identifiers – Real name, alias, postal ‎address, unique personal ‎identifier, online identifier, ‎Internet Protocol address, ‎email address, account ‎name, social security ‎number, driver’s license ‎number, passport number, or ‎other similar identifiers.
      

    Business or Commercial Purpose(s) for which Personal Information is Collected:

    This information is collected for the purpose of:

    • building relationships with existing and potential clients and other interested parties and communicating with such parties; and
    • providing legal services to our clients.

    Personal Information Categories Listed in the California Customer Records statue (Cal. Civ. Code 1798.80(e)) – Name, signature, social ‎security number, physical ‎characteristics or ‎description, address, ‎telephone number, passport ‎number, driver's license or ‎state identification card ‎number, insurance policy ‎number, education, ‎employment, employment ‎history, bank account ‎number, credit card number, ‎debit card number, or any ‎other financial information, ‎medical information, or ‎health insurance ‎information.‎  Some personal information ‎included in this category ‎may overlap with other ‎categories.
      

    Business or Commercial Purpose(s) for which Personal Information was Collected:

    This information is used for the purpose of:

    • establishing and maintaining your employment relationship with us, whether as a partner, employee, contractor or consultant;
    • building relationships with existing and potential clients and other interested parties and communicating with such parties; and
    • providing legal services to our clients.

    Characteristics of protected classifications under California or federal law – Race, color, age (40 years ‎and older), ancestry, ‎national origin, citizenship, ‎religion or creed, marital ‎status, medical condition, ‎physical or mental disability, ‎sex (including gender, ‎gender identity, gender ‎expression, pregnancy or ‎childbirth and related ‎medical conditions), sexual ‎orientation, veteran or ‎military status, genetic ‎information (including ‎familial genetic ‎information)
      

    Business or Commercial Purpose(s) for which Personal Information is Collected:

    This information is used for the purpose of:

    • building relationships with existing and potential clients and other interested parties and communicating with such parties; and
    • providing legal services to our clients.

    Commercial Information – Records of personal ‎property, products or ‎services purchased, ‎obtained, or considered, or ‎other purchasing or ‎consuming histories or ‎tendencies.‎
      

    Business or Commercial Purpose(s) for which Personal Information is Collected:

    This information is used for the purpose of:

    • building relationships with existing and potential clients and other interested parties and communicating with such parties; and
    • providing legal services to our clients.

    Biometric Information – Physiological, biological or ‎behavioral characteristics, ‎including imagery of the face ‎and voice recordings, from ‎which an identifier ‎template, such as a ‎face print, a minutiae ‎template, or a voiceprint, ‎can be extracted, and information on sleep, health, ‎or exercise.‎ 
      

    Business or Commercial Purpose(s) for which Personal Information is Collected:

    This information is used for the purpose of:

    • building relationships with existing and potential clients and other interested parties and communicating with such parties; and
    • providing legal services to our clients.

    Sensory Data – Audio, electronic, visual, thermal, olfactory, or similar information.
      

    Business or Commercial Purpose(s) for which Personal Information is Collected:

    This information is used for the purpose of:

    • building relationships with existing and potential clients and other interested parties and communicating with such parties; and
    • providing legal services to our clients.

    Internet or other electronic network activity information – Browsing history, search ‎history, and information ‎regarding a consumer’s ‎interaction with an Internet ‎Web site, application, or ‎advertisement.‎‎
      

    Business or Commercial Purpose(s) for which Personal Information is Collected:

    This information is used for the purpose of:

    • building relationships with existing and potential clients and other interested parties and communicating with such parties;
    • monitoring the use of the Firm’s systems by our personnel; and
    • analyzing and improving the firm website.

    Professional or employment-related information – Current and/or past ‎employment history ‎including performance ‎evaluations.
      

    Business or Commercial Purpose(s) for which Personal Information is Collected:

    This information is used for the purpose of:

    • building relationships with existing and potential clients and other interested parties and communicating with such parties; and
    • providing legal services to our clients.

    Non-public education information (as defined in the Family Educational Rights and Privacy Act (20 U.S.C. 1232g, 34 C.F.R. Part 99)) – Education records, files, ‎documents, and other ‎materials directly related to ‎a student maintained by an ‎educational agency or ‎institution or by a person ‎acting for such an agency or ‎institution, such as grades, ‎transcripts, class lists, ‎student schedules, student ‎identification codes, student ‎financial information, or ‎student disciplinary records.

    Business or Commercial Purpose(s) for which Personal Information is Collected:

    This information is used for the purpose of providing legal services to our clients.

