CELEX: 52011PC0805
Language: en
Date: 2011-11-23
Title: Proposal for a COUNCIL DECISION on the signature of the Agreement between the United States of America and the European Union on the use and transfer of Passenger Name Records to the United States Department of Homeland Security

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		52011PC0805
		
			Proposal for a COUNCIL DECISION on the signature of the Agreement between the United States of America and the European Union on the use and transfer of Passenger Name Records to the United States Department of Homeland Security /* COM/2011/0805 final - 2011/0383 (NLE) */
			
				
		
		
			
			   	EXPLANATORY MEMORANDUM
U.S. legislation empowers the Department of
Homeland Security (DHS) to require each air carrier operating passenger flights
to and from the U.S., to provide it with electronic access to Passenger Name
Record (PNR) data prior to the passenger arriving or leaving the U.S. The
requirements of the U.S. authorities are based on title 49, United States Code,
section 44909c (3) and its implementing regulations (title 19, Code of federal
regulations, section 122.49b).
This legislation aims at obtaining PNR data
electronically in advance of a flight's arrival and therefore significantly
enhances DHS ability to conduct efficient and effective advance risk assessment
of passengers and to facilitate bona fide travel, thereby enhancing the security
of the U.S. The Agreement will also foster international police and judicial
cooperation through the transfer of analytical information flowing from PNR
data by the U.S. to the competent Member States authorities as well as Europol
and Eurojust within their respective competences.
PNR is a record of each passenger's travel
requirements which contains all information necessary to enable reservations to
be processed and controlled by air carriers. 
Air carriers are under an obligation to
provide the DHS with access to certain PNR data contained in the air carrier's
automated reservation and departure control systems.
The data protection laws of the EU do not
allow European and other carriers operating flights from the EU to transmit the
PNR data of their passengers to third countries which do not ensure an adequate
level of protection of personal data without adducing appropriate safeguards. A
solution is required that will provide the legal basis for the transfer of PNR
data from the EU to the U.S. as a recognition of the necessity and importance
of the use of PNR data in the fight against terrorism and other serious
transnational crime, whilst avoiding legal uncertainty for air carriers. In
addition, this solution should be applied homogenously throughout the European
Union in order to ensure a legal certainty for air carriers and respect of
individuals' rights to the protection of personal data as well as their
physical security.
The European Union signed an agreement in 2007
with the United States on the transfer and processing of PNR data based on a
set of commitments by DHS in relation to the application of its PNR programme[1].
Following the entry into force of the
Lisbon Treaty and pending the conclusion of the agreement, the Council sent the
2007 U.S. Agreement to the European Parliament for its consent for the
conclusion. The European Parliament adopted a resolution[2] in which it decided to postpone
its vote on the requested consent and requesting a renegotiation of the
Agreement on the basis of certain criteria. Pending such renegotiation, the
2007 Agreement would remain provisionally applicable.
On 21 September 2010, the Council received
a recommendation from the Commission to authorise the opening of negotiations
for an Agreement between the European Union and the United States of America
for the use and transfer of Passenger Name Record (PNR) data to prevent and
combat terrorism and other serious transnational crime.
On 11 November 2010, the European
Parliament adopted a resolution on the Recommendation from the Commission to
the Council to authorise the opening of the negotiations.
On 2 December 2010, the Council adopted a
Decision, together with a negotiation directive, authorising the Commission to
open negotiations on behalf of the European Union. Following negotiations
between the parties, the Agreement was initialled on 17 November 2011. 
This Agreement takes into consideration and
is consistent with the general criteria laid down in the Communication from the
Commission on the Global Approach to the transfer of Passenger Name Record
(PNR) data to third countries[3]
and the negotiating directives given by the Council. 
PNR has proven to be a very important tool
in the fight against terrorism and serious crime. The Agreement has secured
several important safeguards for those whose data will be transferred and used.
In particular, the purpose of processing of PNR data is strictly limited to
preventing, detecting, investigating and prosecuting terrorist offences and
serious transnational crime. The retention period of the PNR data is limited
and PNR will be used for a shorter period in the fight against serious
transnational crime and a longer one for terrorism. In addition, the data will
be depersonalised after a period of 6 months. Individuals are provided with the
right to access, correction, redress and information. The 'push' method of
transfer is recognised as the standard mode of transfer, with which all
carriers will need to comply within 2 years of the Agreement. Sensitive data is
to be used in very exceptional cases and deleted after a very short timeframe.
Compliance with these rules shall be subject to independent review and
oversight by various Department Privacy Officers, as well as by the DHS Office
of Inspector General, the Government Accountability Office and the U.S.
Congress.
The Article 218(5) of the Treaty on the
Functioning of the European Union states that the Council shall authorise the
signing of international agreements.
The Commission therefore proposes to the
Council to adopt a decision authorising the signing of the Agreement between
the European Union and the United States of America on the use and transfer of Passenger
Name Record data to the United States Department of Homeland Security.
