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INSTRUCTIONS FOR APPROACHING
SAFE HARBOR ANNUAL REAFFIRMATIONS
Safe Harbor FAQ #6 (http://www.export.gov/safeharbor/FAQ6SelfCertFINAL.htm) 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 can choose to meet this requirement by sending a letter or e-mail – from a company official authorized to reaffirm – that incorporates at a minimum the four reaffirmation points below:
- 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; 14th and Constitution Avenue, NW; Washington, DC 20230.
Note that 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 212-354-4480, or pcronin@uscib.org.
An organization will be provided a short grace period, but 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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