report on findings by eu-us expert group re: nsa surveillance

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DG D 2B E

COUCIL OF

THE EUROPEA UIO

Brussels, 27 ovember 2013

16!7"13

#AI 107!

U$A 61

%ATAPROTECT 1!&

COTER 1'1EFOPOL 3&

OTE

from: Presidency and Commission Services

to: C!"P"!

S#$%ect: !eport on t&e findin's $y t&e "( Co)c&airs of t&e ad &oc "()(S *or+in' Gro#p

on Data Protection

De,e'ations -i,, find attac&ed t&e !eport on t&e findin's $y t&e "( Co)c&airs of t&e ad &oc "()(S

*or+in' Gro#p on Data Protection.



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AE(

Re)or* o+ *e -.+/.+s b *e EU Co4.rs o- *e 4/ o EUU$ 5or.+ rou) o+ %4*4

Pro*e*.o+

18 AI9 A% $ETTI UP OF THE 5OR:I ROUP

n 4#ne 2513 t&e eistence of a n#m$er of (S s#rvei,,ance pro'rammes invo,vin' t&e ,ar'e)sca,e

co,,ection and processin' of persona, data -as revea,ed. &e pro'rammes concern in partic#,ar t&e

co,,ection of persona, data from (S internet and te,ecomm#nication service providers and t&e

monitorin' of data f,o-s inside and o#tside t&e (S. Given t&e centra, position of (S information

and comm#nications tec&no,o'y companies in t&e "( mar+et t&e transat,antic ro#tin' of e,ectronic

data f,o-s and t&e vo,#me of data f,o-s across t&e 0t,antic si'nificant n#m$ers of individ#a,s in

t&e "( are potentia,,y affected $y t&e (S pro'rammes.

0t t&e "()(S 4#stice and ome 0ffairs inisteria, eetin' in 4#ne 2513 and in ,etters to t&eir (S

co#nterparts ;ice)President !edin' and Commissioner a,mstr<m epressed serio#s concerns

re'ardin' t&e impact of t&ese pro'rammes on t&e f#ndamenta, ri'&ts of individ#a,s in t&e "(

partic#,ar,y t&e f#ndamenta, ri'&t to protection of persona, data. C,arifications -ere re=#ested from

t&e (S a#t&orities on a n#m$er of aspects inc,#din' t&e scope of t&e pro'rammes t&e vo,#me of

data co,,ected t&e eistence of %#dicia, and administrative oversi'&t mec&anisms and t&eir

avai,a$i,ity to individ#a,s in t&e "( as -e,, as t&e different ,eve,s of protection and proced#ra,

safe'#ards t&at app,y to (S and "( persons.

>#rt&er to a C!"P"! meetin' of 18 4#,y 2513 an ad &oc "()(S *or+in' Gro#p -as esta$,is&ed

in 4#,y 2513 to eamine t&ese matters. &e p#rpose -as to esta$,is& t&e facts a$o#t (S s#rvei,,ance

pro'rammes and t&eir impact on f#ndamenta, ri'&ts in t&e "( and persona, data of "( citi?ens.

>#rt&er to t&at C!"P"! meetin' a @second trac+@ -as esta$,is&ed #nder -&ic& em$er States

may disc#ss -it& t&e (S a#t&orities in a $i,atera, format matters re,ated to t&eir nationa, sec#rity

and t&e "( instit#tions may raise -it& t&e (S a#t&orities =#estions re,ated to t&e a,,e'ed

s#rvei,,ance of "( instit#tions and dip,omatic missions.



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n t&e "( side t&e ad &oc *or+in' Gro#p is co)c&aired $y t&e Commission and t&e Presidency of

t&e Co#nci,. t is composed of representatives of t&e Presidency t&e Commission services t&e

"#ropean "terna, 0ction Service t&e incomin' Presidency t&e "( Co#nter)errorism Co)

ordinator t&e C&air of t&e 0rtic,e 29 *or+in' Party as -e,, as ten eperts from em$er States

&avin' epertise in t&e area of data protection and ,a- enforcement/sec#rity. n t&e (S side t&e

'ro#p is composed of senior officia,s from t&e Department of 4#stice t&e ffice of t&e Director of

ationa, nte,,i'ence t&e State Department and t&e Department of ome,and Sec#rity.

0 preparatory meetin' too+ p,ace in *as&in'ton D.C. on 8 4#,y 2513. eetin's of t&e Gro#p too+

p,ace on 22 and 23 4#,y 2513 in Br#sse,s on 19 and 25 Septem$er 2513 in *as&in'ton D.C. and

on 6 ovem$er 2513 in Br#sse,s.

&e findin's $y t&e "( co)c&airs of t&e ad &oc "()(S *or+in' Gro#p are presented in t&is report.

&e report is $ased on information provided $y t&e (S d#rin' t&e meetin's of t&e ad &oc "()(S

-or+in' 'ro#p as -e,, as on p#$,ic,y avai,a$,e doc#ments inc,#din' c,assified doc#ments

disc,osed in t&e press $#t not confirmed $y t&e (S. Participants on t&e "( side &ad an opport#nity

to s#$mit comments on t&e report. &e (S -as provided -it& an opport#nity to comment on

possi$,e inacc#racies in t&e draft. &e fina, report &as $een prepared #nder t&e so,e responsi$i,ity of

t&e "()co c&airs.

&e distinction $et-een t&e "()(S *or+in' Gro#p and t&e $i,atera, second trac+ -&ic& ref,ects

t&e division of competences $et-een t&e "( and em$er States and in partic#,ar t&e fact t&at

nationa, sec#rity remains t&e so,e responsi$i,ity of eac& em$er State set some ,imitations on t&e

disc#ssion in t&e *or+in' Gro#p and t&e information provided t&erein. &e scope of t&e

disc#ssions -as a,so ,imited $y operationa, necessities and t&e need to protect c,assified

information partic#,ar,y information re,ated to so#rces and met&ods. &e (S a#t&orities dedicated

s#$stantia, time and efforts to respondin' to t&e =#estions as+ed $y t&e "( side on t&e ,e'a, and

oversi'&t frame-or+ in -&ic& t&eir Si'na, nte,,i'ence capa$i,ities operate.



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28 THE LEAL FRA9E5OR:

&e (S provided information re'ardin' t&e ,e'a, $asis #pon -&ic& s#rvei,,ance pro'rammes are

$ased and carried o#t. &e (S c,arified t&at t&e Presidents a#t&ority to co,,ect forei'n inte,,i'ence

o#tside t&e (S derives direct,y from &is capacity as @commander in c&ief@ and from &iscompetences for t&e cond#ct of t&e forei'n po,icy as ens&rined in t&e (S constit#tion.

&e overa,, (S constit#tiona, frame-or+ as interpreted $y t&e (S S#preme Co#rt is a,so

s#fficient,y re,evant to ma+e reference to it &ere. &e protection of t&e >o#rt& 0mendment of t&e

(S Constit#tion -&ic& pro&i$its @#nreasona$,e searc&es and sei?#res@ and re=#ires t&at a -arrant

m#st $e $ased #pon @pro$a$,e ca#se@1 etends on,y to (S nationa,s and citi?ens of any nation

residin' -it&in t&e (S. 0ccordin' to t&e (S S#preme Co#rt forei'ners -&o &ave not previo#s,y

deve,oped si'nificant vo,#ntary connections -it& t&e (S cannot invo+e t&e >o#rt& 0mendment2.

-o ,e'a, a#t&orities t&at serve as $ases for t&e co,,ection of persona, data $y (S inte,,i'ence

a'encies are: Section 752 of t&e >orei'n nte,,i'ence S#rvei,,ance 0ct of 1978 >S0 as amended

$y t&e 2558 >S0 0mendments 0ct E5 (.S.C. F 1881a and Section 21E of t&e (S0 P0!

0ct 2551 -&ic& a,so amended >S0 E5 (.S.C. 1861. &e >S0 Co#rt &as a ro,e in a#t&orisin'

and overseein' inte,,i'ence co,,ection #nder $ot& ,e'a, a#t&orities.

1 @Pro$a$,e ca#se@ m#st $e s&o-n $efore an arrest or searc& -arrant may $e iss#ed. >or

pro$a$,e ca#se to eist t&ere m#st $e s#fficient reason $ased #pon +no-n facts to $e,ieve a

crime &as $een committed or t&at certain property is connected -it& a crime. n most cases

pro$a$,e ca#se &as to eist prior to arrest searc& or sei?#re inc,#din' in cases -&en ,a-

enforcement a#t&orities can ma+e an arrest or searc& -it&o#t a -arrant.2 0ccordin' to t&e (S S#preme Co#rt forei'ners -&o are not residin' permanent,y in t&e (S

can on,y re,y on t&e >o#rt& 0mendment if t&ey are part of t&e (S nationa, comm#nity or &ave

ot&er-ise deve,oped s#fficient connection -it& t&e (S to $e considered part of t&atcomm#nity: (S v. ;erd#'o)(r=#ide? H A9A (.S. 2E9 1995 pp. A9A (.S. 26A)266.