2011/0383 (NLE)
Proposal for a
COUNCIL DECISION
on the signature of the Agreement between
the United States of America and the European Union on the use and transfer of
Passenger Name Records to the United States Department of Homeland Security
THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the
Functioning of the European Union, and in particular Articles 82(1)(d) and 87(2)(a),
in conjunction with Article 218 (5) thereof, 
Having regard to the proposal from the
European Commission,
Whereas:
(1)       On 2 December 2010, the
Council adopted a Decision, together with negotiation directives, authorising
the Commission to open negotiations on behalf of the European Union between the
European Union and the United States of America for the transfer and use of
Passenger Name Records (PNR) to prevent and combat terrorism and other serious
transnational crime. 
(2)       The Agreement has been negotiated.
The negotiations were successfully concluded by the initialling of the
agreement.
(3)       The Agreement should be
signed subject to its conclusion at a later date.
(4)       This Agreement respects
the fundamental rights and observes the principles recognised in particular by
the Charter of Fundamental Rights of the European Union, notably the right to
private and family life, recognised in Article 7 of the Charter, the right to
the protection of personal data, recognised in Article 8 of the Charter and the
right to effective remedy and fair trial recognised by Article 47 of the
Charter. This Agreement should be applied in accordance with those rights and
principles.
(5)       [In accordance with
Article 3 of the Protocol 21 on the Position of the United Kingdom and Ireland
in respect of the area of Freedom, Security and Justice annexed to the Treaty
on European Union and the Treaty on the Functioning of the European Union, the
United Kingdom and Ireland take part in the adoption of this Decision.]
(6)       In accordance with
Articles 1 and 2 of the Protocol 22 on the Position of Denmark annexed to the
Treaty on European Union and the Treaty on the Functioning of the European
Union, Denmark is not taking part in the adoption of this Decision and is not
bound by the Agreement or subject to its application,
HAS ADOPTED THIS DECISION: 
Article 1
The signing of the Agreement between the
European Union and the United States of America on the use and transfer of
Passenger Name Records to the United States Department of Homeland Security is
hereby approved, subject to its conclusion at a later date.
The text of the Agreement to be signed is
attached to this Decision.
The Commission is authorised to designate the persons empowered to proceed to the signature, subject to its
conclusion. 
Article 2
The Declaration by the EU on the Agreement
on the use and transfer of Passenger Name Records to the United States
Department of Homeland Security (“the Agreement”) in respect of its obligations
under Articles 17 and 23 of the Agreement is hereby approved. 
The text of the Declaration is attached to
the present decision.
Article 3
This Decision shall enter into force on the
day of its adoption. 
Done at Brussels,
                                                                       For
the Council
                                                                       The
President
ANNEX I
AGREEMENT BETWEEN THE UNITED STATES OF
AMERICA AND THE EUROPEAN UNION ON THE USE AND TRANSFER OF PASSENGER NAME RECORDS
TO THE UNITED STATES DEPARTMENT OF HOMELAND SECURITY
THE UNITED STATES OF AMERICA
and
THE EUROPEAN UNION,
Hereinafter referred to as “the Parties,”
DESIRING to prevent and combat terrorism
and serious transnational crime effectively as a means of protecting their
respective democratic societies and common values;
SEEKING to enhance and encourage
cooperation between the Parties in the spirit of transatlantic partnership;
RECOGNIZING the right and responsibility of
states to ensure the security of their citizens and protect their borders and
mindful of the responsibility of all nations to protect the life and safety of
the public including those using international transportation systems; 
CONVINCED that information sharing is an
essential component in the fight against terrorism and serious transnational
crime and that in this context, the processing and use of Passenger Name
Records (PNR) is a necessary tool that gives information that cannot be
obtained by other means;
DETERMINED to
prevent and combat terrorist offenses and transnational crime, while respecting
fundamental rights and freedoms and recognizing the importance of privacy and
the protection of personal data and information;
HAVING REGARD for international
instruments, U.S. statutes and regulations requiring each air carrier operating
passenger flights in foreign air transportation to or from the United States to
make PNR available to the Department of Homeland Security (DHS) to the extent
they are collected and contained in the air carrier’s automated
reservation/departure control systems, and comparable requirements that are or
may be implemented in the EU;
NOTING that DHS processes and uses PNR for
the purpose of preventing, detecting, investigating and prosecuting terrorist
offenses and transnational crime in compliance with safeguards on privacy and
the protection of personal data and information, as set out in this Agreement;
STRESSING the importance of sharing PNR and
relevant and appropriate analytical information obtained from PNR by the United
States with competent police and judicial authorities of Member States, and
Europol or Eurojust as a means to foster international police and judicial
cooperation;
ACKNOWLEDGING both Parties’ longstanding
traditions of respect for individual privacy, as reflected in their laws and
founding documents;
MINDFUL of the EU’s commitments
pursuant to Article 6 of the Treaty on European Union on respect for
fundamental rights, the right to privacy with regard to the processing of
personal data as stipulated in Article 16 of the Treaty on the Functioning of
the European Union, the principles of proportionality and necessity concerning
the right to private and family life, the respect for privacy, and the
