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美国出口管制制度系列文章之一:对“外国生产的产品”的相关规则

洪延青 网安寻路人 2022-03-20

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:



另外一个系列“美国电信行业涉及外国参与的安全审查”,分析的是美国对我国在电信行业的“清算”:



本公号也曾就中国的网络安全审查撰写过系列宣介文章:



本系列文章将就美国的出口管制制度开展研究。第一篇文章关注美国新近修改的与“外国生产的产品”相关的规则”(the foreign produced items)。


美国商务部5月15日在公告(全文翻译后附)中对其《出口管理条例》做出修订。在修订说明中,美商务部给出了如下背景介绍:

接下来,公号君将根据商务部的这段话按图索骥,把主要法条罗列出来。




第一:“受《出口管理条例》管辖”

§ 734.2   Subject to the EAR.

(a) Subject to the EAR - Definition.


(1) “Subject to the EAR” is a term used in the EAR to describe those items and activities over which BIS exercises regulatory jurisdiction under the EAR. Conversely, items and activities that are not subject to the EAR are outside the regulatory jurisdiction of the EAR and are not affected by these regulations. The items and activities subject to the EAR are described in §§ 734.2 through 734.5 of this part. You should review the Commerce Control List (CCL) and any applicable parts of the EAR to determine whether an item or activity is subject to the EAR. However, if you need help in determining whether an item or activity is subject to the EAR, see § 734.6 of this part. Publicly available technology and software not subject to the EAR are described in §§ 734.7 through 734.11 and supplement no. 1 to this part.


(2) Items and activities subject to the EAR may also be controlled under export-related programs administered by other agencies. Items and activities subject to the EAR are not necessarily exempted from the control programs of other agencies. Although BIS and other agencies that maintain controls for national security and foreign policy reasons try to minimize overlapping jurisdiction, you should be aware that in some instances you may have to comply with more than one regulatory program.


(3) The term “subject to the EAR” should not be confused with licensing or other requirements imposed in other parts of the EAR. Just because an item or activity is subject to the EAR does not mean that a license or other requirement automatically applies. A license or other requirement applies only in those cases where other parts of the EAR impose a licensing or other requirement on such items or activities.





第二:“最低含量规则” (De minimis rule)

§ 734.4   De minimis U.S. content.


(a) Items for which there is no de minimis level.


(1) There is no de minimis level for the export from a foreign country of a foreign-made computer with an Adjusted Peak Performance (APP) exceeding that listed in ECCN 4A003.b and containing U.S.-origin controlled semiconductors (other than memory circuits) classified under ECCN 3A001 to Computer Tier 3 destinations; or exceeding an APP listed in ECCN 4A994.b and containing U.S.-origin controlled semiconductors (other than memory circuits) classified under ECCN 3A001 or high speed interconnect devices (ECCN 4A994.j) to Cuba, Iran, North Korea, Sudan, and Syria.

(2) Foreign produced encryption technology that incorporates U.S. origin encryption technology controlled by ECCN 5E002 is subject to the EAR regardless of the amount of U.S. origin content.

(3) [Reserved]

(4) There is no de minimis level for U.S.-origin technology controlled by ECCN 9E003.a.1 through a.8,.h, .i., and .j., when redrawn, used, consulted, or otherwise commingled abroad.

(5) There is no de minimis level for foreign-made “military commodities” incorporating one or more of the commodities described in ECCN 0A919.a.1 when destined for a country listed in Country Group D:5 of supplement no. 1 to part 740 of the EAR.

(6) 9x515 and “600 series.”

(i) There is no de minimis level for foreign-made items that incorporate U.S.-origin 9x515 or “600 series” items enumerated or otherwise described in paragraphs .a through .x of a 9x515 or “600 series” ECCN when destined for a country listed in Country Group D:5 of supplement no. 1 to part 740 of the EAR.(ii) There is no de minimis level for foreign-made items that incorporate U.S.-origin 9x515 or “600 series” .y items when destined for a country listed in Country Group E:1 or E:2 of supplement no. 1 to part 740 of the EAR or for the People's Republic of China (PRC).

(7) Under certain rules issued by the Office of Foreign Assets Control, certain exports from abroad by U.S.-owned or controlled entities may be prohibited notwithstanding the de minimis provisions of the EAR. In addition, the de minimis rules do not relieve U.S. persons of the obligation to refrain from supporting the proliferation of weapons of mass-destruction and missiles as provided in § 744.6 of the EAR.


