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Annual Reaffirmation

INSTRUCTIONS FOR REAFFIRMING YOUR COMMITMENT TO THE SAFE HARBOR FRAMEWORK

Safe Harbor FAQ #6 states, in part, that:

“The Department (or its designee) will maintain a list of all organizations that file such [self-certification] letters, thereby assuring the availability of safe harbor benefits, and will update such list on the basis of annual letters and notifications received pursuant to FAQ 11. Such self-certification letters should be provided not less than annually.” (Emphasis Added)

The Department interprets this requirement to mean that organizations may either submit a new self-certification form annually (by the anniversary date of its original self-certification) or that it may reaffirm its existing self-certification (and provide any new information that it would like reflected), by its anniversary.

Organizations may meet this requirement by: 1. Sending a letter; 2. Sending an email, or 3. Reaffirming the organization’s commitment online via the Safe Harbor website at: http://www.export.gov/safeharbor/.

In all instances, the reaffirmation must be from a corporate official authorized to reaffirm the four reaffirmation points below (note: if reaffirmation is completed online, the four points will appear on the reaffirmation page during the reaffirmation process for confirmation by selecting the box next to each statement)

The information previously submitted to the Department of Commerce for purposes of self-certification is still correct and accurate;
The officer is authorized to certify the organization's continued adherence to the safe harbor framework;
The officer understands that misrepresentations in any information provided by the organization may be actionable under the False Statements Act, 18 U.S.C. ' 1001; and
As a consequence of this annual self-certification, failure to adhere to the Safe Harbor framework may lead to enforcement action by the relevant enforcement authority.

This reaffirmation can be sent via e-mail to damon.greer@mail.doc.gov, or mailed to U.S. Department of Commerce, Room 2003; 1401 Constitution Avenue, NW; Washington, DC 20230, or completed online.

The organization will need a username and password to access its record online. Access allows the responsible official to update the firm’s record and to reaffirm its commitment to Safe Harbor and pay the $100.00 processing fee with a credit card or a check. The steps to access the record after verifying the organization’s credentials are:

1. Go to http://export.gov/safeharbor/.

2. Under the right navigation bar (Main Topics), click on certification form.

3. A login window will open prompting you for your username and password (existing accounts only).

4. Click submit.

5. Next window will have three choices: a. Update Profile, b. Change Password, c. Reaffirm Safe Harbor Application (This choice appears only when your company is due for recertification -- one month before the due date).

6. Click on Reaffirm Safe Harbor Application when it is time to renew to Safe Harbor.

7. The company's record will open. Review the information, make any changes needed and click on "Continue" at the bottom of the page.

8. Recertification Page will open. Read each of the four statements and certify compliance by check each of the four boxes. Click continue.

9. Payment Page. If you choose to pay by credit card, provide the required information and submit. You will receive an electronic receipt. You are done.

10. Payment Page. If you choose to pay by check, check the box and we'll be notified that a check is pending. When we receive confirmation from the company that it is being sent in accordance with the instructions (pdf version attached to email or faxed copy), we will recertify the company.

If the organization is using the EU Data Protection Authorities (DPAs) as its independent recourse mechanism, the organization must send its $50 annual fee to the U.S. Council for International Business. This should be sent to "USCIB - Safe Harbor Account", c/o Mr. Paul Cronin, U.S. Council for International Business (USCIB); 1212 Avenue of the Americas; New York, NY 10036. Additional questions on submitting the DPA fee may be directed to Mr. Paul Cronin, USCIB, at 212-703-5088, or pcronin@uscib.org. The USCIB accepts credit card payments. For further information, contact the USCIB at the telephone number listed.

An organization will be provided a reasonable grace period to re-certify its commitment to Safe Harbor. However, if an organization does not reaffirm by its anniversary, their “self-certification status” will change from “current” to “not current”. This “not current” status will be reflected on the list as it appears on the Safe Harbor website.

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