protection of personal data under Article 8 of the European Convention on the
Protection of Human Rights and Fundamental Freedoms, Council of Europe
Convention No. 108 for the Protection of Individuals with regard to Automatic
Processing of Personal Data and its additional Protocol 181, and Articles 7 and
8 of the Charter of Fundamental Rights of the European Union; 
MINDFUL that DHS currently employs
robust processes to protect personal privacy and ensure data integrity,
including physical security, access controls, data separation and encryption,
audit capabilities and effective accountability measures;
RECOGNIZING the importance of ensuring data
quality, accuracy, integrity, and security, and instituting appropriate
accountability to ensure these principles are observed;
NOTING in particular the principle of
transparency and the various means by which the United States ensures that passengers
whose PNR is collected by DHS are made aware of the need for and use of their
PNR;
FURTHER RECOGNIZING that the collection and
analysis of PNR is necessary for DHS to carry out its border security mission,
while ensuring that collection and use of PNR remains relevant and necessary
for the purposes for which it is collected;
RECOGNIZING that, in consideration of this
Agreement and its implementation, DHS shall be deemed to ensure an adequate
level of data protection for the processing and use of PNR transferred to DHS;
MINDFUL that the United States and the
European Union are committed to ensuring a high level of protection of personal
information while fighting crime and terrorism, and are determined to reach,
without delay, an agreement to protect personal information exchanged in the
context of fighting crime and terrorism in a comprehensive manner that will
advance our mutual goals;
ACKNOWLEDGING the successful Joint Reviews
in 2005 and 2010 of the 2004 and 2007 Agreements between the Parties on the
transfer of PNR;
NOTING the interest of the parties, as well
as EU Member States, in exchanging information regarding the method of
transmission of PNR as well as the onward transfer of PNR as set forth in the
relevant articles of this Agreement, and further noting the EU’s interest in
having this addressed in the context of the consultation and review mechanism
set forth in this Agreement;
AFFIRMING that this Agreement does not
constitute a precedent for any future arrangements between the Parties, or between
either of the Parties and any other party, regarding the processing, use, or transfer
of PNR or any other form of data, or regarding data protection; 
RECOGNIZING
the related principles of proportionality as well as relevance and necessity
that guide this Agreement and its implementation by the European Union and the
United States; and
HAVING
REGARD to the possibility of the Parties to further discuss the transfer of PNR
data in the maritime mode; 
HEREBY
AGREE:

Chapter I
General Provisions
Article 1
Purpose
1.     
The purpose of this Agreement is to ensure
security and to protect the life 
and safety of the public.
2.     
For this purpose, this Agreement sets forth the
responsibilities of the Parties with respect to the conditions under which PNR
may be transferred, processed and used, and protected.
Article 2
Scope
1.     
PNR, as set forth in the Guidelines of the
International Civil Aviation Organization, shall mean the record created by air
carriers or their authorized agents for each journey booked by or on behalf of
any passenger and contained in carriers’ reservation systems, departure control
systems, or equivalent systems providing similar functionality (collectively
referred to in this Agreement as reservation systems). Specifically, as used in
this Agreement, PNR consists of the data types set forth in the annex to this
Agreement.
2.     
This Agreement shall apply to carriers operating
passenger flights between the European Union and the United States.
3.     
This Agreement shall also apply to carriers
incorporated or storing data in the European Union and operating passenger
flights to or from the United States.
Article 3
Provision of PNR
The Parties agree that carriers shall
provide PNR contained in their reservation systems to DHS as required by and in
accordance with DHS standards and consistent with this Agreement. Should PNR
transferred by carriers include data beyond those listed in the annex to this
Agreement, DHS shall delete such data upon receipt.
Article 4
Use of PNR
1.                      
The United States collects, uses and processes
PNR for the purposes of preventing, detecting, investigating, and prosecuting:
(a)         
Terrorist offenses and related crimes, including
i.        Conduct that – 
1.       involves a violent act or an act
dangerous to human life, property, or infrastructure; and 
2.       appears to be intended to – 
a.       intimidate or coerce a civilian
population;
b.       influence the policy of a government
by intimidation or coercion; or
c.       affect the conduct of a government by
mass destruction, assassination, kidnapping, or hostage-taking.
ii.       Activities constituting an offense
within the scope of and as defined in applicable international conventions and
protocols relating to terrorism;
iii.      Providing or collecting funds, by
any means, directly or indirectly, with the intention that they should be used
or in the knowledge that they are to be used, in full or in part, in order to
carry out any of the acts described in subparagraphs (i) or (ii);
iv.      Attempting to commit any of the acts
described in subparagraphs (i), (ii), or (iii);
v.       Participating as an accomplice in the
commission of any of the acts described in subparagraphs (i), (ii), or (iii);
vi.      Organizing or directing others to
commit any of the acts described in subparagraphs (i), (ii), or (iii);
vii.     Contributing in any other way to the
commission of any of the acts described in subparagraphs (i), (ii), or (iii);
viii.     Threatening to commit an act
described in subparagraph (i) under circumstances which indicate that the
threat is credible;
(b)         
Other crimes that are punishable by a sentence
of imprisonment of three years or more and that are transnational in nature. 