(b) Special requirements for certain encryption items. Non-U.S.-made items that incorporate U.S.-origin items that are listed in this paragraph are subject to the EAR unless they meet the de minimis level and destination requirements of paragraph (c) or (d) of this section and the requirements of this paragraph.


(1) The U.S.-origin commodities or software, if controlled under ECCN 5A002, ECCN 5B002, equivalent or related software therefor classified under ECCN 5D002, and “cryptanalytic items” classified under ECCN 5A004 or 5D002, must have been:

(i) Publicly available encryption source code classified under ECCN 5D002 that has met the notification requirement of § 742.15(b), see § 734.3(b)(3) of the EAR. Such source code does not have to be counted as controlled U.S.-origin content in a de minimis calculation;(ii) Authorized for License Exception ENC by BIS after classification pursuant to § 740.17(b)(3) of the EAR;(iii) Authorized for License Exception ENC by BIS after classification pursuant to § 740.17(b)(2) of the EAR, and the non-U.S.-made product will not be sent to any destination in Country Groups E:1 and E:2 in Supplement No. 1 to part 740 of the EAR; or(iv) Authorized for License Exception ENC pursuant to § 740.17(b)(1) of the EAR.

(2) U.S.-origin encryption items classified under ECCNs 5A992.c, 5D992.c, or 5E992.b.


Note to paragraph (b):

See Supplement No. 2 to this part for de minimis calculation procedures and reporting requirements.


(c) 10% De Minimis Rule. Except as provided in paragraphs (a) and (b)(1)(iii) of this section and subject to the provisions of paragraphs (b)(1)(i), (b)(1)(ii) and (b)(2) of this section, the following reexports are not subject to the EAR when made to any country in the world. See supplement no. 2 of this part for guidance on calculating values.


(1) Reexports of a foreign-made commodity incorporating controlled U.S.-origin commodities or “bundled” with U.S.-origin software valued at 10% or less of the total value of the foreign-made commodity;


Notes to paragraph (c)(1):

(1) U.S.-origin software is not eligible for the de minimis exclusion and is subject to the EAR when exported or reexported separately from (i.e., not bundled or incorporated with) the foreign-made item.

(2) For the purposes of this section, ‘bundled’ means software that is reexported together with the item and is configured for the item, but is not necessarily physically integrated into the item.

(3) The de minimis exclusion under paragraph (c)(1) only applies to software that is listed on the Commerce Control List (CCL) and has a reason for control of anti-terrorism (AT) only or software that is designated as EAR99 (subject to the EAR, but not listed on the CCL). For all other software, an independent assessment of whether the software by itself is subject to the EAR must be performed.


(2) Reexports of foreign-made software incorporating controlled U.S.-origin software valued at 10% or less of the total value of the foreign-made software; or


(3) Reexports of foreign technology commingled with or drawn from controlled U.S.-origin technology valued at 10% or less of the total value of the foreign technology. Before you may rely upon the de minimis exclusion for foreign-made technology commingled with controlled U.S.-origin technology, you must file a one-time report. See supplement no. 2 to part 734 for submission requirements.


(d) 25% De Minimis Rule. Except as provided in paragraph (a) of this section and subject to the provisions of paragraph (b) of this section, the following reexports are not subject to the EAR when made to countries other than those listed in Country Group E:1 or E:2 of supplement no. 1 to part 740 of the EAR. See supplement no. 2 to this part for guidance on calculating values.


(1) Reexports of a foreign-made commodity incorporating controlled U.S.-origin commodities or “bundled” with U.S.-origin software valued at 25% or less of the total value of the foreign-made commodity;


Notes to paragraph (d)(1):

(1) U.S.-origin software is not eligible for the de minimis exclusion and is subject to the EAR when exported or reexported separately from (i.e., not bundled or incorporated with) the foreign-made item.

(2) For the purposes of this section, “bundled” means software that is reexported together with the item and is configured for the item, but is not necessarily physically integrated into the item.

(3) The de minimis exclusion under paragraph (d)(1) only applies to software that is listed on the Commerce Control List (CCL) and has a reason for control of anti-terrorism (AT) only or software that is classified as EAR99 (subject to the EAR, but not listed on the CCL). For all other software, an independent assessment of whether the software by itself is subject to the EAR must be performed.


(2) Reexports of foreign-made software incorporating controlled U.S.-origin software valued at 25% or less of the total value of the foreign-made software; or


(3) Reexports of foreign technology commingled with or drawn from controlled U.S.-origin technology valued at 25% or less of the total value of the foreign technology. Before you may rely upon the de minimis exclusion for foreign-made technology commingled with controlled U.S.-origin technology, you must file a one-time report. See supplement no. 2 to part 734 for submission requirements.