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&e (S f#rt&er c,arified t&at not a,, inte,,i'ence co,,ection re,ies on t&ese provisions of >S0 t&ere

are ot&er provisions t&at may $e #sed for inte,,i'ence co,,ection. &e Gro#ps attention -as a,so

dra-n to "ec#tive rder 12333 iss#ed $y t&e (S President in 1981 and amended most recent,y in

2558 -&ic& sets o#t certain po-ers and f#nctions of t&e inte,,i'ence a'encies inc,#din' t&e

co,,ection of forei'n inte,,i'ence information. o %#dicia, oversi'&t is provided for inte,,i'ence

co,,ection #nder "ec#tive rder 12333 $#t activities commenced p#rs#ant to t&e rder m#st not

vio,ate t&e (S constit#tion or app,ica$,e stat#tory ,a-.

2818 $e*.o+ 702 FI$A ;'0 U8$8C8 < 1!!14=

2.1.1. Material scope of Section 702 FISA

Section 752 >S0 provides a ,e'a, $asis for t&e co,,ection of @forei'n inte,,i'ence information@

re'ardin' persons -&o are @reasona$,y $e,ieved to $e ,ocated o#tside t&e (nited States.@ 0s t&e

provision is directed at t&e co,,ection of information concernin' non)(S persons it is of partic#,ar

re,evance for an assessment of t&e impact of (S s#rvei,,ance pro'rammes on t&e protection of

persona, data of "( citi?ens.

(nder Section 752 information is o$tained @from or -it& t&e assistance of an e,ectronic

comm#nication service provider@. &is can encompass different forms of persona, information e.'.

emai,s p&oto'rap&s a#dio and video ca,,s and messa'es doc#ments and internet $ro-sin' &istory

and co,,ection met&ods inc,#din' -iretaps and ot&er forms of interception of e,ectronica,,y stored

data and data in transmission.

&e (S confirmed t&at it is #nder Section 752 t&at t&e ationa, Sec#rity 0'ency S0 maintains a

data$ase +no-n as P!S. &is a,,o-s co,,ection of e,ectronica,,y stored data inc,#din' content

data $y means of directives addressed to t&e main (S internet service providers and tec&no,o'y

companies providin' on,ine services inc,#din' accordin' to c,assified doc#ments disc,osed in t&e press $#t not confirmed $y t&e (S icrosoft Ia&oo Goo',e >ace$oo+ Pa,a,+ 0J 0pp,e

S+ype and Io##$e.



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&e (S a,so confirmed t&at Section 752 provides t&e ,e'a, $asis for so)ca,,ed @#pstream co,,ection@

t&is is #nderstood to $e t&e interception of nternet comm#nications $y t&e S0 as t&ey transit

t&ro#'& t&e (S 1 e.'. t&ro#'& ca$,es at transmission points.

Section 752 does not re=#ire t&e 'overnment to identify partic#,ar tar'ets or 'ive t&e >orei'n

nte,,i'ence S#rvei,,ance Co#rt &ereafter >SC Co#rt a rationa,e for individ#a, tar'etin'. Section

752 states t&at a specific -arrant for eac& tar'et is not necessary.

&e (S stated t&at no $,an+et or $#,+ co,,ection of data is carried o#t #nder Section 752 $eca#se

co,,ection of data ta+es p,ace on,y for a specified forei'n inte,,i'ence p#rpose. &e act#a, scope of

t&is ,imitation remains #nc,ear as t&e concept of forei'n inte,,i'ence &as on,y $een ep,ained in t&e

a$stract terms set o#t &ereafter and it remains #nc,ear for eact,y -&ic& p#rposes forei'ninte,,i'ence is co,,ected. &e "( side as+ed for f#rt&er specification of -&at is covered #nder

@forei'n inte,,i'ence information@ -it&in t&e meanin' of >S0 E5 (.S.C. F1851e s#c& as

references to ,e'a, a#t&orities or interna, '#ide,ines s#$stantiatin' t&e scope of forei'n inte,,i'ence

information and any ,imitations on its interpretation $#t t&e (S ep,ained t&at t&ey co#,d not

provide t&is as to do so -o#,d revea, specific operationa, aspects of inte,,i'ence co,,ection

pro'rammes. @>orei'n inte,,i'ence information@ as defined $y >S0 inc,#des specific cate'ories of

information e.'. internationa, terrorism and internationa, pro,iferation of -eapons of mass

destr#ction as -e,, as @information re,atin' to t&e cond#ct of t&e forei'n affairs of t&e (S.@

Priorities are identified $y t&e *&ite o#se and t&e Director of ationa, nte,,i'ence and a ,ist is

dra-n #p on t&e $asis of t&ese priorities.

>orei'n inte,,i'ence co#,d on t&e face of t&e provision inc,#de information concernin' t&e po,itica,

activities of individ#a,s or 'ro#ps or activities of 'overnment a'encies -&ere s#c& activity co#,d

$e of interest to t&e (S for its forei'n po,icy2. &e (S noted t&at @forei'n inte,,i'ence@ inc,#des

information 'at&ered -it& respect to a forei'n po-er or a forei'n territory as defined $y >S0 E5

(SC 1851.

1 pinions of t&e >orei'n nte,,i'ence S#rvei,,ance Co#rt >SC of 3 cto$er 2511 and of 35

ovem$er 2511.2 E5 (.S.C. F1851e 2 read in con%#nction -it& F1851a E and 6.



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n t&e =#estion -&et&er @forei'n inte,,i'ence information@ can inc,#de activities t&at co#,d $e

re,evant to (S economic interests t&e (S stated t&at it is not cond#ctin' any form of ind#stria,

espiona'e and referred to statements of t&e President of t&e (nited States1 and t&e Director of

ationa, nte,,i'ence2. &e (S ep,ained t&at it may co,,ect economic inte,,i'ence e.'. t&e

macroeconomic sit#ation in a partic#,ar co#ntry disr#ptive tec&no,o'ies t&at &as a forei'n

inte,,i'ence va,#e. o-ever t&e (S #nder,ined t&at information t&at is o$tained -&ic& may provide

a competitive advanta'e to (S companies is not a#t&orised to $e passed on to t&ose companies.

Section 752 provides t&at #pon iss#ance of an order $y >SC t&e 0ttorney Genera, and t&e Director

of ationa, nte,,i'ence may a#t&ori?e %oint,y t&e tar'etin' of persons reasona$,y $e,ieved to $e

,ocated o#tside t&e (S to ac=#ire forei'n inte,,i'ence information. Section 752 does not re=#ire t&at

forei'n inte,,i'ence information $e t&e so,e p#rpose or even t&e primary p#rpose of ac=#isition $#t

rat&er @a si'nificant p#rpose of t&e ac=#isition@. &ere can $e ot&er p#rposes of co,,ection inaddition to forei'n inte,,i'ence. o-ever t&e dec,assified >SC pinions indicate t&at d#e to t&e

$road met&od of co,,ection app,ied #nder t&e #pstream pro'ramme and a,so d#e to tec&nica,

reasons persona, data is co,,ected t&at may not $e re,evant to forei'n inte,,i'ence3.

1 Spea+in' at a press conference in Stoc+&o,m on A Septem$er 2513 President $ama said: @-&en it

comes to inte,,i'ence 'at&erin' internationa,,y o#r foc#s is on co#nterterrorism -eapons of massdestr#ction cy$er sec#rity )) core nationa, sec#rity interests of t&e (nited States@.

2 Statement $y Director of ationa, nte,,i'ence 4ames !. C,apper on 0,,e'ations of "conomic

"spiona'e 8 Septem$er 2513: @*&at -e do not do as -e &ave said many times is #se o#r forei'ninte,,i'ence capa$i,ities to stea, t&e trade secrets of forei'n companies on $e&a,f of ) or 'iveinte,,i'ence -e co,,ect to ) (S companies to en&ance t&eir internationa, competitiveness or increaset&eir $ottom ,ine@ f#,, statement avai,a$,e at: &ttp://---.dni.'ov/inde.p&p/ne-sroom/press)

re,eases/191)press)re,eases)2513/926)statement)$y)director)of)nationa,)inte,,i'ence)%ames)r)c,apper)on)a,,e'ations)of)economic)espiona'e.

3 0ccordin' to t&e >SC Dec,assified pinion of 3 cto$er 2511 @S0s #pstream co,,ection of

nternet comm#nications inc,#des t&e ac=#isition of entire transactions@ -&ic& @may contain datat&at is -&o,,y #nre,ated to t&e tas+ed se,ector inc,#din' t&e f#,, content of discrete comm#nicationst&at are not to from or a$o#t t&e faci,ity tas+ed for co,,ection@ p. E. &e >SC f#rt&er notes t&at@S0s #pstream co,,ection devices &ave tec&no,o'ica, ,imitations t&at si'nificant,y affect t&e scopeof co,,ection@ p. 35 and t&at @S0s #pstream nternet co,,ection devices are 'enera,,y incapa$,e of

distin'#is&in' $et-een transactions containin' on,y a sin',e discrete comm#nication to from or a$o#ta tas+ed se,ector and transactions containin' m#,tip,e discrete comm#nications not a,, of -&ic& may

$e to from or a$o#t a tas+ed se,ector@ p. 31. t is stated in t&e >SC Dec,assified pinion t&at @t&e portions of Cs Km#,ti comm#nication transactionsL t&at contain references to tar'eted se,ectors are,i+e,y to contain forei'n inte,,i'ence information and t&at it is not feasi$,e for S0 to ,imit itsco,,ection on,y to t&e re,evant portion or portions of eac& C@ p. E7.



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2.1.2. Personal scope of Section 702 FISA

Section 752 >S0 'overns t&e @tar'etin' of persons reasona$,y $e,ieved to $e ,ocated o#tside t&e

(nited States to ac=#ire forei'n inte,,i'ence information@. t is aimed at t&e tar'etin' of non)(S

persons -&o are overseas.