A crime is considered as transnational in
nature in particular if:
i.        It is committed in more than one
country;
ii.       It is committed in one country but a
substantial part of its preparation, planning, direction or control takes place
in another country;
iii.      It is committed in one country but
involves an organized criminal group that engages in criminal activities in
more than one country;
iv.      It is committed in one country but
has substantial effects in another country; or
v.       It is committed in one country and
the offender is in or intends to travel to another country.
2.                      
PNR may be used and processed on a case-by-case
basis where necessary in view of a serious threat and for the protection of
vital interests of any individual or if ordered by a court. 
3.                      
PNR may be used and processed by DHS to identify
persons who would be subject to closer questioning or examination upon arrival
to or departure from the United States or who may require further examination. 
4.                      
Paragraphs 1, 2, and 3 of this Article shall be
without prejudice to domestic law enforcement, judicial powers, or proceedings,
where other violations of law or indications thereof are detected in the course
of the use and processing of PNR. 
Chapter II
Safeguards Applicable to the Use Of
PNR
Article 5
Data Security
1.                      
DHS shall ensure that appropriate technical
measures and organizational arrangements are implemented to protect personal
data and personal information contained in PNR against accidental, unlawful or
unauthorized destruction, loss, disclosure, alteration, access, processing or
use. 
2.                      
DHS shall make appropriate use of technology to
ensure data protection, security, confidentiality and integrity. In particular,
DHS shall ensure that:
(a)         
encryption, authorization and documentation
procedures recognized by competent authorities are applied. In particular,
access to PNR shall be secured and limited to specifically authorized officials;
(b)         
PNR shall be held in a secure physical
environment and protected with physical intrusion controls; and
(c)         
mechanism exists to ensure that PNR queries are
conducted consistent with Article 4.
3.                      
In the event of a privacy incident (including
unauthorized access or disclosure), DHS shall take reasonable measures to
notify affected individuals as appropriate, to mitigate the risk of harm of
unauthorized disclosures of personal data and information, and to institute
remedial measures as may be technically practicable.
4.                      
Within the scope of this Agreement, DHS shall
inform without undue delay the relevant European authorities about cases of
significant privacy incidents involving PNR of EU citizens or residents
resulting from accidental or unlawful destruction or accidental loss,
alteration, unauthorized disclosure or access, or any unlawful forms of
processing or use.
5.                      
The United States confirms that effective
administrative, civil, and criminal enforcement measures are available under
U.S. law for privacy incidents. DHS may take disciplinary action against
persons responsible for any such privacy incident, as appropriate, to include
denial of system access, formal reprimands, suspension, demotion, or removal
from duty.
6.                      
All access to PNR, as well as its processing and
use, shall be logged or documented by DHS. Logs or documentation shall be used
only for oversight, auditing, and system maintenance purposes or as otherwise
required by law. 
Article 6
Sensitive Data
1.                      
To the extent that PNR of a passenger as
collected includes sensitive data (i.e., personal data and information revealing
racial or ethnic origin, political opinions, religious or philosophical
beliefs, trade union membership, or data concerning the health or sex life of
the individual), DHS shall employ automated systems to filter and mask out
sensitive data from PNR. In addition, DHS shall not further process or use such
data, except in accordance with paragraphs 3 and 4 of this Article.
2.                      
DHS shall provide to the European Commission
within 90 days of the entry into force of this Agreement a list of codes and
terms identifying sensitive data that shall be filtered out.
3.                      
Access to, as well as processing and use of,
sensitive data shall be permitted in exceptional circumstances where the life
of an individual could be imperiled or seriously impaired. Such data may be
exclusively accessed using restrictive processes on a case-by-case basis with
the approval of a DHS senior manager. 
4.                      
Sensitive data shall be permanently deleted not
later than 30 days from the last receipt of PNR containing such data by DHS. However,
sensitive data may be retained for the time specified in U.S. law for the
purpose of a specific investigation, prosecution or enforcement action. 
Article 7
Automated Individual Decisions
The United States shall not make decisions
that produce significant adverse actions affecting the legal interests of
individuals based solely on automated processing and use of PNR.
Article 8 
Retention of Data
1.                      
