ICDR-AAA^® DPF Annex I
Binding Arbitration Mechanism Services

The EU-U.S. DPF and UK Extension to the EU-U.S. DPF Annex I
Binding Arbitration Mechanism

Information for EU/EEA and UK (or Gibraltar) Individuals / How to File

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

As described in Annex I of the EU-U.S. DPF Principles, 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 EU-U.S. DPF Principles only with respect to the individual.       

Note: Under the UK Extension to the EU-U.S. DPF personal data transfers from the United Kingdom and Gibraltar to the United States shall, as appropriate (i.e., where the organization has elected to cover such transfers), be treated in accordance with the EU-U.S. DPF Principles and Annex I of the Principles. It follows that for the purposes of the UK Extension to the EU-U.S. DPF references in the EU-U.S. DPF Principles and Annex I of the Principles to the European Union and/or the European Commission, EU DPAs, and EU individuals should generally be understood as referring respectively to the United Kingdom and/or the UK Government, the UK Information Commissioner’s Office (ICO) and/or, as applicable, the Gibraltar Regulatory Authority (GRA), and UK individuals (i.e., as consistent with relevant differences between the United Kingdom and Gibraltar, and the European Union).

This page provides a summary of how to file for arbitration under the DPF Annex I Binding 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/EEA or UK (or Gibraltar) individuals to file for DPF 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 the DPF Annex I Binding Arbitration

As explained in Rule 1 of the Arbitration Rules, an EU/EEA or UK (or Gibraltar) 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  EU-U.S. DPF Principles;
(b) make use of the independent recourse mechanism under the EU-U.S. DPF
     Principles, which is at no cost to the individual; and
(c) raise the issue through the Claimant's Data Protection Authority to the U.S.
     Department of Commerce and afford the U.S. 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 EU-U.S. DPF 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 the EU-U.S. DPF Supplemental Principle on the Role of the Data Protection
          Authorities or the EU-U.S. DPF Supplemental Principle on Human Resources Data (i.e., Sections
          III.5 or III.9 of the EU-U.S. DPF Principles); or 
     (2) has the authority to resolve the claimed violation directly with the Respondent. An EU DPA's
           authority to resolve the same claim against an EU data controller does not alone preclude
           invocation of this arbitration option against a different legal entity not bound by the EU DPA
           authority.

How to File for the DPF 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. DPF 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. DPF 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., DPF Annex I Notice of Arbitration Form, along with other documents as required by Rule 2 and forward to the ICDR-AAA at the address below.

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

Sending by email box: [email protected]