&is is confirmed $y t&e ,imitations set fort& in Section 752 $ >S0 -&ic& ec,#sive,y concern

(S citi?ens or non)(S persons -it&in t&e (S1. ore specifica,,y ac=#isition of data a#t&orised

#nder Section 752 may not:

i intentiona,,y tar'et any person +no-n at t&e time of ac=#isition to $e ,ocated in t&e (S

ii intentiona,,y tar'et a person $e,ieved to $e ,ocated o#tside t&e (S if t&e p#rpose of s#c&

ac=#isition is to tar'et a partic#,ar +no-n person reasona$,y $e,ieved to $e in t&e (S

iii intentiona,,y tar'et a (S person reasona$,y $e,ieved to $e ,ocated o#tside t&e (S

iv intentiona,,y ac=#ire any comm#nication as to -&ic& t&e sender and a,, intended recipients are

+no-n at t&e time of ac=#isition to $e ,ocated in t&e (S.

n addition p#rs#ant to t&e same provision ac=#isition of data m#st $e @cond#cted in a manner

consistent -it& t&e >o#rt& 0mendment to t&e Constit#tion of t&e (nited States@ t&at pro&i$its

@#nreasona$,e searc&es and sei?#res@ and re=#ires t&at a -arrant m#st $e $ased #pon @pro$a$,e

ca#se@.

0s far as (S persons are concerned t&e definition of @forei'n inte,,i'ence information@ re=#ires

t&at t&e information to $e co,,ected is necessary to t&e p#rpose p#rs#ed2. Concernin' non)(S

persons t&e definition of @forei'n inte,,i'ence information@ on,y re=#ires t&e information to $e

related to t&e p#rpose p#rs#ed3.

1 @(S person@ is defined in E5 (.S.C. F1851i as a (S citi?en an a,ien ,a-f#,,y admitted for

permanent residence an #nincorporated association a s#$stantia, n#m$er of mem$ers of

-&ic& are (S citi?ens or permanent residents or a corporation incorporated in t&e (S $#t not

inc,#din' a corporation or association t&at is a forei'n po-er.2 E5 (.S.C. F1851e.3 $id.



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0s disc#ssed $e,o- co,,ection #nder Section 752 is s#$%ect to tar'etin' and minimisation

proced#res t&at aim to red#ce t&e co,,ection of persona, data of (S persons #nder Section 752 as

-e,, as t&e f#rt&er processin' of persona, data of (S persons incidenta,,y ac=#ired #nder Section

752. *&i,e accordin' to t&e (S non (S persons may $enefit from some re=#irements set o#t in t&e

minimi?ation proced#res1

t&ere are no tar'etin' or minimisation proced#res #nder Section 752 t&at

specifica,,y aim to red#ce t&e co,,ection and f#rt&er processin' of persona, data of non)(S persons

incidenta,,y ac=#ired.

2.1.3. Geographical scope of Section 702 FISA

Section 752 does not contain ,imitations on t&e 'eo'rap&ica, scope of co,,ection of forei'n

inte,,i'ence information.

Section 752 & provides t&at t&e 0ttorney Genera, and t&e Director of ationa, nte,,i'ence may

direct an @e,ectronic comm#nication service provider@ to provide immediate,y a,, information

faci,ities or assistance necessary. &is encompasses a -ide ran'e of e,ectronic comm#nication

services and operators inc,#din' t&ose t&at may &ave persona, data pertainin' to individ#a,s in t&e

"( in t&eir possession:

i any service -&ic& provides #sers -it& t&e a$i,ity to send or receive -ire or e,ectronic

comm#nications t&is co#,d inc,#de e.'. emai, c&at and ;P providers2

ii any @remote comp#tin'@ service i.e. one -&ic& provides to t&e p#$,ic comp#ter stora'e or

processin' services $y means of an e,ectronic comm#nications system3

iii any provider of te,ecomm#nications services e.'. nternet service providers& and

1 Dec,assified minimi?ation proced#res 2511 #sed $y t&e S0 in connection -it&

ac=#isitions of forei'n inte,,i'ence information p#rs#ant to Section 752 >S0. See Section 3

a2 >S0 s.751 $AB 18 (.S.C. F 2E15.3 >S0 s.751 $ A C 18 (.S.C. F 2711.& >S0 s.751 $ A 0 A7 (.S.C. F 1E3.



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iv any ot&er comm#nication service provider -&o &as access to -ire or e,ectronic

comm#nications eit&er as t&ey are transmitted or as t&ey are stored1.

Dec,assified >SC opinions confirm t&at (S inte,,i'ence a'encies &ave reco#rse to met&ods of

co,,ection #nder Section 752 t&at &ave a -ide reac& s#c& as t&e P!S co,,ection of data from

internet service providers or t&ro#'& t&e @#pstream co,,ection@ of data t&at transits t&ro#'& t&e (S 2.

&e "( as+ed for specific c,arifications on t&e iss#e of co,,ection of or access to data not ,ocated or

not ec,#sive,y ,ocated in t&e (S data stored or ot&er-ise processed in t&e c,o#d data processed $y

s#$sidiaries of (S companies ,ocated in t&e "( and data from nternet transmission ca$,es o#tside

t&e (S. &e (S dec,ined to rep,y on t&e 'ro#nds t&at t&e =#estions pertained to met&ods of

inte,,i'ence co,,ection.

2828 $e*.o+ 21' U$ P4*r.o* A* ;'0 U8$8C8 < 1!61=

Section 21E of t&e (S0)Patriot 0ct 2551 is t&e second ,e'a, a#t&ority for s#rvei,,ance pro'rammes

t&at -as disc#ssed $y t&e ad &oc "()(S -or+in' 'ro#p. t permits t&e >edera, B#rea# of

nvesti'ation >B to ma+e an app,ication for a co#rt order re=#irin' a $#siness or anot&er entity to

prod#ce @tan'i$,e t&in's@ s#c& as $oo+s records or doc#ments -&ere t&e information so#'&t isre,evant for an investi'ation to o$tain forei'n inte,,i'ence information not concernin' a (nited

States person or to protect a'ainst internationa, terrorism or c,andestine inte,,i'ence activities3. &e

order is secret and may not $e disc,osed. o-ever t&e (S ffice of t&e Director of ationa,

nte,,i'ence dec,assified and made p#$,ic some doc#ments re,ated to Section 21E inc,#din'

doc#ments revea,in' t&e ,e'a, reasonin' of t&e >SC on Section 21E.

1 >S0 s.751 $ A D.2 See dec,assified ,etters of A ay 2552 from D4 and D to t&e C&airman of t&e (S senate

and o#se of !epresentatives Se,ect Committee on nte,,i'ence p. 3)A of anneed doc#ment.3 Section 21E f#rt&er specifies t&at prod#ction of information can re,ate to an investi'ation on

internationa, terrorism or c,andestine inte,,i'ence activities concernin' a (S person provided

t&at s#c& investi'ation of a (S person is not cond#cted so,e,y #pon t&e $asis of activities protected $y t&e first amendment to t&e Constit#tion.



16987/13 GS/np 11

0" DG D 2B E

&e (S confirmed t&at t&is provision serves as t&e $asis for a pro'ramme of inte,,i'ence co,,ection

via orders o$tained $y t&e >B from t&e >SC directin' certain te,ecomm#nications service

providers to provide specified non)content te,ep&ony @meta)data@. >or t&at pro'ramme t&e

information is stored $y t&e S0 and =#eried on,y for co#nter)terrorism p#rposes.

&at pro'ramme is ,imited to t&e co,,ection of ca,, detai, records or te,ep&ony @meta)data@

maintained $y specified te,ecomm#nications service providers. &ese records cover information

s#c& as te,ep&one n#m$ers dia,,ed and t&e n#m$ers from -&ic& ca,,s are made as -e,, as t&e date

time and d#ration of ca,,s $#t do not inc,#de t&e content of t&e ca,,s t&e names address or financia,

information of any s#$scri$er or c#stomer or any ce,, site ,ocation information. 0ccordin' to t&e

ep,anations provided $y t&e (S t&is means t&at t&e inte,,i'ence a'encies cannot t&ro#'& t&is

pro'ramme ,isten to or record te,ep&one conversations.

&e (S ep,ained t&at Section 21E a,,o-s for @$#,+@ co,,ection of te,ep&ony meta)data maintained

$y t&e company to -&om t&e order is addressed. &e (S a,so ep,ained t&at a,t&o#'& t&e co,,ection

is $road in scope t&e f#rt&er processin' of t&e meta)data ac=#ired #nder t&is pro'ramme is ,imited

to t&e p#rpose of investi'ation of internationa, terrorism. t -as stated t&at t&e $#,+ records may not

$e accessed or =#eried $y inte,,i'ence a'encies for any ot&er p#rpose.

0n order for data #nder Section 21E can concern not on,y t&e data of (S persons $#t a,so of non)

(S persons. Bot& (S and "( data s#$%ects -&erever ,ocated fa,, -it&in t&e scope of t&e te,ep&ony

meta)data pro'ramme -&enever t&ey are party to a te,ep&one ca,, made to from or -it&in t&e (S

and -&ose meta)data is maintained and prod#ced $y a company to -&om t&e order is addressed.

