TESTIMONY OF PROFESSOR PETER SWIRE TABLE OF CONTENTS CHAPTER 1: SUMMARY OF TESTIMONY Introduction ..................................................................................................................................1-1 Part 1: Biographical Summary for Peter Swire............................................................................1-4 Part 2: Systemic Safeguards in US Law and Practice..................................................................1-5 I. Systemic Safeguards in Foreign Intelligence ..................................................................1-6 A. The US as a Constitutional Democracy under the Rule of Law ...................................1-6 B. Statutory Safeguards over Foreign Intelligence Surveillance .......................................1-7 1. The Foreign Intelligence Surveillance Court ..........................................................1-8 2. Collection of Metadata under Section 215..............................................................1-9 3. Collection of Communications under Section 702 .................................................1-10 C. Oversight of Surveillance Activities .............................................................................1-11 D. Transparency Safeguards ..............................................................................................1-12 E. Executive Safeguards ....................................................................................................1-14 II. Systemic Safeguards in Law Enforcement .....................................................................1-15 III. Conclusion on Systemic Safeguards ................................................................................1-16 Part 3: Individual Remedies in US Privacy Law ........................................................................1-17 I. Individual Remedies Against the United States Government.......................................1-18 A. US Civil Judicial Remedies ..........................................................................................1-18 B. US Criminal Judicial Remedies ....................................................................................1-22 II. Non-Judicial Individual Remedies in the US against the US Government .................1-23 III. Additional US Privacy Remedies under Federal Law ...................................................1-24 IV. Enforcement under US State Law and Private Rights of Action .................................1-25 V. US Privacy Remedies Concerns in the Irish Data Protection Commissioner’s Affidavit .............................................................................................................................1-25 VI. Conclusions on Individual Remedies, with a Caveat .....................................................1-27 Part 4: The Potential Breadth of the Decision and Assessing the Adequacy of Protections for Transfers to the US ......................................................................................................................1-29 I. The Broad US Definition of “Service Providers” Affected by a Ruling ......................1-29 II. The US Has Stronger Systemic Safeguards than the BRIC Countries ........................1-30 III. An Inadequacy Finding for SCCs May Have Implications for Other Lawful Bases for Data Transfers ...................................................................................................................1-33 IV. Economic Well-Being of the Country .............................................................................1-35 A. European Union statements about the Importance of the Transatlantic Economic Relationship. .................................................................................................................1-35 B. Trade Agreements Including the General Agreement on Trade in Services ................1-36 i V. National Security ...............................................................................................................1-37 Part 5: Concluding Discussion ....................................................................................................1-39 CHAPTER 2: BIOGRAPHICAL CHAPTER OF PETER SWIRE I. Expertise in EU Data Protection Law .............................................................................2-2 II. Expertise in US Surveillance Law ...................................................................................2-5 Annex to Chapter 2: Reforms Recommended in my 2004 Article titled “The System of Foreign Intelligence Surveillance Law” and Corresponding US Reforms ............................2-9 I. Ending the Bulk Collection Power under Section 215 to Obtain Records Other Than Tangible Items ..............................................................................................................2-9 II. The Inclusion of a More Adversarial System in the FISC ............................................2-10 III. The Addition of Adversary Counsel in FISCR Appeals ...............................................2-11 IV. Greater Use of Inspector General Oversight after the Fact...........................................2-11 V. Reduced Use of the “Gag Rule” ...................................................................................2-12 VI. Improved Record-Keeping on the Use of National Security Letters ............................2-14 VII. Notification to Data Subjects after the FISA Surveillance Had Concluded .................2-14 VIII. Disclosure of Legal Theories Accepted by the FISC....................................................2-15 IX. Formalization of Minimization Procedures Used by the FISC .....................................2-15 X. Ensuring Surveillance under FISA is Focused on Foreign Intelligence Purposes........2-16 ii CHAPTER 3: SYSTEMIC SAFEGUARDS IN THE US SYSTEM OF FOREIGN INTELLIGENCE SURVEILLANCE LAW I. The United States as a Constitutional Democracy under the Rule of Law .................3-2 A. A Time-Tested System of Checks and Balances ..........................................................3-3 B. Judicial Independence ...................................................................................................3-3 C. Constitutional Protections of Individual Rights ............................................................3-4 D. Democratic Accountability ...........................................................................................3-6 II. Historical Context for Systemic Safeguards against Excessive Foreign Intelligence Surveillance .......................................................................................................................3-6 A. The 1960s and 1970s ....................................................................................................3-6 B. Surveillance after the Attacks of September 11, 2001 ..................................................3-9 C. The Reforms after the Snowden Disclosures ................................................................3-10 III. Statutory Safeguards for Foreign Intelligence Surveillance .........................................3-12 A. The Foreign Intelligence Surveillance Court and Traditional FISA Orders .................3-12 1. The Structure of the FISC under FISA ....................................................................3-12 2. Summary of the Case Study on How the FISC Has Applied the Safeguards ..........3-15 B. Collection of Documents and Other Tangible Things under Section 215 ....................3-16 C. Collection of Electronic Communications under Section 702 ......................................3-18 1. The Legal Structure of Section 702 ........................................................................3-18 2. Popular Misunderstandings of the PRISM Program ...............................................3-21 3. The Upstream Program ...........................................................................................3-24 D. Conclusion on Section 702 ...........................................................................................3-25 IV. Oversight Mechanisms .....................................................................................................3-26 A. Executive Agency Inspectors General ..........................................................................3-26 B. Legislative Oversight ....................................................................................................3-28 C. Independent Review: Review Group and PCLOB .......................................................3-29 D. The Federal Privacy Council and Privacy and Civil Liberties Offices in the Agencies ..................................................................................................................3-33 V. Transparency Mechanisms ..............................................................................................3-34 A. Greater Transparency by the Executive Branch about Surveillance Activities ............3-34 B. USA FREEDOM Act Provisions Mandating Public Law about Major FISC Decisions .............................................................................................................3-35 C. The FISC and Numerous Opinions Declassified at IC on the Record ..........................3-36 D. Transparency Reports by the US Government .............................................................3-36 E. Transparency Reports by Companies ............................................................................3-37 VI. Executive Branch Safeguards