Welcome to the U.S.-European Union (EU) Safe Harbor Framework: A Guide to Certification. From this guide, it is our hope that U.S. companies will have a better understanding of the process of self-certification and the resources available to self-certify compliance with the EU’s Directive on Data Protection. Additional information may be found on our website: http://export.gov/safeharbor/

In this guide, we have provided an outline of the most critical pieces of the Safe Harbor Framework. The application is made available, along with a Helpful Hints Guide that explains how to fill it out. The Safe Harbor Principles and FAQs are also provided for easy reference. There is also an explanation and listing of third party dispute resolution providers (or Independent Resource Mechanisms) with descriptions of the services provided by three dispute resolution providers that work with Safe Harbor. Finally, we’ve also included several sample company privacy policies for reference, and a glossary that explains key terms.

We’ve broken this Guide into nine major sections, each to address different questions you might have. What follows is a brief description of each section:

Overview: The overview gives some background on the Safe Harbor Framework, how it came about, and explains many of the certification requirements. The overview also lists the principles of the Safe Harbor program.

Application: The Application is provided for easy reference. Applicants should apply online at http://export.gov/safeharbor (click on “Certification Form” in the right sidebar).

Certification Mark: The Commerce Department’s International Trade Administration has recently developed a certification mark for the Safe Harbor Framework. The mark may be used by companies on their websites to signify that they have self-certified compliance with the provisions of the Safe Harbor Framework. Instructions for use of the certification mark are provided.

Helpful Hints Guide (to Certification): The Helpful Hints Guide is meant to give quick answers to any questions a U.S. company might have about the certification process. It should be used in conjunction with the rest of the Guide, however it answers many of the most common questions about the certification process.

Safe Harbor Principles: We have provided the full text of the official declaration of the Safe Harbor Principles as announced on July 21, 2000. This text is helpful for understanding the foundation of the Safe Harbor Principles and the Framework.

Frequently Asked Questions: We have provided the Frequently Asked Questions in full text because they answer many of the most commonly asked questions about the Safe Harbor Framework.

Dispute Resolution Providers: Here we have provided a short description of the role of dispute resolution providers (also referred to as Independent Recourse Mechanisms) and descriptions of the services they offer.

Sample Privacy Policies: Here we have provided three sample privacy policies for reference, which may serve as guidance when creating a new Privacy Policy or updating an existing Privacy Policy to align it with the Safe Harbor Framework. The Safe Harbor Framework requires an affirmative commitment in the Privacy Policy to the principles of the Safe Harbor Framework.

Glossary: A short glossary is also provided for many of the technical terms frequently used in the Guide.

Visit U.S.-EU Safe Harbor Framework: A Guide to Self-Certification Download Page

You can download U.S.-EU Safe Harbor Framework: A Guide to Self-Certification in PDF format.

U.S. Department of Commerce
U.S.-EU Safe Harbor Framework
1401 Constitution Avenue, N.W.
Room 2003
Washington, DC 20230
Telephone: 202.482.5023 ◆ Fax: 202.482.5522 ◆ www.export.gov/safeharbor

CONTENTS
Introduction. . .. . .1
Overview. . .. . .3
Helpful Hints Guide. . .. . .7
Safe Harbor Privacy Principles. . .. . .10
Frequently Asked Questions (FAQs). . .. . .15
Appendices
Safe Harbor Application. . .. . .37
Sample Privacy Policies. . .. . .41
Dispute Resolution Providers. . .. . .49
U.S.-Swiss Safe Harbor Framework. . .. .53
Certification Mark
a. Description. . .. .54
b. Instructions for Use. . .. . .54
Glossary. . .. . .56

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