&ere are ,imitations on t&e scope of Section 21E 'enera,,y: -&en app,yin' for an order t&e >B

m#st specify reasona$,e 'ro#nds to $e,ieve t&at t&e records so#'&t are re,evant to an a#t&orised

investi'ation to o$tain forei'n inte,,i'ence information not concernin' a (S person or to protect

a'ainst internationa, terrorism or c,andestine inte,,i'ence activities. n addition (S persons $enefit

#nder Section 21E from a f#rt&er protection #navai,a$,e to non)(S persons as Section 21E

specifica,,y ec,#des from its scope @investi'ation of a (nited States person KML cond#cted so,e,y

#pon t&e $asis of activities protected $y t&e first amendment to t&e Constit#tion@ i.e. activities

protected $y t&e freedom of re,i'ion t&e freedom of speec& or of t&e press as -e,, as t&e freedom

of assem$,y and to petition t&e Government for redress for 'rievances.



16987/13 GS/np 12

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2838 E>eu*.ve Or/er 12333

&e (S indicated t&at "ec#tive rder 12333 serves as t&e $asis for ot&er s#rvei,,ance

pro'rammes t&e scope of -&ic& is at t&e discretion of t&e President. &e (S confirmed t&at

"ec#tive rder 12333 is t&e 'enera, frame-or+ on inte,,i'ence 'at&erin' inside and o#tside t&e

(S. 0,t&o#'& t&e "ec#tive rder re=#ires t&at a'encies operate #nder '#ide,ines approved $y t&e

&ead of t&e a'ency and t&e 0ttorney Genera, t&e rder itse,f does not set any restriction to $#,+

co,,ection of data ,ocated o#tside t&e (S ecept to reiterate t&at a,, inte,,i'ence co,,ection m#st

comp,y -it& t&e (S Constit#tion and app,ica$,e ,a-. "ec#tive rder 12333 a,so provides a ,e'a,

$asis to disseminate to forei'n 'overnments information ac=#ired p#rs#ant to Section 7521.

&e "( re=#ested f#rt&er information re'ardin' t&e scope and f#nctionin' of "ec#tive rder

12333 and t&e '#ide,ines and s#pp,ementa, proced#res -&ose adoption is provided for #nder t&e

"ec#tive rder. &e "( re=#ested information in partic#,ar -it& re'ard to t&e app,ication of

"ec#tive rder 12333 to $#,+ data co,,ection its impact on individ#a,s in t&e "( and any

app,ica$,e safe'#ards. &e (S ep,ained t&at t&e part t&at covers si'na,s inte,,i'ence anneed to t&e

re,evant re'#,ation settin' fort& proced#res #nder 12333 is c,assified as are t&e s#pp,ementary

proced#res on data ana,ysis $#t t&at t&e foc#s of t&ese proced#res is on protectin' information of

(S persons. &e (S indicated t&at t&e ,imitations on inte,,i'ence co,,ection #nder "ec#tive rder

12333 are not desi'ned to ,imit t&e co,,ection of persona, data of non)(S persons. >or eamp,e ont&e =#estion -&et&er co,,ection of in$o disp,ays from emai, acco#nts and/or co,,ection of contact

,ists are a#t&orised t&e (S representatives rep,ied t&at t&ey -ere not a-are of a pro&i$ition of s#c&

practices.

&e (S confirmed t&at %#dicia, approva, is not re=#ired #nder "ec#tive rder 12333 and t&at t&ere

is no %#dicia, oversi'&t of its #se ecept in ,imited circ#mstances s#c& as -&en information is #sed

in a ,e'a, proceedin'. "ec#tive oversi'&t is eercised #nder "ec#tive rder 12333 $y t&e

nspector)Genera,s of eac& a'ency -&o re'#,ar,y report to t&e &eads of t&eir a'encies and to

Con'ress on t&e #se as -e,, as on $reac&es of "ec#tive rder 12333. &e (S -as #na$,e to

provide any =#antitative information -it& re'ard to t&e #se or impact on "( citi?ens of "ec#tive

rder 12333. &e (S did ep,ain &o-ever t&at t&e "ec#tive rder states t&at inte,,i'ence

a'encies s&o#,d 'ive @specia, emp&asis@ to detectin' and co#nterin' t&e t&reats posed $y terrorism

espiona'e and t&e pro,iferation of -eapons of mass destr#ction2.

1 See Dec,assified minimi?ation proced#res at p. 11.2 See "ec#tive rder 12333 Part 1.1 c.



16987/13 GS/np 13

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&e (S f#rt&er confirmed t&at in t&e (S t&ere are ot&er ,e'a, $ases for inte,,i'ence co,,ection -&ere

t&e data of non)(S persons may $e ac=#ired $#t did not 'o into detai,s as to t&e ,e'a, a#t&orities

and proced#res app,ica$,e.

38 COLLECTIO A% FURTHER PROCE$$I OF %ATA

n response to =#estions from t&e "( re'ardin' &o- data is co,,ected and #sed #nder t&e

s#rvei,,ance pro'rammes t&e (S stated t&at t&e co,,ection of persona, information $ased on Section

752 >S0 and Section 21E Patriot 0ct is s#$%ect to a n#m$er of proced#ra, safe'#ards and ,imitative

conditions. (nder $ot& ,e'a, a#t&orities accordin' to t&e (S privacy is protected $y a m#,ti)

,ayered system of contro,s on -&at is co,,ected and on t&e #se of -&at is co,,ected and t&ese

contro,s are $ased on t&e nat#re and intr#siveness of t&e co,,ection.

t appeared from t&e disc#ssions t&at t&ere is a si'nificant difference in interpretation $et-een t&e

"( and t&e (S of a f#ndamenta, concept re,atin' to t&e processin' of persona, data $y sec#rity

a'encies. >or t&e "( data ac=#isition is synonymo#s -it& data co,,ection and is a form of

processin' of persona, data. Data protection ri'&ts and o$,i'ations are a,ready app,ica$,e at t&at

sta'e. 0ny s#$se=#ent operation carried o#t on t&e data co,,ected s#c& as stora'e or cons#,tation $y

&#man eyes constit#tes f#rt&er processin'. 0s t&e (S ep,ained #nder (S ,a- t&e initia,

ac=#isition of persona, data does not a,-ays constit#te processin' of persona, data data is

@processed@ on,y -&en it is ana,ysed $y means of &#man intervention. &is means t&at -&i,e certain

safe'#ards arise at t&at moment of ac=#isition additiona, data protection safe'#ards arise at t&e

time of processin'.



16987/13 GS/np 1A

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3818 $e*.o+ 702 FI$A

3.1.1. Certification and athori!ation procedre

Section 752 does not re=#ire individ#a, %#dicia, orders or -arrants a#t&ori?in' co,,ection a'ainsteac& tar'et. nstead t&e >SC approves ann#a, certifications s#$mitted in -ritin' $y t&e 0ttorney

Genera, and t&e Director of ationa, nte,,i'ence. Bot& t&e certifications and t&e >SCs orders are

secret #n,ess dec,assified #nder (S ,a-. &e certifications -&ic& are rene-a$,e identify

cate'ories of forei'n inte,,i'ence information so#'&t to $e ac=#ired. &ey are t&erefore critica,

doc#ments for a correct #nderstandin' of t&e scope and reac& of co,,ection p#rs#ant to Section 752.

&e "( re=#ested $#t did not receive f#rt&er information re'ardin' &o- t&e certifications or

cate'ories of forei'n inte,,i'ence p#rposes are defined and is t&erefore not in a position to assess

t&eir scope. &e (S ep,ained t&at t&e specific p#rpose of ac=#isition is set o#t in t&e certification

$#t -as not in a position to provide mem$ers of t&e Gro#p -it& eamp,es $eca#se t&e certifications

are c,assified. &e >SC &as %#risdiction to revie- certifications as -e,, as tar'etin' and

minimi?ation proced#res. t revie-s Section 752 certification to ens#re t&at t&ey contain a,, re=#ired

e,ements and tar'etin' and minimi?ation proced#res to ens#re t&at t&ey are consistent -it& >S0

and t&e >o#rt& 0mendment to t&e (S Constit#tion. &e certification s#$mitted to >SC $y t&e

0ttorney Genera, and t&e Director of ationa, nte,,i'ence m#st contain a,, t&e re=#ired e,ements

#nder Section 752 i inc,#din' an attestation t&at a si'nificant p#rpose of t&e ac=#isition is to

o$tained forei'n inte,,i'ence information. &e >SC does not scr#tinise t&e s#$stance of t&e

attestation or t&e need to ac=#ire data a'ainst t&e p#rpose of t&e ac=#isition e.'. -&et&er it is

consistent -it& t&e p#rpose or proportionate and in t&is re'ard cannot s#$stit#te t&e determination

made $y t&e 0ttorney Genera, and t&e Director of ationa, nte,,i'ence. Section 752 epress,y

specifies t&at certifications are not re=#ired to identify t&e specific faci,ities p,aces premises or

property to -&ic& an ac=#isition of data -i,, $e directed or in -&ic& it -i,, $e cond#cted.

n t&e $asis of >SC)approved certifications data is co,,ected $y means of directives addressed to

e,ectronic comm#nications services providers to provide any and a,, assistance necessary. n t&e

=#estion of -&et&er data is @p#s&ed@ $y t&e companies or @p#,,ed@ $y t&e S0 direct,y from t&eir

infrastr#ct#re t&e (S ep,ained t&at t&e tec&nica, moda,ities depend on t&e provider and t&e system

t&ey &ave in p,ace providers are s#pp,ied -it& a -ritten directive respond to it and are t&erefore

informed of a re=#est for data. &ere is no co#rt approva, or revie- of t&e ac=#isition of data in

eac& specific case.



