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Holding TRUSTe Members to Higher Online Privacy Standards

Watchdog Dispute Resolution Process FAQ

Who can file a Watchdog complaint?

Who are the parties in a Watchdog complaint?

What constitutes an eligible complaint?

What constitutes an ineligible complaint?

Is TRUSTe obliged to consider all filed complaints?

What remedies are available to me as a Complainant?

How do I file a Watchdog complaint?

What happens during the Watchdog Dispute Resolution process?

When does TRUSTe close a Watchdog complaint?

Watchdog Dispute Resolution -- Appeals Process

How do I appeal the decision on a Watchdog complaint?

What happens after I file an appeal?

Who can file a Watchdog complaint?
Any individual may file a complaint against a TRUSTe Licensee through the Watchdog Dispute Resolution program.

Who are the parties in a Watchdog complaint?
The parties are:

• Complainant: The individual complaining about either a Licensee's misuse of personally identifiable information (PII) or a violation of its privacy statement
• Licensee: The company about which the Complainant is complaining

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What constitutes an eligible complaint?
In order for a complaint to be considered eligible in the program, all of the following must be true:

• The complaint is about a company that holds an authentic TRUSTe seal
• The Complainant has already made a good-faith attempt to resolve the problem directly with the Licensee
• The complaint raises an online privacy issue that affects the personally identifiable information of either the Complainant or that of a child whose parent or guardian is the Complainant
• The privacy complaint alleges that the Licensee collected, used or disclosed the personally identifiable information in a manner inconsistent with its published online privacy statement
• The privacy complaint is in English or the Licensee has secured appropriate translation services
• The privacy complaint is lodged with TRUSTe via the Watchdog Dispute Resolution form on the TRUSTe Web site*

*Exception: Complaints about the offline privacy practices of a Licensee in the TRUSTe EU Safe Harbor Program can be submitted by postal mail or fax.

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What constitutes an ineligible complaint?
A complaint that either doesn't satisfy the criteria for an eligible complaint OR has any of the following characteristics is ineligible to be considered in the TRUSTe Watchdog Dispute Resolution program:

• The privacy complaint seeks only monetary damages
• The privacy complaint alleges fraud or other violations of statutory or regulatory law
• The privacy complaint has been resolved under a previous court action, arbitration, or other form of dispute resolution

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Is TRUSTe obliged to consider all filed complaints?
TRUSTe reviews all complaints; however, TRUSTe is not obligated to pursue any complaint that it deems frivolous or that constitutes harassment of either TRUSTe or a TRUSTe Licensee.

TRUSTe defines a frivolous complaint as one that either has no factual basis, or that does not relate to any obligations imposed by the TRUSTe License Agreement. Harassing complaints include successive complaints based on allegations that TRUSTe has previously addressed, and complaints filed with TRUSTe employees other than those designated by TRUSTe to receive complaints.

What remedies are available to me as a Complainant?
Based upon the facts of a particular complaint, TRUSTe may do any or all of the following:

• Require the Licensee to either correct or modify personally identifiable information, or change user preferences
• Require the Licensee to change its privacy statement or privacy practices
• Require the Licensee to submit to a third-party audit of its privacy practices to ensure both the validity of its privacy statement and that it has implemented the corrective action that TRUSTe required

If a Licensee refuses to comply with the actions that TRUSTe requires, TRUSTe may refer the Licensee to an appropriate government agency, remove it from the TRUSTe program, and/or sue the Licensee for breach of its License Agreement with TRUSTe.

TRUSTe cannot require a Licensee to either pay monetary damages or take steps that would require the Licensee to violate legal requirements imposed on it.

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How do I file a Watchdog complaint?
To register a complaint with TRUSTe, you must complete the online Watchdog Dispute Resolution form. Any complaint that you register by phone, paper mail, or email outside the formal Watchdog Dispute Resolution process will be returned to you with a request that you file a formal Watchdog complaint on TRUSTe's Web site.

After you file your Watchdog complaint on TRUSTe's Web site, the TRUSTe Watchdog Dispute Resolution and Appeal processes are carried out by email.

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What happens during the Watchdog Dispute Resolution process?
TRUSTe attempts to mediate and resolve eligible privacy concerns that arise from a consumer's use of a TRUSTe Licensee's Web site.

Before you can begin the following process, you must first attempt to resolve your problem by addressing your complaint directly with the TRUSTe licensee.

1. You file a Watchdog complaint with TRUSTe
If you are dissatisfied with the Licensee's handling of your complaint, you can file a Watchdog complaint-the first step in the TRUSTe Watchdog Dispute Resolution process. TRUSTe will review the information you submitted through the online Watchdog Dispute Resolution form and determine whether your complaint is eligible for action.

Information you submit as the Complainant must include a description of your interaction with the Licensee about your problem. This information must be sufficiently complete to permit the Licensee and the TRUSTe Watchdog Mediator to evaluate the complaint adequately.

As a Complainant, you must clarify whether you want TRUSTe to share the specifics of your complaint-including your name-with the Licensee. If you do not want this information to be shared with the Licensee, TRUSTe's ability to rectify the situation may be hindered.