DHS retains PNR in an active database for up to
five years. After the initial six months of this period, PNR shall be
depersonalized and masked in accordance with paragraph 2 of this Article.
Access to this active database shall, unless otherwise permitted by this
Agreement, be restricted to a limited number of specifically authorized
officials. 
2.                      
To achieve depersonalization, personally
identifiable information contained in the following PNR data types shall be
masked out:
(a)         
name(s);
(b)         
other names on PNR;
(c)         
all available contact information (including
originator information);
(d)         
General Remarks, including other supplementary
information (OSI), special service information (SSI), and special service
request (SSR); and
(e)         
any collected APIS information.
3.                      
After this active period, PNR shall be
transferred to a dormant database for a period of up to ten years. This dormant
database shall be subject to additional controls, including a more restricted
number of authorized personnel, as well as a higher level of supervisory
approval required before access. In this dormant database, PNR shall not be
repersonalized except in connection with law enforcement operations and then
only in connection with an identifiable case, threat or risk. As regards the
purposes as set out in Article 4, paragraph (1)(b), PNR in this dormant
database may only be repersonalized for a period of up to five years.
4.                      
Following the dormant period, data retained must
be rendered fully anonymized by deleting all data types which could serve to
identify the passenger to whom PNR relate without the possibility of
repersonalization. 
5.                      
Data that are related to a specific case or
investigation may be retained in an active PNR database until the case or
investigation is archived. This paragraph is without prejudice to data
retention requirements for individual investigation or prosecution files.
6.                      
The Parties agree that, within the framework of
the evaluation as provided for in Article 23, paragraph 1, the necessity of a
10-year dormant period of retention will be considered.
Article 9
Non-discrimination
The United States shall ensure that the
safeguards applicable to processing and use of PNR under this Agreement apply
to all passengers on an equal basis without unlawful discrimination.
Article 10
Transparency
1.                      
DHS shall provide information to the traveling
public regarding its use and processing of PNR through:
(a)         
publications in the Federal Register;
(b)         
publications on its website;
(c)         
notices that may be incorporated by the carriers
into contracts of carriage;
(d)         
statutorily required reporting to Congress; and
(e)         
other appropriate measures as may be developed.
2.                      
DHS shall publish and provide to the EU for
possible publication its procedures and modalities regarding access, correction
or rectification, and redress procedures. 
3.                      
The Parties shall work with the aviation
industry to encourage greater visibility to passengers at the time of booking on
the purpose of the collection, processing and use of PNR by DHS, and on how to
request access, correction and redress.
Article 11
Access for Individuals
1.                      
In accordance with the provisions of the Freedom
of Information Act, any individual, regardless of nationality, country of
origin, or place of residence is entitled to request his or her PNR from DHS.
DHS shall timely provide such PNR subject to the provisions of paragraphs 2 and
3 of this Article. 
2.                      
Disclosure of information contained in PNR may
be subject to reasonable legal limitations, applicable under U.S. law,
including any such limitations as may be necessary to safeguard
privacy-protected, national security, and law enforcement sensitive
information.
3.                      
Any refusal or restriction of access shall be
set forth in writing and provided to the requesting individual on a timely
basis. Such notification shall include the legal basis on which information was
withheld and shall inform the individual of the options available under U.S.
law for seeking redress. 
4.                      
DHS shall not disclose PNR to the public, except
to the individual whose PNR has been processed and used or his or her
representative, or as required by U.S. law.
Article 12
Correction or Rectification for Individuals
1.                      
Any individual regardless of nationality, country
of origin, or place of residence may seek the correction or rectification, including
the possibility of erasure or blocking, of his or her PNR by DHS pursuant to
the processes described in this Agreement.
2.                      
DHS shall inform, without undue delay, the
requesting individual in writing of its decision whether to correct or rectify
the PNR at issue. 
3.                      
Any refusal or restriction of correction or
rectification shall be set forth in writing and provided to the requesting
individual on a timely basis. Such notification shall include the legal basis
of such refusal or restriction and shall inform the individual of the options
available under U.S. law for seeking redress. 
Article 13
Redress for Individuals
1.                      
Any individual regardless of nationality, country
of origin, or place of residence whose personal data and personal information
has been processed and used in a manner inconsistent with this Agreement may
seek effective administrative and judicial redress in accordance with U.S. law.

2.                      
Any individual is entitled to seek to
administratively challenge DHS decisions related to the use and processing of
PNR.
3.                      
Under the provisions of the Administrative
Procedure Act and other applicable law, any individual is entitled to petition
for judicial review in U.S. federal court of any final agency action by DHS.
Further, any individual is entitled to petition for judicial review in
accordance with applicable law and relevant provisions of: 
(a)         
the Freedom of Information Act; 
(b)         
the Computer Fraud and Abuse Act; 
(c)         
the Electronic Communications Privacy Act; and 
(d)         
other applicable provisions of U.S. law.
4.                      