    Further Information


    Please visit our website, www.lockelord.com, for further information about personal information we collect, and your rights under the California Consumer Privacy Act of 2018.
    If you have questions about this notice, please contact us at:

    Phone:             888-558-5025

    Website:          www.lockelord.com

    Email:              CCPAInquiries@lockelord.com

    Address:          2200 Ross Avenue
                            Suite 2800
                            Dallas, TX
                            
    Attn: CCPA Inquiries

    Effective:  December 31, 2019

     

    Privacy Notice at Collection for Job Applicants, Employees, Owners, Directors, Officers, Medical Staff Members, and Contractors, and for their Emergency Contacts, who are California Residents

    This Privacy Rights Notice is not a contract for employment and does not alter the employment ‎at-will relationship between us and any employee. ‎

    Additional information can be found in the Firm’s global privacy policy (the “Global Privacy Policy”) and the Firm’s Privacy Policy for California Residents under the California Consumer Privacy Act of 2018‎ (the “CCPA Policy”).

    Personal Information We Collect

    We collect information that identifies, relates to, describes, is capable of being associated with, or could reasonably be linked, directly or indirectly, with a particular consumer or household (“personal information”).  We do not and will not sell your information.

    We may collect the following categories of your personal information, in each case for the business or commercial purpose(s) of establishing and maintaining your employment relationship with us, whether as a partner, ‎employee, contractor or consultant:

    Identifiers – Real name, alias, postal ‎address, unique personal ‎identifier, online identifier, ‎Internet Protocol address, ‎email address, account ‎name, social security ‎number, driver’s license ‎number, passport number, or ‎other similar identifiers.

    Personal Information Categories Listed in the California Customer Records statue (Cal. Civ. Code 1798.80(e)) – Name, signature, social ‎security number, physical ‎characteristics or ‎description, address, ‎telephone number, passport ‎number, driver's license or ‎state identification card ‎number, insurance policy ‎number, education, ‎employment, employment ‎history, bank account ‎number, credit card number, ‎debit card number, or any ‎other financial information, ‎medical information, or ‎health insurance ‎information.‎ Some personal information ‎included in this category ‎may overlap with other ‎categories.

    Characteristics of protected classifications under California or federal lawRace, color, age (40 years ‎and older), ancestry, ‎national origin, citizenship, ‎religion or creed, marital ‎status, medical condition, ‎physical or mental disability, ‎sex (including gender, ‎gender identity, gender ‎expression, pregnancy or ‎childbirth and related ‎medical conditions), sexual ‎orientation, veteran or ‎military status, genetic ‎information (including ‎familial genetic ‎information)

    Biometric Information – Physiological, biological or ‎behavioral characteristics, ‎including imagery of the face ‎and voice recordings, from ‎which an identifier ‎template, such as a ‎face print, a minutiae ‎template, or a voiceprint, ‎can be extracted, and information on sleep, health, ‎or exercise.‎

    Sensory Data – Audio, electronic, visual, thermal, olfactory, or similar information.

    Professional or employment-related information Current and/or past ‎employment history ‎including performance ‎evaluations.

    Non-public education information (as defined in the Family Educational Rights and Privacy Act (20 U.S.C. 1232g, 34 C.F.R. Part 99)) Education records, files, ‎documents, and other ‎materials directly related to ‎a student maintained by an ‎educational agency or ‎institution or by a person ‎acting for such an agency or ‎institution, such as grades, ‎transcripts, class lists, ‎student schedules, student ‎identification codes, student ‎financial information, or ‎student disciplinary records.

     

    As an equal opportunity employer, we use Employees’ personal information consistent with applicable law.

    Further Information

    Please visit our website, www.lockelord.com, for further information about personal information we collect, and your rights under the California Consumer Privacy Act of 2018.

    If you have questions about this notice, please contact us at:

    Phone:             888-558-5025

    Website:          www.lockelord.com

    Email:              CCPAInquiries@lockelord.com

    Address:          2200 Ross Avenue
                            Suite 2800
                            Dallas, TX
                           
    Attn: CCPA Inquiries


    Effective:  December 31, 2019

     

     

     

    Appendix 5
    Notice of Compliance with Connecticut Act Concerning the Confidentiality of Social Security Numbers

    Connecticut law requires any person or entity that collects Social Security numbers from Connecticut residents in the course of business to create a privacy protection policy and to publish or display it publicly.  Locke Lord LLP has adopted a Global Privacy Policy that specifically includes a section on the protection of the confidentiality of social security numbers.  That section can be linked to here.

    Disclaimer

    Please understand that your communications with Locke Lord LLP through this website do not constitute or create an attorney-client relationship with Locke Lord LLP. Any information you send to Locke Lord LLP through this website is on a non-confidential and non-privileged basis. Therefore, do not send or include any information in your email that you consider to be confidential or privileged.