16987/13 GS/np 1E

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0ccordin' to t&e (S1 #nder Section 752 once comm#nications from specific tar'ets t&at are

assessed to possess or t&at are ,i+e,y to comm#nicate forei'n inte,,i'ence information &ave $een

ac=#ired t&e comm#nications may $e =#eried. &is is ac&ieved $y tas+in' se,ectors t&at are #sed $y

t&e tar'eted individ#a, s#c& as a te,ep&one n#m$er or an emai, address. &e (S ep,ained t&at

t&ere are no random searc&es of data co,,ected #nder Section 752 $#t on,y tar'eted =#eries. N#ery

terms inc,#de names emai, addresses te,ep&one n#m$ers or +ey-ords. *&en =#ery terms are #sed

to searc& data$ases t&ere is no re=#irement of reasona$,e s#spicion neit&er of #n,a-f#, activity nor

of a specific investi'ation. &e app,ica$,e criterion is t&at t&e =#ery terms s&o#,d $e reasona$,y

$e,ieved to $e #sed to ret#rn forei'n inte,,i'ence information. &e (S confirmed t&at it is possi$,e

to perform f#,,)tet searc&es of comm#nications co,,ected and access $ot& content information and

metadata -it& respect to comm#nications co,,ected.

&e tar'etin' decisions made $y S0 in order to first ac=#ire comm#nications are revie-ed after)

t&e)fact $y t&e Department of 4#stice and t&e ffice of t&e Director of ationa, nte,,i'ence ot&er

instances of oversi'&t eist -it&in t&e eec#tive $ranc&. &ere is no %#dicia, scr#tiny of t&e

se,ectors tas+ed e.'. t&eir reasona$,eness or t&eir #se. &e "( re=#ested f#rt&er information on t&e

criteria on t&e $asis of -&ic& se,ectors are defined and c&osen as -e,, as eamp,es of se,ectors $#t

no f#rt&er c,arifications -ere provided.

1 See a,so Semi)0nn#a, 0ssessment of Comp,iance -it& t&e Proced#res and G#ide,ines ss#ed

P#rs#ant to Section 752 of t&e >orei'n nte,,i'ence S#rvei,,ance 0ct S#$mitted $y t&e

0ttorney Genera, and t&e Director of ationa, nte,,i'ence dec,assified $y t&e Director of

ationa, nte,,i'ence on 21 0#'#st 2513

&ttp://---.dni.'ov/fi,es/doc#ments/Semiann#a,O250ssessmentO25ofO25Comp,ianceO25

-it&O25proced#resO25andO25'#ide,inesO25iss#edO25p#rs#antO25toO25SectO25752O25ofO25>S0.pdf 0nne 0 p. 02.

http://www.dni.gov/files/documents/Semiannual%20Assessment%20of%20Compliance%20with%20procedures%20and%20guidelines%20issued%20pursuant%20to%20Sect%20702%20of%20FISA.pdf









16987/13 GS/np 16

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&e co,,ection of data is s#$%ect to specific @minimisation@ proced#res approved $y t&e >SC. &ese

proced#res ep,icit,y app,y to information incidenta,,y co,,ected of or concernin' (S persons.

&ey primari,y aim to protect t&e privacy ri'&ts of (S persons $y ,imitin' t&e co,,ection retention

and dissemination of incidenta,,y ac=#ired information to from or a$o#t (S persons. &ere is no

o$,i'ation to minimi?e impact on non)(S persons o#tside t&e (S. o-ever accordin' to t&e (S

t&e minimisation proced#res a,so $enefit non)(S persons since t&ey are aimed at ,imitin' t&e

co,,ection to data reasona$,y re,evant to a forei'n inte,,i'ence p#rpose1. 0n eamp,e provided $y

t&e (S in Section A of t&e inimisation Proced#res -&ic& contains attorney)c,ient protections for

anyone #nder indictment in t&e (nited States re'ard,ess of citi?ens&ip stat#s.

&e co,,ection of data is a,so s#$%ect to specific @tar'etin'@ proced#res t&at are approved $y t&e

>SC. &ese @tar'etin'@ proced#res primari,y aim to protect t&e privacy ri'&ts of (S persons $yens#rin' t&at in princip,e on,y non)(S persons ,ocated a$road are tar'eted. o-ever t&e (S

refers to t&e fact t&at t&e tar'etin' proced#res contain factors for t&e p#rpose of assessin' -&et&er a

tar'et possesses and/or is ,i+e,y to comm#nicate forei'n inte,,i'ence information2.

&e (S did not c,arify -&et&er and &o- ot&er e,ements of t&e minimisation and tar'etin'

proced#res app,y in practice to non)(S persons and did not state -&ic& r#,es app,y in practice to

t&e co,,ection or processin' of non)(S persona, data -&en it is not necessary or re,evant to forei'n

inte,,i'ence. >or eamp,e t&e "( as+ed -&et&er information t&at is not re,evant $#t incidenta,,y

ac=#ired $y t&e (S is de,eted and -&et&er t&ere are '#ide,ines to t&is end. &e (S -as #na$,e to

provide a rep,y coverin' a,, possi$,e scenarios and stated t&at t&e retention period -o#,d depend on

t&e app,ica$,e ,e'a, $asis and certification approved $y >SC.

>ina,,y t&e >SC revie- does not inc,#de revie- of potentia, meas#res to protect t&e persona,

information of non)(S persons o#tside t&e (S.

1 $id at p. A Section 3 $ A $#t see a,so t&e dec,assified ovem$er 2511 >SC pinion

-&ic& fo#nd t&at meas#res previo#s,y proposed $y t&e 'overnment to comp,y -it& t&is

re=#irement &ad $een fo#nd to $e #nsatisfactory in re,ation to @#pstream@ co,,ection and

processin' and t&at ne- meas#res -ere on,y fo#nd to $e satisfactory for t&e protection of (S

persons.2 See dec,assified S0 tar'etin' proced#res p A.



16987/13 GS/np 17

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3.1.2. "antitati#e indicators

n order to assess t&e reac& of t&e s#rvei,,ance pro'rammes #nder Section 752 and in partic#,ar t&eir

impact on individ#a,s in t&e "( t&e "( side re=#ested fi'#res e.'. &o- many certifications and

se,ectors are c#rrent,y #sed &o- many of t&em concern individ#a,s in t&e "( or re'ardin' t&e

stora'e capacities of t&e s#rvei,,ance pro'rammes. &e (S did not disc#ss t&e specific n#m$er of

certification or se,ectors. 0dditiona,,y t&e (S -as #na$,e to =#antify t&e n#m$er of individ#a,s in

t&e "( affected $y t&e pro'rammes.

&e (S confirmed t&at 1.6O of a,, ',o$a, internet traffic is @ac=#ired@ and 5.52EO of it is se,ected

for revie- &ence 5.555AO of a,, ',o$a, internet traffic is ,oo+ed at $y S0 ana,ysts. &e vast

ma%ority of ',o$a, internet traffic consists of &i'&)vo,#me streamin' and do-n,oads s#c& as

te,evision series fi,ms and sports1. Comm#nications data ma+es #p a very sma,, part of ',o$a,

internet traffic. &e (S did not confirm -&et&er t&ese fi'#res inc,#ded @#pstream@ data co,,ection.

3.1.3. $etention Periods

&e (S side ep,ained t&at @#nrevie-ed data@ co,,ected #nder Section 752 is 'enera,,y retained for

five years a,t&o#'& data co,,ected via #pstream co,,ection is retained for t-o years. &e

minimisation proced#res on,y state t&ese time ,imits in re,ation to (S)persons data2. o-ever t&e

(S ep,ained t&at t&ese retention periods app,y to a,, #nrevie-ed data so t&ey app,y to $ot& (S and

non)(S person information.

1 See Cisco ;is#a, et-or+in' nde 2512 avai,a$,e at:

&ttp://---.cisco.com/en/(S/so,#tions/co,,atera,/ns3A1/nsE2E/nsE37/ns75E/ns827/-&itepaperc11)A81365.pdf

2 See Dec,assified minimisation proced#res at p.11 Section 7 and t&e dec,assified ovem$er

2511 >SC pinion at pa'e 13)1A: @&e t-o)year period 'ives S0 s#$stantia, time to

revie- its #pstream ac=#isitions for forei'n inte,,i'ence information $#t ens#res t&at non)

tar'et information t&at is s#$%ect to protection #nder >S0 or t&e >o#rt& 0mendment Ki.e.

information pertainin' to (S personsL is not retained any ,on'er t&an is reasona$,y

necessary... t&e Co#rt conc,#des t&at t&e amended S0 minimi?ation proced#res as S0 is

app,yin' t&em to K@#pstream co,,ection@ of nternet transactions containin' m#,tip,e

comm#nicationsL are @reasona$,y desi'ned ... to minimi?e t&e ... retentionKL ... of non)

p#$,ic,y avai,a$,e information concernin' #nconsentin' (nited States persons consistent -it&

t&e need of t&e (nited States to o$tain prod#ce and disseminate forei'n inte,,i'enceinformation.@



16987/13 GS/np 18

0" DG D 2B E

f t&e data is deemed to $e of forei'n inte,,i'ence interest t&ere is no ,imitation on t&e ,en't& of

retention. &e (S did not specify t&e retention period of data co,,ected #nder "ec#tive rder

12333.