In particular, DHS provides all individuals an
administrative means (currently the DHS Traveler Redress Inquiry Program (DHS TRIP))
to resolve travel-related inquiries including those related to the use of PNR. DHS
TRIP provides a redress process for individuals who believe they have been
delayed or prohibited from boarding a commercial aircraft because they were
wrongly identified as a threat. Pursuant to the Administrative Procedure Act
and Title 49, United States Code, Section 46110, any such aggrieved individual
is entitled to petition for judicial review in U.S. federal court from any
final agency action by DHS relating to such concerns. 
Article 14
Oversight
1.                      
Compliance with the privacy safeguards in this
Agreement shall be subject to independent review and oversight by Department
Privacy Officers, such as the DHS Chief Privacy Officer, who:
(a)         
have a proven record of autonomy; 
(b)         
exercise effective powers of oversight,
investigation, intervention, and review; and 
(c)         
have the power to refer violations of law
related to this Agreement for prosecution or disciplinary action, when
appropriate. 
They shall, in particular, ensure that
complaints relating to non-compliance with this Agreement are received,
investigated, responded to, and appropriately redressed. These complaints may
be brought by any individual, regardless of nationality, country of origin, or
place of residence. 
2.                      
In addition, application of this Agreement by
the United States shall be subject to independent review and oversight by one
or more of the following entities: 
(a)         
the DHS Office of Inspector General; 
(b)         
the Government Accountability Office as
established by Congress; and 
(c)         
the U.S. Congress. 
Such oversight may be manifested in the
findings and recommendations of public reports, public hearings, and analyses. 
Chapter III
Modalities of Transfers
Article 15 
Method of PNR Transmission
1.                      
For the purposes of this Agreement, carriers
shall be required to transfer PNR to DHS using the “push” method, in
furtherance of the need for accuracy, timeliness and completeness of PNR.
2.                      
Carriers shall be required to transfer PNR to
DHS by secure electronic means in compliance with the technical requirements of
DHS.
3.                      
Carriers shall be required to transfer PNR to
DHS in accordance with paragraphs 1 and 2 of this Article, initially at 96
hours before the scheduled flight departure and additionally either in real
time or for a fixed number of routine and scheduled transfers as specified by
DHS.
4.                      
In any case, the Parties agree that all carriers
shall be required to acquire the technical ability to use the “push” method not
later than 24 months following entry into force of this Agreement.
5.                      
DHS may, where necessary, on a case-by-case basis,
require a carrier to provide PNR between or after the regular transfers
described in paragraph 3. Wherever carriers are unable, for technical reasons,
to respond timely to requests under this Article in accordance with DHS
standards, or, in exceptional circumstances in order to respond to a specific,
urgent, and serious threat, DHS may require carriers to otherwise provide
access.
Article 16
Domestic Sharing
1.                      
DHS may share PNR only pursuant to a careful
assessment of the following safeguards:
(a)         
Exclusively
as consistent with Article 4;
(b)         
Only with domestic government authorities when
acting in furtherance of the uses outlined in Article 4;
(c)         
Receiving authorities shall afford to PNR equivalent
or comparable safeguards as set out in this Agreement; and
(d)         
PNR shall be shared only in support of those
cases under examination or investigation and pursuant to written understandings
and U.S. law on the exchange of information between domestic government
authorities. 
2.                      
When transferring analytical information obtained
from PNR under this Agreement, the safeguards set forth in paragraph 1 of this
Article shall be respected.
Article 17
Onward Transfer
1.                      
The United States may transfer PNR to competent
government authorities of third countries only under terms consistent with this
Agreement and only upon ascertaining that the recipient’s intended use is
consistent with these terms. 
2.                      
Apart from emergency circumstances, any such
transfer of data shall occur pursuant to express understandings that
incorporate data privacy protections comparable to those applied to PNR by DHS as
set out in this Agreement.
3.                      
PNR shall be shared only in support of those
cases under examination or investigation. 
4.                      
Where DHS is aware that PNR of a citizen or a
resident of an EU Member State is transferred, the competent authorities of the
concerned Member State shall be informed of the matter at the earliest
appropriate opportunity.
5.                      
When transferring analytical information
obtained from PNR under this Agreement, the safeguards set forth in paragraphs
1-4 of this Article shall be respected.
Article 18 
Police, Law Enforcement and Judicial Cooperation
1.                      
Consistent with existing law enforcement or
other information-sharing agreements or arrangements between the United States
and any Member State of the EU or Europol and Eurojust, DHS shall provide to
competent police, other specialized law enforcement or judicial authorities of
the Member States and Europol and Eurojust within the remit of their respective
mandates, as soon as practicable, relevant, and appropriate, analytical
information obtained from PNR in those cases under examination or investigation
to prevent, detect, investigate, or prosecute within the European Union
transnational crime as described in Article 4, paragraph 1(b) or conduct or
activities related to terrorist offenses.