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2. TRUSTe determines whether the complaint is eligible
TRUSTe will inform you within 10 business days as to whether your complaint meets the eligibility requirements (See What is an eligible complaint?). If TRUSTe determines that your complaint is ineligible, you will be emailed a written explanation as to why.

3. TRUSTe collects and examines information on the dispute

A TRUSTe Watchdog Mediator will be the sole judge of whether the information you provided as a Complainant is sufficient to open an investigation. TRUSTe may contact you for additional information that would assist us in addressing your complaint. You would have 10 business days from our contacting you to provide this additional information. If you do not provide this information, TRUSTe will consider the complaint closed.

NOTE: A Licensee or Complainant may submit information to TRUSTe with a request that the information not be made available to the other party. This information should be clearly marked "confidential," and the requesting Licensee or Complainant should confirm that the information is not publicly available. TRUSTe will handle confidential information obtained through the Watchdog Dispute Resolution program in the same way that it handles its own confidential information.

Once TRUSTe determines that your complaint is eligible, we will assign your complaint a unique Watchdog complaint number. Please be sure to include the Watchdog complaint number in the subject line of all emails you send to TRUSTe thereafter.

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4. The Dispute Resolution process goes forward

• After TRUSTe deems a complaint eligible and all necessary information has been collected from the Complainant, we will send the Watchdog complaint to the Licensee. The Licensee then has five (5) business days to respond to both the Complainant and TRUSTe, and an additional five (5) business days to resolve the complaint, as appropriate.
• If TRUSTe considers the Licensee's response to be deficient in any respect, it may request additional information from the Licensee (to be provided within five [5] business days).
• After receiving the Licensee's response, the Complainant has 10 business days to submit an emailed reply to both TRUSTe and the Licensee that objects to the Licensee's proposed resolution of the complaint. If the Complainant does not submit a reply and TRUSTe is satisfied with the Licensee's resolution of the complaint, TRUSTe will close the complaint following the expiration of the Complainant's time to reply.
• If the Complainant submits a reply that objects to the Licensee's proposed resolution of the complaint, TRUSTe will promptly forward it to the Licensee. The Licensee then has 10 business days to submit a written response to TRUSTe. If the Licensee submits a satisfactory response, TRUSTe will close the complaint, subject to a request by either party for additional comments. If the Licensee does not submit a response, this will be noted and taken into consideration in TRUSTe's final determination.
• TRUSTe may, in its sole discretion, extend any of the time periods discussed above.
• TRUSTe will not consider information it receives after any specified deadline or extension of time.
• Once TRUSTe, in its sole judgment, has made a final determination about the complaint, it will promptly notify both the Complainant and the Licensee.
• Where corrective action by the Licensee is required, TRUSTe will request the Licensee to indicate within 10 business days whether it agrees to take any required corrective action(s) or chooses to appeal.
• The complaint will be considered closed unless an appeal is filed by either the Complainant or the Licensee within 10 business days of TRUSTe's final determination.

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5. If Licensee fails to answer a complaint
If a Licensee fails to answer a complaint with a timely response, TRUSTe will send the Licensee a second notice stating that, within 10 business days after receipt of the notice, TRUSTe may:
- Withdraw or suspend the Licensee's privacy seal
- Refer the matter to the appropriate government agency depending on the nature of the complaint and/or
- If license is terminated, post a termination notice on the TRUSTe Web site

• If the Licensee fails to respond to the second notice, TRUSTe will send the Licensee a Notice of Termination.

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When does TRUSTe close a Watchdog complaint?
TRUSTe will close a Watchdog complaint when it has issued its final determination.

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How do I appeal the decision on a Watchdog complaint?
Appeals must be submitted within 10 business days of receiving TRUSTe’s e-mail notice that TRUSTe is closing the Watchdog complaint.

The email address to use for filing an appeal with TRUSTe is appeals@truste.com and must include the Watchdog complaint number in the subject line of the appeal request.

The party filing the appeal must explain, in a statement not to exceed 1000 words, why TRUSTe’s final determination of the Watchdog complaint should be overturned. (“Appeal Statement”).

Note: TRUSTe's determination about whether an issue falls within the scope of its privacy programs is final, and is not subject to appeal via the Appeals Process.

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What happens after I file an appeal?
Upon receiving an appeal, TRUSTe’s Compliance Director will review the complaint and determine within 10 business days whether the complaint is eligible to be reopened for further investigation. For example, TRUSTe may reopen an investigation if the consumer reports substantive new information that a resolution a licensee indicated was applied has ceased having effect.

After TRUSTe’s Compliance Director completes TRUSTe’s review, TRUSTe may direct the other party to respond by e-mail within 10 business days thereafter, explaining in a statement not to exceed 1000 words why TRUSTe’s final determination should be sustained, or supplying responses to specific questions from TRUSTe. The party filing the original appeal will be notified if TRUSTe is seeking information from the other party.

If TRUSTe’s Compliance Director determines that the original complaint disposition was proper according to TRUSTe processes, and introduces no substantive new information that could not have been raised earlier, or finds no other basis for appeal, the Compliance Director will forward the Appeal Statement with a background summary and additional information as warranted to TRUSTe’s General Counsel for appeals review. The General Counsel will complete appeals review within 10 business days, rendering final appeals decision on behalf of TRUSTe.

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