Information for EU Individuals / How to File 

The EU-U.S. Privacy Shield Annex I Arbitration Mechanism is for EU individuals who seek to determine whether an organization participating in the Privacy Shield Framework has violated its obligations under the Privacy Shield Principles as to that individual, and whether any such violation remains fully or partially unremedied ("residual claims").

As described in Annex I, the arbitral tribunal has the authority to impose individual-specific, non-monetary equitable relief (such as access, correction deletion, or return of the individual's data in question) necessary to remedy the violation of the Principles only with respect to the individual.

This page provides a summary of how to file for arbitration under the Annex I Arbitration Mechanism. For full information on how this arbitration mechanism works, please see the Arbitration Rules by clicking HERE.

To access and file a Notice of Arbitration Form, click HERE.

There is no fee for EU individuals to file for Annex I Binding Arbitration. Upon your request, your Data Protection Authority may provide assistance in the preparation of the Notice of Arbitration. If you choose to hire representation, please be aware that attorney's fees are not covered costs under this mechanism.

Steps You Must Take Before Filing for Annex I Binding Arbitration

As explained in Rule 1 of the Arbitration Rules, an EU individual (referred to in the Rules as the "Claimant") who decides to invoke this arbitration option must take the following steps prior to initiating an arbitration claim:

(a) raise the claimed violation directly with the organization (referred to in the Rules as the 
    "Respondent") and afford the organization an opportunity to resolve the issue within the 
     45-day timeframe set forth in the Principles;
(b) make use of the independent recourse mechanism under the Principles, which is at no cost to the 
      individual; and
(c) raise the issue through the Claimant's Data Protection Authority to the Department of Commerce 
     and afford the Department of Commerce an opportunity to use best efforts to resolve the issue 
     within a 90-day timeframe.

In addition, this arbitration option may not be invoked under either of the following circumstances:

(a) the Claimant's same claimed violation of the Principles: 
     (1) has previously been subject to binding arbitration; 
     (2) was the subject of a final judgement entered in a court action to which the Claimant was
           a party; or 
     (3) was previously settled by the parties.
(b) An EU Data Protection Authority ("DPA"): 
     (1) has authority under Sections III.5 or III.9 of the Principles; or 
     (2) has the authority to resolve the claimed violation directly with the Respondent. A DPA's
           authority to resolve the same claim against an EU data controller does not alone preclude
           invocation o this arbitration option against a different legal entity not bound by the DPA
           authority.

How to File for Annex I Binding Arbitration

As explained in Rule 2 of the Arbitration rules, an EU individual may initiate an arbitration pursuant to this mechanism, subject to the pre-arbitration requirements listed in Rule 1, by filing a request for arbitration utilizing the "EU-U.S. Privacy Shield Annex I Notice of Arbitration Form" located HERE, and all other required documents, along with a copy to the Respondent, by e-mail or mail if necessary.

In addition to the EU-U.S. Privacy Shield Annex I Notice of Arbitration Form, the request for arbitration shall contain the following information: 

(a) a summary of steps taken pursuant to Rule 1 to resolve the claim pertaining to the
     alleged violation, including documentation from the EU DPA identifying the date the Complaint
     Referral Form was sent to the U.S. Department of Commerce; 
(b) a description of the alleged violation and at the option of the Claimant any supporting
     documents the Claimant wishes to enter into evidence and/or a discussion of law
     relating to the alleged violation and any facts supporting it; 
(c) the relief or remedy sought; and 
(d) the names, addresses, telephone number and email addresses of all parties and if known, of their
      representatives.

When filing, please complete the EU-U.S. Privacy Shield Annex I Notice of Arbitration Form along with all other documents as required by Rules 2 and forward to the ICDR-AAA at the following address. A copy of the Notice of Arbitration and all other supporting materials filed with the ICDR-AAA must be sent to the Organization/Respondent at the same time they are filed with the ICDR-AAA.

Mail:
Interntational Centre for Dispute Resolution Case Filing Services
1101 Laurel Oak Road, Suite 100
Voorhees, NJ 08043
United States

Sending by email box: casefiling@adr.org

Additional Information

For EU Individuals: Click to Access the Notice of Arbitration Form
Privacy Shield Arbitral Fund Contributions

Privacy Shield Annex I Binding Arbitration Rules
Privacy Shield Annex I Code of Conduct

About the ICDR
The International Centre for Dispute Resolution (ICDR), is the international division of the American Arbitration Association (AAA) and provides Privacy Shield Annex I services pursuant to EU-U.S. Privacy Shield program. The global leader in conflict management since 1926, the AAA is a not-for-profit, public service organization committed to the resolution of disputes through the use of arbitration, mediation, conciliation, negotiation and other conflict management procedures.

The ICDR provides a full range of conflict management services to businesses, government agencies, and other organizations around the world. These services are supported by a network of cooperative agreements with other arbitration institutions and key alliances located around the globe, which enable the ICDR to provide its international arbitration services.

CLICK HERE TO FILE ONLINE! 

For questions regarding the ICDR Annex I mechanism, please contact Luis Martinez at MartinezL@adr.org or call +1.212.716.5833.
For questions regarding fees or payments, please contact Alyssa Montano at MontanoA@adr.org or +1.212.484.3281.