2.                      
A police or judicial authority of a Member State
of the EU, or Europol or Eurojust, may request, within its mandate, access to
PNR or relevant analytical information obtained from PNR that are necessary in
a specific case to prevent, detect, investigate, or prosecute within the European
Union a terrorist offense or transnational crime as described in Article 4,
paragraph 1(b). DHS shall, subject to the agreements and arrangements noted in
paragraph 1 of this Article, provide such information.
3.                      
Pursuant to paragraphs 1 and 2 of this Article,
DHS shall share PNR only following a careful assessment of the following
safeguards:
(a)         
 Exclusively
as consistent with Article 4;
(b)         
Only when acting in
furtherance of the uses outlined in Article 4; and
(c)         
Receiving authorities shall afford to PNR
equivalent or comparable safeguards as set
out in this Agreement.
4.                      
When transferring analytical information
obtained from PNR under this Agreement, the safeguards set forth in paragraphs
1-3 of this Article shall be respected.
Chapter IV
Implementing and Final Provisions
Article 19
Adequacy
In consideration of this Agreement and its
implementation, DHS shall be deemed to provide, within the meaning of relevant
EU data protection law, an adequate level of protection for PNR processing and
use. In this respect, carriers which have provided PNR to DHS in compliance
with this Agreement shall be deemed to have complied with applicable legal
requirements in the EU related to the transfer of such data from the EU to the
United States.
Article 20
Reciprocity
1.                      
The Parties shall actively promote the
cooperation of carriers within their respective jurisdictions with any PNR
system operating or as may be adopted in the other’s jurisdiction, consistent
with this Agreement. 
2.                      
Given that the establishment of an EU PNR system
could have a material effect on the Parties’ obligations under this Agreement,
if and when an EU PNR system is adopted, the Parties shall consult to determine
whether the present Agreement would need to be adjusted accordingly to ensure
full reciprocity. Such consultations shall in particular examine whether any
future EU PNR system would apply less stringent data protection standards than those
provided for in the present Agreement, and whether, therefore, it should be
amended. 
Article 21
Implementation and Non-Derogation
1.                      
This Agreement shall not create or confer, under
U.S. law, any right or benefit on any person or entity, private or public. Each
Party shall ensure that the provisions of this Agreement are properly
implemented.
2.                      
Nothing in this Agreement shall derogate from existing
obligations of the United States and Member States, including under the
Agreement on Mutual Legal Assistance between the European Union and the United
States of 25 June 2003 and the related bilateral mutual legal assistance
instruments between the United States and Member States.
Article 22
Notification of Changes in Domestic Law
The Parties shall advise each other
regarding the enactment of any legislation that materially affects the
implementation of this Agreement.
Article 23
Review and Evaluation
1.                      
The Parties shall jointly review the
implementation of this Agreement one year after its entry into force and
regularly thereafter as jointly agreed. Further, the Parties shall jointly evaluate
this Agreement four years after its entry into force.
2.     The Parties shall jointly determine in advance the modalities and
terms of the joint review and shall
communicate to each other the composition of their respective teams. For the purpose of the joint review, the European Union shall be represented by the European
Commission, and the United States
shall be represented by DHS. The teams may include
appropriate experts on data protection and law enforcement. Subject to
applicable laws, participants in the joint review shall be required to have
appropriate security clearances and to respect the confidentiality of the
discussions. For the purpose of the joint review, DHS shall ensure appropriate
access to relevant documentation, systems, and personnel.
3.                      
Following the joint
review, the European Commission shall present a report to the European
Parliament and the Council of the European Union. The United States
shall be given an opportunity to provide written comments which shall be
attached to the report. 
Article 24
Resolution of Disputes and Suspension of Agreement
1.                      
Any dispute arising from the implementation of
this Agreement, and any matters related thereto, shall give rise to
consultations between the Parties, with a view to reaching a mutually agreeable
resolution, including providing an opportunity for either Party to cure within
a reasonable time.
2.                      
In the event that consultations do not result in
a resolution of the dispute, either Party may suspend the application of this
Agreement by written notification through diplomatic channels, with any such
suspension to take effect 90 days from the date of such notification, unless
the Parties otherwise agree to a different effective date. 
3.                      
Notwithstanding any suspension of this
Agreement, all PNR obtained by DHS pursuant to this Agreement prior to its suspension
shall continue to be processed and used in accordance with the safeguards of
this Agreement. 
Article 25
Termination 
1.                      
Either Party may terminate this Agreement at any
time by written notification through diplomatic channels. 
2.                      
Termination shall take effect 120 days from the
date of such notification, unless the Parties otherwise agree to a different
effective date. 
3.                      
Prior to any termination of this Agreement, the
Parties shall consult each other in a manner which allows sufficient time for
reaching a mutually agreeable resolution.
4.                      
