美国电信行业涉及外国参与的安全审查（二）：国际性的第214节授权
编者按：
“个人数据与域外国家安全审查初探”系列文章的核心要旨：一是跟踪、分析域外国家安全相关的法律制度对数据安全，特别是个人数据，流变的立场；二是服务我国企业走出去；三是给国内相关监管制度设计提供借鉴。此前该系列中已经发表的公号文章：
结合上述系列文章中关于电信行的立法，以及近期美国总统特朗普签署行政令成立“美国电信服务行业外国参与评估委员会”，美国司法部建议美国联邦通信委员会取消中国电信已获得的214牌照等行动，公号君开始撰写新的系列文章：
今天是第二篇，介绍美国《通信法》设立的第214节授权中的国际授权。
第214节授权（Section 214 authorization）
在上一篇文章中，我们看到根据美国《通信法》第214节规定，除非获得美国联邦通信委员会（FCC）许可，任何运营商不得建设任何新的通信线路或延伸任何现有线路，不得收购或运营任何通信线路或其延伸线路，不得利用现有线路或其延伸线路从事通信传送服务。
美国通信法第214节所称的“通信线路（line）是指利用适当的设备建立的任何通信通道（channel）；将现有的两个或多个通道连接而建立的通信通道不纳入该节文所指的通信线路范畴。
由于新建“通信线路”需要FCC的事先授权，因此，新建从美国到外国的通信线路，也同样需要FCC的事先授权，因此就有了所谓的“国际第214节授权”（international Section 214 authorization）。
“国际性的第214节授权”（international Section 214 authorization）的主要种类
根据美国联邦条例法典（CFR）第47篇“电信行业条例”§63.18的规定，根据美国《通信法》第214节，寻求在美国与美国之外的任何地方（a foreign point）之间建立新的通信线路、收购或运营任何通信线路、利用现有线路或其延伸线路从事通信传送，用以提供公共运营商通信服务（common carrier communications services）的任何一方，都应向FCC正式申请许可。
§63.18 Contents of applications for international common carriers.
Except as otherwise provided in this part, any party seeking authority pursuant to Section 214 of the Communications Act of 1934, as amended, to construct a new line, or acquire or operate any line, or engage in transmission over or by means of such additional line for the provision of common carrier communications services between the United States, its territories or possessions, and a foreign point shall request such authority by formal application.
换句话说，两个条件满足就需要申请“国际第214节授权”：1）新建、收购、运营跨国通信线路；2）该通信线路用于提供公共运营商通信服务。按照《通信法》定义，公共运营商是指：指从事州际或外国的有限或无线通信，或从事州际或外国的无线电波发射，且对外接受租借的任何实体或个人；但从事无线电广播的人，只要其从事的是无线电广播，不应视为共同承运人。
(10) COMMON CARRIER.--The term ''common carrier'' or ''carrier'' means any person engaged as a common carrier for hire, in interstate or foreign communication by wire or radio or in interstate or foreign radio transmission of energy, except where reference is made to common carriers not subject to this Act; but a person engaged in radio broadcasting shall not, insofar as such person is so engaged, be deemed a common carrier.
还是根据CFR第47篇§63.18的规定，申请人在申请“国际第214节授权”时，要选择具体的申请事项，主要是以下三大类：1）全球性的基于设施的权力（Global facilities-based authority）；2）全球性的转售权力（Global Resale Authority）；3）其他（根据FCC的相关问答，其他具体包括以下四种：“Individual Facilities-Based Service,” “Individual Resale Service,” “Individual Facilities-Based and Resale Service,” or “Other.”）。
(e) One or more of the following statements, as pertinent:
(1) Global facilities-based authority. If applying for authority to become a facilities-based international common carrier subject to §63.22 of this part, the applicant shall......
(2) Global Resale Authority. If applying for authority to resell the international services of authorized common carriers subject to §63.23, the applicant shall......
(3) Other authorizations. If applying for authority to acquire facilities or to provide services not covered by paragraphs (e)(1) and (e)(2) of this section, the applicant shall provide a description of the facilities and services for which it seeks authorization......
先来看看“全球性的基于设施的权力”（Global facilities-based authority）。根据CFR第47篇§63.09节的定义，基于设施的运营商是指“对国际通信基础设施美国端的容量（bare capacity）拥有所有权、不可废弃的使用权（IRU）或租赁权益的运营商，不管该国际通信基础设施是公共运营商或非公共运营商的海缆或卫星系统”。从该定义看，拥有这项权力就意味着运营商可以“登陆”美国。
Facilities-based carrier means a carrier that holds an ownership, indefeasible-right-of-user, or leasehold interest in bare capacity in the U.S. end of an international facility, regardless of whether the underlying facility is a common carrier or non-common carrier submarine cable or a satellite system.