&e "( as+ed -&at &appens to @non)responsive@ information i.e. data co,,ected t&at does not

respond to =#ery on t&e $asis of a =#ery term. &e (S responded t&at it is not @co,,ectin'@ non)

responsive information. 0ccordin' to t&e (S information t&at is not revie-ed p#rs#ant to a =#ery

made to t&at data$ase norma,,y -i,, @a'e off of t&e system@. t remains #nc,ear -&et&er and -&en

s#c& data is de,eted.

3.1.%. &n'ard transfers and sharing of infor(ation

&e (S indicated t&at t&e co,,ected data are stored in a sec#re data$ase -it& ,imited access for

a#t&orised staff on,y. &e (S &o-ever a,so confirmed t&at in case data co,,ected #nder Section 752

revea, indications of crimina, cond#ct t&ey can $e transferred to or s&ared -it& ot&er a'encies

o#tside t&e inte,,i'ence comm#nity e.'. ,a- enforcement a'encies for p#rposes ot&er t&an forei'n

inte,,i'ence and -it& t&ird co#ntries. &e minimisation proced#res of t&e recipient a'ency are

app,ica$,e. @ncidenta,,y o$tained@ information information not re,evant to forei'n inte,,i'ence

may a,so $e s&ared if s#c& information meets t&e standard #nder t&e app,ica$,e proced#res.n t&e #se of private contractors t&e (S insisted t&at a,, contractors are vetted and s#$%ect to t&e

same r#,es as emp,oyees.

3.1.). *ffecti#eness and added #ale

&e (S stated t&at in EA instances co,,ection #nder Sections 752 and 21E contri$#ted to t&e

prevention and com$atin' of terrorism 2E of t&ese invo,ved "( em$er States. &e (S -as#na$,e to provide fi'#res re'ardin' "ec#tive rder 12333. &e (S confirmed t&at o#t of t&e tota,

of EA cases A2 cases concerned p,ots t&at -ere foi,ed or disr#pted and 12 cases concerned materia,

s#pport for terrorism cases.



16987/13 GS/np 19

0" DG D 2B E

3.1.+. ,ransparency and re(edies e-post

&e "( as+ed -&et&er peop,e -&o are s#$%ect to s#rvei,,ance are informed after-ards -&ere s#c&

s#rvei,,ance t#rns o#t to $e #n%#stified. &e (S stated t&at s#c& a ri'&t does not eist #nder (S ,a-.

o-ever if information o$tained t&ro#'& s#rvei,,ance pro'rammes is s#$se=#ent,y #sed for t&e

p#rposes of crimina, proceedin's t&e protections avai,a$,e #nder (S crimina, proced#ra, ,a- app,y.

3.1.7. &#erarching li(its on strategic sr#eillance of data flo's

&e "( as+ed -&et&er s#rvei,,ance of comm#nications of peop,e -it& no identified ,in+ to serio#s

crime or matters of state sec#rity is ,imited for eamp,e in terms of =#antitative ,imits on t&e

percenta'e of comm#nications t&at can $e s#$%ect to s#rvei,,ance. &e (S stated t&at no s#c& ,imits

eist #nder (S ,a-.

3828 $e*.o+ 21' U$ P4*r.o* A*

3.2.1. Athori!ation procedre

(nder t&e Section 21E pro'ramme disc#ssed &erein t&e >B o$tains orders from t&e >SC directin'

te,ecomm#nications service providers to provide te,ep&ony meta)data. &e (S ep,ained t&at

'enera,,y t&e app,ication for an order from t&e >SC p#rs#ant to Section 21E m#st specify

reasona$,e 'ro#nds to $e,ieve t&at t&e records are re,evant to an a#t&orised investi'ation to o$tain

forei'n inte,,i'ence information not concernin' a (S person or to protect a'ainst internationa,

terrorism or c,andestine inte,,i'ence activities. (nder t&e te,ep&ony metadata co,,ection pro'ramme

t&e S0 in t#rn stores and ana,yses t&ese $#,+ records -&ic& can $e =#eried on,y for

co#nterterrorism p#rposes. &e (S ep,ained t&at t&e information so#'&t m#st $e @re,evant@ to an

investi'ation and t&at t&is is #nderstood $road,y since a piece of information t&at mi'&t not $e

re,evant at t&e time of ac=#isition co#,d s#$se=#ent,y prove to $e re,evant for an investi'ation. &e

standard app,ied is ,ess strin'ent t&an @pro$a$,e ca#se@ #nder crimina, ,a- and permits $road

co,,ection of data in order to a,,o- t&e inte,,i'ence a#t&orities to etract re,evant information.



16987/13 GS/np 25

0" DG D 2B E

&e ,e'a, standard of re,evance #nder Section 21E is interpreted as not re=#irin' a separate s&o-in'

t&at every individ#a, record in t&e data$ase is re,evant to t&e investi'ation. t appears t&at t&e

standard of re,evance is met if t&e entire data$ase is considered re,evant for t&e p#rposes so#'&t.1

*&i,e >SC a#t&ori?ation is not re=#ired prior to t&e searc&in' of t&e data $y t&e S0 t&e (S

stated t&at Co#rt &as approved t&e proced#res 'overnin' access to t&e meta)data ac=#ired and stored

#nder t&e te,ep&ony meta)data pro'ramme a#t&orised #nder Section 21E. 0 sma,, n#m$er of senior

S0 officia,s &ave $een a#t&orised to determine -&et&er t&e searc& of t&e data$ase meets t&e

app,ica$,e ,e'a, standard. Specifica,,y t&ere m#st $e a @reasona$,e artic#,a$,e s#spicion@ t&at an

identifier e.'. a te,ep&one n#m$er #sed to =#ery t&e meta)data is associated -it& a specific forei'n

terrorist or'anisation. t -as ep,ained $y t&e (S t&at t&e @reasona$,e artic#,a$,e s#spicion@

standard constit#tes a safe'#ard a'ainst t&e indiscriminate =#eryin' of t&e co,,ected data and 'reat,y

,imits t&e vo,#me of data act#a,,y =#eried.

&e (S a,so stressed t&at t&ey consider t&at constit#tiona, privacy protections do not app,y to t&e

type of data co,,ected #nder t&e te,ep&ony meta)data pro'ramme. &e (S referred to case),a- of t&e

(S S#preme Co#rt2 accordin' to -&ic& parties to te,ep&one ca,,s &ave no reasona$,e epectation of

privacy for p#rposes of t&e >o#rt& 0mendment re'ardin' t&e te,ep&one n#m$ers #sed to ma+e and

receive ca,,s t&erefore t&e co,,ection of meta)data #nder Section 21E does not affect t&e

constit#tiona, protection of privacy of (S persons #nder t&e >o#rt& 0mendment.

3.2.2. "antitati#e indicators

&e (S ep,ained t&at on,y a very sma,, fraction of t&e te,ep&ony meta)data co,,ected and retained

#nder t&e Section 21E)a#t&orised pro'ramme is f#rt&er revie-ed $eca#se t&e vast ma%ority of t&e

data -i,, never $e responsive to a terrorism)re,ated =#ery. t -as f#rt&er ep,ained t&at in 2512 ,ess

t&an 355 #ni=#e identifiers -ere approved as meetin' t&e @reasona$,e artic#,a$,e s#spicion@

standard and -ere =#eried. 0ccordin' to t&e (S t&e same identifier can $e =#eried more t&an once

can 'enerate m#,tip,e responsive records and can $e #sed to o$tain second and t&ird)tier contacts of

t&e identifier +no-n as @&ops@. &e act#a, n#m$er of =#eries can $e &i'&er t&an 355 $eca#se

m#,tip,e =#eries may $e performed #sin' t&e same identifier. &e n#m$er of persons affected $y

searc&es on t&e $asis of t&ese identifiers #p to t&ird)tier contacts remains t&erefore #nc,ear.

1 See ,etter from D4 to !epresentative Sensen$renner of 16 4#,y 2513

&ttp://$eta.con'ress.'ov/con'ressiona,)record/2513/7/2A/senate)section/artic,e/E552)12 (.S. S#preme Co#rt S(ith #. Maryland AA2 (.S. 73E 1979:



16987/13 GS/np 21

0" DG D 2B E

n response to t&e =#estion of t&e =#antitative impact of t&e Section 21E te,ep&ony meta)data

pro'ramme in t&e "( for eamp,e &o- many "( te,ep&one n#m$ers ca,,in' into t&e (S or &avin'

$een ca,,ed from t&e (S &ave $een stored #nder Section 21E)a#t&orised pro'rammes t&e (S

ep,ained t&at it -as not a$,e to provide s#c& c,arifications $eca#se it does not +eep t&is type of

statistica, information for eit&er (S or non)(S persons.

