CPTPP跨境数据流动例外条款研究

【作者】 陈兰；

【导师】 孙志煜；

【作者基本信息】 贵州大学 ， 法学， 2023， 硕士

【摘要】 数据时代下,跨境数据流动对贸易发展具有重要推动作用,但也不乏跨境数据流动阻碍贸易发展的情形。由此,如何在有效维护跨境数据流动且弱化数据主权纠纷的同时,分享跨境数据流动的红利,进而促进数字经济的发展,已然成为跨境数据流动治理领域的关键问题。鉴于例外条款带有“协调”功能且《全面与进步跨太平洋伙伴关系协定》(Comprehensive and Progressive Agreement for Trans-Pacific Partnership,简称CPTPP)是第一个在“电子商务”章节规定有约束力的跨境数据流动例外条款的自由贸易协定,本文特将“CPTPP跨境数据流动例外条款”作为研究对象。文章在对CPTPP跨境数据流动例外条款进行有关概念、发展过程和法律功能进行概述的基础上,又对其进行了规范分析和比较分析,继而发现中国的跨境数据流动例外条款的现有问题并提出完善路径。具言之,第一章界定了“跨境数据流动例外条款”的概念、回溯CPTPP跨境数据流动例外条款的演进过程并对其协调功能予以阐释;第二章剖析了CPTPP跨境数据流动例外条款的核心条款,包括“一般例外(第29.1条第三款、第四款)”“安全例外(第29.2条)”和“通过电子方式跨境传输信息(第14.11条第三款,又称‘特定例外’)”,之后将CPTPP跨境数据流动例外条款与“基础条款”和“其他例外条款”进行比较分析,明确CPTPP跨境数据流动例外条款既不是CPTPP例外条款,也不是CPTPP条款;第三章将CPTPP跨境数据流动例外条款的三种类型(即一般例外条款、安全例外条款和特定例外条款)分别与《美墨加协定》(The United States-Mexico-Canada Agreement,简称USMCA)、《区域全面经济伙伴关系协定》(Regional Comprehensive Economic Partnership,简称RCEP)和《通用数据保护条例》(General Data Protection Regulation,简称GDPR)中与之对应的条款进行比较分析,得出CPTPP确立的跨境数据流动例外规则已经渗透到USMCA、RCEP和GDPR,中国数字规则的发展绕不开CPTPP的结论。第四章先从总体框架和具体内容两方面梳理了我国跨境数据流动的现状,继之将CPTPP跨境数据流动例外条款与中国的例外条款进行比较分析后,发现我国跨境数据流动例外条款存在“公共政策例外”缺失、规则适用条件模糊和条款形式差距过大的问题,最终得出我国跨境数据流动例外条款的完善路径为增加“公共政策例外”条款、出台实施细则和防止规则阵营化。更多还原

【Abstract】 In the era of data,cross-border data flow plays an important role in promoting trade development,but there are also cases where cross-border data flow hinders trade development.Therefore,how to effectively maintain cross-border data flow and weaken data sovereignty disputes,while sharing the dividends of cross-border data flow,so as to promote the development of data economy,has become a key issue in the field of cross-border data flow governance.Whereas exceptions have a “harmonization” function and the Comprehensive and Progressive Trans-Pacific Partnership Agreement(CPTPP)is the first free trade agreement that provides binding exceptions for cross-border data flow in the section of“Electronic Commerce”.This paper takes “CPTPP cross-border data flow Exception clause”as the research object.Based on an overview of the concept,development process and legal functions of the exception clause of CPTPP cross-border data flow,this paper conducts normative analysis and comparative analysis of the exception clause,and then finds out the existing problems of China’s cross-border data flow exception clause and puts forward ways to improve it.Specifically,the first chapter defines the “cross-border data flow exception clause”,retrospects the evolution process of the CPTPP cross-border data flow exception clause and explains its functions.Chapter 2 analyzes the core provisions of the CPTPP cross-border data flow exception clause,including “general exceptions(Article 29.1,Paragraph 3,Paragraph 4)”“security exceptions(Article 29.2)” and “cross-border transfer of information by electronic means(Article 14.11,paragraph 3,also known as ‘specific exception’)”.After that,the CPTPP cross-border data flow exception clause is compared with “basic clause” and “other exception clause”,and it is clear that the CPTPP cross-border data flow exception clause is neither CPTPP exception clause nor CPTPP exception clause.The third chapter compares and analyzes the three types of CPTPP cross-border data flow exception clauses(general exception clauses,security exception clauses and specific exception clauses)with the corresponding clauses of USMCA,RCEP and GDPR,so as to concluded that the cross-border data flow exception rule established by the CPTPP has penetrated into the USMCA,RCEP and GDPR.The development of China’s digital rules cannot bypass the CPTPP.Chapter four firstly combs the current situation of cross-border data flow in China from the overall framework and specific content,and then compares and analyzes the exception clause of CPTPP cross-border data flow with that of China,and finds that there are some problems in the exception clause of cross-border data flow in China,such as the large gap in the form of the clause,the vague application conditions of the rules and the absence of “public policy exception”.Finally,it is concluded that the improvement path of the exception clause of cross-border data flow is to add the “public policy exception” clause,issue the implementation rules and prevent the rule camp.更多还原