从CFR第47篇§63.22节来看，获得“全球性的基于设施的权力”的运营商，能将国际电路从美国侧连接到美国境外的目标市场，使用美国公共运营商或非公共运营商的设施提供服务，提供国际交换、私有专线、数据、电视、商业服务等。
§63.22 Facilities-based international common carriers.
The following conditions apply to authorized facilities-based international carriers:
(a)
A carrier authorized under §63.18(e)(1) may provide international
facilities-based services to international points for which it qualifies
for non-dominant regulation as set forth in §63.10, except in the
following circumstance: If the carrier is, or is affiliated with, a
foreign carrier in a destination market and the Commission has not
determined that the foreign carrier lacks market power in the
destination market (see §63.10(a)), the carrier shall not provide
service on that route unless it has received specific authority to do so
under §63.18(e)(3).
(b) The carrier may provide service using
half-circuits on any U.S. common carrier and non-common carrier
facilities that do not appear on an exclusion list published by the
Commission. Carriers may also use any necessary non-U.S.-licensed
facilities, including any submarine cable systems, that do not appear on
the exclusion list. Carriers may not use U.S. earth stations to access
non-U.S.-licensed satellite systems unless the Commission has
specifically approved the use of those satellites and so indicates on
the exclusion list. The exclusion list is available from the
International Bureau's World Wide Web site at http://www.fcc.gov/ib.
(c)
Specific authority under §63.18(e)(3) is required for the carrier to
provide service using any facilities listed on the exclusion list, to
provide service between the United States and any country on the
exclusion list, or to construct, acquire, or operate lines in any new
major common carrier facility project.
(d) The carrier may provide international basic switched, private line, data, television and business services.
......
从CFR第47篇§63.23节来看，全球性的转售权力（Global Resale Authority）即是将自身或其他获得“全球性的基于设施的权力”的运营商的国际通信服务进行销售、专卖的权力。
§63.23 Resale-based international common carriers.
The following conditions apply to carriers authorized to resell the international services of other authorized carriers:
(a)
A carrier authorized under §63.18(e)(2) may provide resold
international services to international points for which the applicant
qualifies for non-dominant regulation as set forth in §63.10, except
that the carrier may not provide either of the following services unless
it has received specific authority to do so under §63.18(e)(3):
(1) Resold switched services to a non-WTO Member country where the applicant is, or is affiliated with, a foreign carrier; and
(2)
Switched or private line services over resold private lines to a
destination market where the applicant is, or is affiliated with, a
foreign carrier and the Commission has not determined that the foreign
carrier lacks market power in the destination market (see §63.10(a)).
(b)
The carrier may not resell the international services of an affiliated
carrier regulated as dominant on the route to be served unless it has
received specific authority to do so under §63.18(e)(3).
(c)
Subject to the limitations specified in paragraph (b) of this section
and in §63.17(b), the carrier may provide service by reselling the
international services of any other authorized U.S. common carrier or
foreign carrier, or by entering into a roaming or other arrangement with
a foreign carrier, for the provision of international basic switched,
private line, data, television and business services to all
international points.
(d) The carrier may provide
switched basic services over its authorized resold private lines in
either of the following two circumstances:
(2) The carrier is exchanging switched traffic with a foreign carrier that lacks market power in the country at the foreign end of the private line. A foreign carrier lacks market power for purposes of this section if it does not appear on the Commission's list of foreign carriers that do not qualify for the presumption that they lack market power in particular foreign points.
“国际性的第214节授权”（international Section 214 authorization）申请中的外资因素
简化流程（Streamlined）： 通常，FCC在受理按简化流程提交的214授权申请后30天内向申请者颁发许可。申请者的外资股权（ownership）占比不超过10% 才能适用于简化流程。
常规流程（Non-Streamlined）：不符合简化流程条件的所有申请者都将按常规流程进行审批。这种情况下，申请者需要接受FCC以及Team Telecom（美国电信小组）的严格审查。
在此，再一次引述前一篇文章中的部分内容：
最后，来看看中国电信和中国联通已经申请获得的“国际性的第214节授权”。
中国电信
中国联通
从上图可见，中国电信和联通均申请的是全球性的基于设施的权力（Global facilities-based authority），以及全球性的转售权力（Global Resale Authority）。
预告：下一篇文章关注特朗普签署的成立“美国电信服务行业外国参与评估委员会”的行政令，以及其对“电信小组”的改革。（完）
数据保护官（DPO）社群主要成员是个人信息保护和数据安全一线工作者。他们主要来自于国内头部的互联网公司、安全公司、律所、会计师事务所、高校、研究机构等。在从事本职工作的同时，DPO社群成员还放眼全球思考数据安全和隐私保护的最新动态、进展、趋势。2018年5月，DPO社群举行了第一次线下沙龙。沙龙每月一期，集中讨论不同的议题。目前DPO社群已近300人。关于DPO社群和沙龙更多的情况如下：
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