3.2.3. $etention periods

&e (S ep,ained t&at in princip,e data co,,ected #nder Section 21E is retained for five years -it&

t&e eception for data t&at are responsive to a#t&ori?ed =#eries. n re'ard to data t&at are responsive

to a#t&ori?ed =#eries t&e data may $e retained p#rs#ant to t&e proced#res of t&e a'ency &o,din' t&e

information e.'. t&e S0 or anot&er a'ency s#c& as t&e >B -it& -&om S0 s&ared t&e data. &e

(S referred t&e Gro#p to t&e @0ttorney Genera,s G#ide,ines for Domestic >B perations@1 -&ic&

app,y to data t&at is f#rt&er processed in a specific investi'ation. &ese G#ide,ines do not specify

retention periods $#t provide t&at information o$tained -i,, $e +ept in accordance -it& a records

retention p,an approved $y t&e ationa, 0rc&ives and !ecords 0dministration. &e ationa,

0rc&ives and !ecords 0dministrations Genera, !ecords Sc&ed#,es do not esta$,is& specific

retention periods t&at -o#,d $e appropriate to a,, app,ications. nstead it is provided t&at e,ectronic

records s&o#,d $e de,eted or destroyed -&en @t&e a'ency determines t&ey are no ,on'er needed for

administrative ,e'a, a#dit or ot&er operationa, p#[email protected] t fo,,o-s t&at t&e retention period for

data processed in a specific investi'ation is determined $y t&e a'ency &o,din' t&e information or

cond#ctin' t&e investi'ation.

1 0vai,a$,e at: &ttp://---.%#stice.'ov/a'/readin'room/'#ide,ines.pdf p. 3E.2 0vai,a$,e at: &ttp://---.arc&ives.'ov/records)m'mt/'rs/'rs25.&tm,: @&e records covered $y

severa, items in t&is sc&ed#,e are a#t&ori?ed for eras#re or de,etion -&en t&e a'ency

determines t&at t&ey are no ,on'er needed for administrative ,e'a, a#dit or ot&er operationa,

p#rposes. 0!0 cannot esta$,is& a more specific retention t&at -o#,d $e appropriate in a,,

app,ications. "ac& a'ency s&o#,d -&en appropriate determine a more specific disposition

instr#ction s#c& as @De,ete after #pdate cyc,es@ or @De,ete -&en years o,d@ for inc,#sion

in its records disposition directives or man#a,. 0!0 approva, is not needed to set retention periods for records in t&e G!S t&at are a#t&ori?ed for destr#ction -&en no ,on'er needed.@

http://www.archives.gov/records-mgmt/grs/grs20.html





16987/13 GS/np 22

0" DG D 2B E

3.2.%. &n'ard transfers and sharing of infor(ation

&e "( as+ed for detai,s -it& re'ards to s&arin' of data co,,ected #nder Section 21E $et-een

different a'encies and for different p#rposes. 0ccordin' to t&e (S t&e orders for t&e prod#ction of

te,ep&ony meta)data amon' ot&er re=#irements pro&i$it t&e s&arin' of t&e ra- data and permit

S0 to s&are -it& ot&er a'encies on,y data t&at are responsive to a#t&ori?ed =#eries for

co#nterterrorism =#eries. n re'ard to t&e >Bs &and,in' of data t&at it may receive from t&e S0

t&e (S referred to t&e @0ttorney Genera,s G#ide,ines for Domestic >B perations@ 1. (nder t&ese

'#ide,ines t&e >B may disseminate co,,ected persona, information to ot&er (S inte,,i'ence

a'encies as -e,, as to ,a- enforcement a#t&orities of t&e eec#tive $ranc& e.'. Department of

4#stice for a n#m$er of reasons or on t&e $asis of ot&er stat#tes and ,e'a, a#t&orities2.

&8 O?ER$IHT A% RE%RE$$ 9ECHAI$9$

&e (S ep,ained t&at activities a#t&orised $y Section 752 >S0 and Section 21E Patriot 0ct are

s#$%ect to oversi'&t $y t&e eec#tive ,e'is,ative and %#dicia, $ranc&es.

&e oversi'&t re'ime and t&e $a,ance $et-een t&e ro,es of eac& of t&e $ranc&es in overseein' t&e

s#rvei,,ance pro'rammes differ accordin' to t&e ,e'a, $asis of co,,ection. >or instance $eca#se

%#dicia, oversi'&t is ,imited in re,ation to Section 752 and co,,ection #nder "ec#tive rder 12333is not s#$%ect to %#dicia, oversi'&t a 'reater ro,e is p,ayed $y t&e eec#tive $ranc& in t&ese cases.

versi'&t re'ardin' -&et&er co,,ection on a forei'n tar'et is in +eepin' -it& Section 752 -o#,d

appear to ta+e p,ace ,ar'e,y -it& t&e Department of 4#stice and t&e ffice of t&e Director of

ationa, nte,,i'ence as t&e responsi$,e departments of t&e eec#tive $ranc&.

1 0vai,a$,e at: &ttp://---.%#stice.'ov/a'/readin'room/'#ide,ines.pdf . 2 0ttorney Genera,s G#ide,ines for Domestic >B perations p. 3E)36 provide t&at @KtL&e >B

s&a,, s&are and disseminate information as re=#ired $y stat#tes treaties "ec#tive rders

Presidentia, directives ationa, Sec#rity Co#nci, directives ome,and Sec#rity Co#nci,

directives and 0ttorney Genera,)approved po,icies memoranda of #nderstandin' ora'reements@.

http://www.justice.gov/ag/readingroom/guidelines.pdf





16987/13 GS/np 23

0" DG D 2B E

&818 E>eu*.ve overs.*

"ec#tive Branc& oversi'&t p,ays a ro,e $ot& prior to t&e co,,ection of inte,,i'ence and fo,,o-in'

t&e co,,ection -it& re'ard to t&e processin' of t&e inte,,i'ence. &e ationa, Sec#rity Division of

t&e Department of 4#stice oversees t&e imp,ementation of its decisions on $e&a,f of t&e (S

inte,,i'ence comm#nity. &ese attorneys to'et&er -it& personne, from t&e ffice of t&e Director of

ationa, nte,,i'ence revie- eac& tas+in' #nder >S0 752 c&ec+in' %#stification for a va,id

forei'n inte,,i'ence p#rpose addressin' over)co,,ection iss#es ens#rin' t&at incidents are reported

to t&e >SC and t&e re=#est for prod#ction #nder Section 21E Patriot 0ct. &e Department of

4#stice and t&e ffice of t&e Director of ationa, nte,,i'ence a,so s#$mit reports to Con'ress on a

t-ice)year,y $asis and participates in re'#,ar $riefin's to t&e inte,,i'ence committees of $ot& t&e

o#se of !epresentatives and t&e Senate to disc#ss >S0)re,ated matters.

nce t&e data is co,,ected a n#m$er of eec#tive oversi'&t mec&anisms and reportin' proced#res

app,y. &ere are interna, a#dits and oversi'&t contro,s e.'. t&e S0 emp,oys more t&an 355

personne, -&o s#pport comp,iance efforts. "ac& of t&e 17 a'encies t&at form t&e inte,,i'ence

comm#nity inc,#din' t&e ffice of t&e Director of ationa, nte,,i'ence &as a Genera, Co#nse, and

an nspector Genera,. &e independence of certain nspectors Genera, is protected $y a stat#te and

-&o can revie- t&e operation of t&e pro'rammes compe, t&e prod#ction of doc#ments carry o#t

on)site inspections and address Con'ress -&en needed. !e'#,ar reportin' is done $y t&e eec#tive

$ranc& and s#$mitted to t&e >SC and Con'ress.

0s an eamp,e t&e S0 nspector)Genera, in a ,etter of Septem$er 2513 to Con'ress referred to

t-e,ve comp,iance incidents re,ated to s#rvei,,ance #nder "ec#tive rder 12333.n t&is contet

t&e (S dre- t&e Gro#ps attention to t&e fact t&at since 1 4an#ary 2553 nine individ#a,s &ave $een

investi'ated in re,ation to t&e ac=#isition of data re,ated to non)(S persons for persona, interests.

&e (S ep,ained t&at t&ese emp,oyees eit&er retired resi'ned or -ere discip,ined.

&ere are a,so ,ayers of eterna, oversi'&t -it&in t&e "ec#tive Branc& $y t&e Department of

4#stice t&e Director of ationa, nte,,i'ence and t&e Privacy and Civi, Ji$erties versi'&t Board.

&e Director of ationa, nte,,i'ence p,ays an important ro,e in t&e definition of t&e priorities -&ic&

t&e inte,,i'ence a'encies m#st comp,y -it&. &e Director of ationa, nte,,i'ence a,so &as a Civi,

Ji$erties Protection fficer -&o reports direct,y to t&e Director.



16987/13 GS/np 2A

0" DG D 2B E

&e Privacy and Civi, Ji$erties versi'&t Board -as esta$,is&ed after 9/11. t is comprised of fo#r

part)time mem$ers and a f#,,)time c&airman. t &as a mandate to revie- t&e action of t&e eec#tive

$ranc& in matters of co#nterterrorism and to ens#re t&at civi, ,i$erties are proper,y $a,anced. t &as

investi'ation po-ers inc,#din' t&e a$i,ity to access c,assified information.

*&i,e t&e (S side provided a detai,ed description of t&e oversi'&t arc&itect#re1 t&e (S did not

provide =#a,itative information on t&e dept& and intensity of oversi'&t or ans-ers to a,, =#estions

a$o#t &o- s#c& mec&anisms app,y to non)(S persons.

&828 Co+ress.o+4l overs.*

Con'ressiona, oversi'&t of inte,,i'ence activities is cond#cted t&ro#'& t&e nte,,i'ence Committee

and t&e 4#diciary Committee of $ot& Senate and t&e o#se -&ic& emp,oy approimate,y 35 to A5

staff. &e (S emp&asised t&at $ot& Committees are $riefed on a re'#,ar $asis inc,#din' on

si'nificant >SC opinions a#t&orisin' inte,,i'ence co,,ection pro'rammes and t&at t&ere -as

specific re)a#t&orisation of t&e app,ica$,e ,a-s $y Con'ress inc,#din' t&e $#,+ co,,ection #nder

Section 21E Patriot 0ct 2.