Notwithstanding any termination of this
Agreement, all PNR obtained by DHS pursuant to this Agreement prior to its termination
shall continue to be processed and used in accordance with the safeguards of
this Agreement. 
Article 26
Duration 
1.                      
Subject to Article 25, this Agreement shall
remain in force for a period of seven years from the date of its entry into
force.
2.                      
Upon the expiry of the period set forth in
paragraph 1 of this Article, as well as any subsequent period of renewal under
this paragraph, the Agreement shall be renewed for a subsequent period of seven
years unless one of the Parties notifies the other in writing through
diplomatic channels, at least twelve months in advance, of its intention not to
renew the Agreement.
3.                      
Notwithstanding the expiration of this
Agreement, all PNR obtained by DHS under the terms of this Agreement shall
continue to be processed and used in accordance with the safeguards of this
Agreement. Similarly, all PNR obtained by DHS under the
terms of the Agreement Between the United States of America and the European
Union on the Processing and Transfer of Passenger Name Record (PNR) Data by Air
Carriers to the United States Department of Homeland Security (DHS), signed at
Brussels and Washington July 23 and 26, 2007, shall continue to be processed
and used in accordance with the safeguards of that Agreement.
Article 27
Final provisions
1.                      
This Agreement shall enter into force on the
first day of the month after the date on which the Parties have exchanged notifications
indicating that they have completed their internal procedures for this purpose.
2.                      
This Agreement, as of the date of its entry into
force, shall supersede the July 23 and 26, 2007 Agreement .
3.                      
This Agreement will only apply to the territory
of Denmark, the United Kingdom or Ireland, if the European Commission notifies
the United States in writing that Denmark, the United Kingdom or Ireland has
chosen to be bound by this Agreement.
4.                      
If the European Commission notifies the United
States before the entry into force of this Agreement that it will apply to the
territory of Denmark, the United Kingdom or Ireland, this Agreement shall apply
to the territory of such State on the same day as for the other EU Member
States bound by this Agreement.
5.                      
If the European Commission notifies the United
States after entry into force of this Agreement that it applies to the
territory of Denmark, the United Kingdom or Ireland, this Agreement shall apply
to the territory of such State on the first day following receipt of the
notification by the United States.
Done at…this…day of…2011, in two originals.

Pursuant to EU law, this Agreement shall
also be drawn up by the EU in the Bulgarian, Czech, Danish, Dutch, Estonian,
Finnish, French, German, Greek, Hungarian, Italian, Latvian, Lithuanian,
Maltese, Polish, Portuguese, Romanian, Slovak, Slovenian, Spanish and Swedish
languages. 
ANNEX
PNR Data Types
1.                      
PNR record locator code
2.                      
Date of reservation/issue of ticket
3.                      
Date(s) of intended travel
4.                      
Name(s)
5.                      
Available frequent flier and benefit information
(i.e., free tickets, upgrades, etc.)
6.                      
Other names on PNR, including number of
travelers on PNR
7.                      
All available contact information (including
originator information)
8.                      
All available payment/billing information (not
including other transaction details linked to a credit card or account and not
connected to the travel transaction)
9.                      
Travel itinerary for specific PNR
10.                  
Travel agency/travel agent
11.                  
Code share information
12.                  
Split/divided information
13.                  
Travel status of passenger (including
confirmations and check-in status)
14.                  
Ticketing information, including ticket number,
one way tickets and Automated Ticket Fare Quote
15.                  
All baggage information
16.                  
Seat information, including seat number
17.                  
General remarks including OSI, SSI and SSR
information
18.                  
Any collected Advance Passenger Information
System (APIS) information
19.                  
All historical changes to the PNR listed in
numbers 1 to 18
ANNEX II
Declaration by the EU on the Agreement on the use and transfer of
Passenger Name Records to the United States Department of Homeland Security (“the
Agreement”), in respect of its obligations under Articles 17 and 23 of the
Agreement.
1.     
In the context of the joint review and
evaluation mechanism set out in Article 23 of the Agreement, and without
prejudice to other matters that may be raised through this mechanism, the
European Union will seek information from the US on the exchange of information
where appropriate, regarding the transfers of European Union citizens' and
residents' PNR data to the authorities of third countries as laid down in Article 17
of the Agreement;
2.     
In the context of the consultation and review
mechanism set out in Article 23 of the Agreement, the EU will request from
the US all appropriate information on the implementation of the conditions governing
those transfers in accordance with the provisions of Article 17;
3.     
The EU, in the context of the consultation and
review mechanism set out in Article 23 of the Agreement, will pay
particular attention to the respect of all the safeguards for the implementation
of the provisions of Article 17(2), so as to be satisfied that third
countries receiving such data have agreed to afford to the data the privacy
protections comparable to those provided to PNR by DHS under the Agreement.
[1]               OJ L204/16, 4.8.2007
[2]               P7_TA-(2010)0144, 5.5.2010
[3]               COM(2010)492.