&838 #u/..4l overs.*@ FI$C role 4+/ l.m.*4*.o+s

&e >SC comprised of e,even >edera, %#d'es oversees inte,,i'ence activities t&at ta+e p,ace on t&e

$asis of Section 752 >S0 and Section 21E Patriot 0ct. ts proceedin's are in ca(era and its orders

and opinions are c,assified #n,ess t&ey are dec,assified. &e >SC is presented -it& 'overnment

re=#ests for s#rvei,,ance in t&e form of a#t&orisations for co,,ection or certifications -&ic& can $e

approved sent $ac+ for improvement e.'. to $e modified or narro-ed do-n or ref#sed. &e

n#m$er of forma, ref#sa,s is very sma,,. &e (S ep,ained t&at t&e reason for t&is is t&e amo#nt of

scr#tiny of t&ese re=#ests $y different ,ayers of administrative contro, $efore reac&in' t&e >SC as

-e,, as t&e iterative process $et-een t&e >SC and t&e administration prior to a >SC decision.

0ccordin' to t&e (S >SC &as estimated t&at at times approimate,y 2EO of app,ications s#$mitted

are ret#rned for s#pp,ementation or modification.

1 See Semi)0nn#a, 0ssessment of Comp,iance.2 n addition t&e Con'ressiona, committees are provided -it& information from t&e >SC

re'ardin' its proced#res and -or+in' met&ods see for eamp,e t&e ,etters of >S0 Co#rtPresidin' 4#d'e !e''ie *a,ton to Senator Jea&y of 29 4#,y 2513 and 11 cto$er 2513.



16987/13 GS/np 2E

0" DG D 2B E

*&at eact,y is s#$%ect to %#dicia, oversi'&t depends on t&e ,e'a, $asis of co,,ection. (nder Section

21E t&e Co#rt is as+ed to approve co,,ection in t&e form of an order to a specified company for

prod#ction of records. (nder Section 752 it is t&e 0ttorney Genera, and t&e Director of ationa,

nte,,i'ence t&at a#t&orise co,,ection and t&e Co#rts ro,e consists of confirmation t&at t&e

certifications s#$mitted contain a,, t&e e,ements re=#ired and t&at t&e proced#res are consistent -it&

t&e stat#te. &ere is no %#dicia, oversi'&t of pro'rammes cond#cted #nder "ec#tive rder 12333.

&e ,imited information avai,a$,e to t&e *or+in' Gro#p did not a,,o- it to assess t&e scope and

dept& of oversi'&t re'ardin' t&e impact on individ#a,s in t&e "(. 0s t&e ,imitations on co,,ection

and processin' app,y primari,y to (S persons as re=#ired $y t&e (S Constit#tion it appears t&at

%#dicia, oversi'&t is ,imited as far as t&e co,,ection and f#rt&er processin' of t&e persona, data of

non)(S persons are concerned.

(nder Section 752 t&e >SC does not approve 'overnment)iss#ed directives addressed to

companies to assist t&e 'overnment in data co,,ection $#t t&e companies can nevert&e,ess $rin' a

c&a,,en'e to a directive in t&e >SC. 0 decision of t&e >SC to modify set aside or enforce a

directive can $e appea,ed $efore t&e >S0 Co#rt of !evie-. Companies may contest directives on

'ro#nds of proced#re or practica, effects e.'. disproportionate $#rden or depart#re from previo#s

orders. t is not possi$,e for a company to mo#nt a c&a,,en'e on t&e s#$stance as t&e reasonin' of

t&e re=#est is not provided.

>SC proceedin's are non)adversaria, and t&ere is no representation $efore t&e Co#rt of t&e interests

of t&e data s#$%ect d#rin' t&e consideration of an app,ication for an order. n addition t&e (S

S#preme Co#rt &as esta$,is&ed t&at individ#a,s or or'anisations do not &ave standin' to $rin' a

,a-s#it #nder Section 752 $eca#se t&ey cannot +no- -&et&er t&ey &ave $een s#$%ect to

s#rvei,,ance or not1. &is reasonin' -o#,d app,y to $ot& (S and "( data s#$%ects. n ,i'&t of t&e

a$ove it appears t&at individ#a,s &ave no aven#es for %#dicia, redress #nder Section 752 of >S0.

1 Clapper # A(nesty International 4#d'ment of 26 >e$r#ary 2513 E68 (. S. 2513



16987/13 GS/np 26

0" DG D 2B E

'8 $U99AR OF 9AI FI%I$

1 (nder (S ,a- a n#m$er of ,e'a, $ases a,,o- ,ar'e)sca,e co,,ection and processin' for

forei'n inte,,i'ence p#rposes inc,#din' co#nter)terrorism of persona, data t&at &as $een

transferred to t&e (S or is processed $y (S companies. &e (S &as confirmed t&e

eistence and t&e main e,ements of certain aspects of t&ese pro'rammes #nder -&ic& data

co,,ection and processin' is done -it& a $asis in (S ,a- t&at ,ays do-n specific conditions

and safe'#ards. t&er e,ements remain #nc,ear inc,#din' t&e n#m$er of "( citi?ens

affected $y t&ese s#rvei,,ance pro'rammes and t&e 'eo'rap&ica, scope of s#rvei,,ance

pro'rammes #nder Section 752.

2 &ere are differences in t&e safe'#ards app,ica$,e to "( data s#$%ects compared to (S data

s#$%ects name,y:

i. Co,,ection of data pertainin' to (S persons is in princip,e not a#t&orised #nder

Section 752. *&ere it is a#t&orised data of (S persons is considered to $e @forei'n

inte,,i'ence@ on,y if necessary to t&e specified p#rpose. &is necessity re=#irement

does not app,y to data of "( citi?ens -&ic& is considered to $e @forei'n inte,,i'ence@

if it relates to t&e p#rposes p#rs#ed. &is res#,ts in ,o-er t&res&o,d $ein' app,ied for

t&e co,,ection of persona, data of "( citi?ens.

ii. &e tar'etin' and minimisation proced#res approved $y >SC #nder Section 752 are

aimed at red#cin' t&e co,,ection retention and dissemination of persona, data of or

concernin' (S persons. &ese proced#res do not impose specific re=#irements or

restrictions -it& re'ard to t&e co,,ection processin' or retention of persona, data of

individ#a,s in t&e "( even -&en t&ey &ave no connection -it& terrorism crime or

any ot&er #n,a-f#, or dan'ero#s activity. versi'&t of t&e s#rvei,,ance pro'rammes

aims primari,y at protectin' (S persons.

iii. (nder $ot& Section 21E and Section 752 (S persons $enefit from constit#tiona,

protections respective,y >irst and >o#rt& 0mendments t&at do not app,y to "(

citi?ens not residin' in t&e (S.



16987/13 GS/np 27

0" DG D 2B E

3 oreover #nder (S s#rvei,,ance pro'rammes different ,eve,s of data protection

safe'#ards app,y to different types of data meta)data vs. content data and different sta'es

of data processin' initia, ac=#isition vs. f#rt&er processin'/ana,ysis.

A

0 ,ac+ of c,arity remains as to t&e #se of ot&er avai,a$,e ,e'a, $ases t&e eistence of ot&ers#rvei,,ance pro'rammes as -e,, as ,imitative conditions app,ica$,e to t&ese pro'rammes.

&is is especia,,y re,evant re'ardin' "ec#tive rder 12333.

E Since t&e orders of t&e >SC are c,assified and companies are re=#ired to maintain secrecy

-it& re'ard to t&e assistance t&ey are re=#ired to provide t&ere are no aven#es %#dicia, or

administrative for eit&er "( or (S data s#$%ects to $e informed of -&et&er t&eir persona,

data is $ein' co,,ected or f#rt&er processed. &ere are no opport#nities for individ#a,s to

o$tain access rectification or eras#re of data or administrative or %#dicia, redress.

6 ;ario#s ,ayers of oversi'&t $y t&e t&ree $ranc&es of Government app,y to activities on t&e

$ase of Section 21E and Section 752. &ere is %#dicia, oversi'&t for activities t&at imp,y a

capacity to compe, information inc,#din' >SC orders for t&e co,,ection #nder Section 21E

and ann#a, certifications t&at provide t&e $asis for co,,ection #nder Section 752. &ere is

no %#dicia, approva, of individ#a, se,ectors to =#ery t&e data co,,ected #nder Section 21E or

tas+ed for co,,ection #nder Section 752. &e >SC operates e- parte and in ca(era. ts

orders and opinions are c,assified #n,ess t&ey are dec,assified. &ere is no %#dicia,

oversi'&t of t&e co,,ection of forei'n inte,,i'ence o#tside t&e (S #nder "ec#tive rder

12333 -&ic& are cond#cted #nder t&e so,e competence of t&e "ec#tive Branc&.

0nnees: Jetters of ;ice)President ;iviane !edin' Commissioner for 4#stice >#ndamenta, !i'&ts

and Citi?ens&ip and Commissioner Ceci,ia a,mstr<m Commissioner for ome 0ffairs to (S

co#nterparts



16987/13 GS/np 28

0" DG D 2B E



16987/13 GS/np 29

0" DG D 2B E



16987/13 GS/np 35

0" DG D 2B E



16987/13 GS/np 31

0" DG D 2B E

report on findings by eu-us expert group re: nsa surveillance

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