(e) You are responsible for making the necessary calculations to determine whether the de minimis provisions apply to your situation. See supplement no. 2 to part 734 for guidance regarding calculation of U.S. controlled content.


(f) See § 770.3 of the EAR for principles that apply to commingled U.S.-origin technology and software.


(g) Recordkeeping requirement. The method by which you determined the percentage of U.S. content in foreign software or technology must be documented and retained in your records in accordance with the recordkeeping requirements in part 762 of the EAR. Your records should indicate whether the values you used in your calculations are actual arms-length market prices or prices derived from comparable transactions or costs of production, overhead, and profit.




第三:一般性禁止和适用性考量(General prohibitions and determination of applicability

§ 736.2   General prohibitions and determination of applicability.


(a) Information or facts that determine the applicability of the general prohibitions. The following five types of facts determine your obligations under the ten general prohibitions and the EAR generally:


(1) Classification of the item. The classification of the item on the Commerce Control List (see part 774 of the EAR);

(2) Destination. The country of ultimate destination for an export or reexport (see parts 738 and 774 of the EAR concerning the Country Chart and the Commerce Control List);

(3) End-user. The ultimate end user (see General Prohibition Four (paragraph (b)(4) of this section) and supplement no. 1 to part 764 of the EAR for references to persons with whom your transaction may not be permitted; see General Prohibition Five (Paragraph (b)(5) of this section) and part 744 for references to  end-users for whom you may need an export or reexport license).

(4) End-use. The ultimate end-use (see General Prohibition Five (paragraph (b)(5) of this section) and part 744 of the EAR for general  end-use restrictions); and

(5) Conduct. Conduct such as contracting, financing, and freight forwarding in support of a proliferation project as described in part 744 of the EAR.


(b) General prohibitions. The following ten general prohibitions describe certain exports, reexports, and other  conduct, subject to the scope of the EAR, in which you may not engage unless you either have a license from the Bureau of Industry and Security (BIS) or qualify under part 740 of the EAR for a License Exception from each applicable general prohibition in this paragraph. The License Exceptions at part 740 of the EAR apply only to  General Prohibitions One (Exports and Reexports in the Form Received), Two (Parts and Components Reexports), and Three (Foreign-Produced Direct Product Reexports); however, selected  License Exceptions are specifically referenced and authorized in part 746 of the EAR concerning embargo  destinations and in § 744.2(c) of the EAR regarding nuclear end-uses.


(1) General Prohibition One - Export and reexport of controlled items to listed countries (Exports and Reexports). You may not, without a license or License Exception, export any item subject to the EAR to another country or reexport any item of U.S.-origin if each of the following is true:


(i) The item is controlled for a reason indicated in the applicable Export Control Classification Number (ECCN), and(ii) Export to the country of destination requires a license for the control reason as indicated on the Country Chart at part 738 of the EAR. (The scope of this prohibition is determined by the correct classification of your item and the ultimate  destination as that combination is reflected on the Country Chart.) 1 Note that each License Exception described at part 740 of the EAR supersedes General Prohibition One if all terms and conditions of a given License Exception are met by the exporter or reexporter.1 See part 738 of the EAR for selected controls that are not specified on the Country Chart.


(2) General Prohibition Two - Reexport and export from abroad of foreign-made items incorporating more than a de minimis amount of controlled U.S. content (U.S. Content Reexports).


(i) You may not, without a license or license exception, reexport or export from abroad foreign-made commodities that incorporate controlled U.S.-origin commodities, foreign-made commodities that are “bundled” with controlled U.S.-origin software, foreign-made software that is commingled with controlled U.S.-origin software, or foreign-made technology that is commingled with controlled U.S.-origin technology if such items require a license according to any of the provisions in the EAR and incorporate or are commingled with more than a de minimis amount of controlled U.S. content, as defined in § 734.4 of the EAR concerning the scope of the EAR.

(A) It incorporates more than the de minimis amount of controlled U.S. content, as defined in § 734.4 of the EAR concerning the scope of the EAR;

(B) It is controlled for a reason indicated in the applicable ECCN; and

(C) Its export to the country of destination requires a license for that control reason as indicated on the Country Chart. (The scope of this prohibition is determined by the correct classification of your foreign-made item and the ultimate  destination, as that combination is reflected on the Country Chart.)

(ii) Each License Exception described in part 740 of the EAR supersedes General Prohibition Two if all terms and conditions of a given License Exception are met by the exporter or reexporter.


(3) General Prohibition Three - Reexport and export from abroad of the foreign-produced direct product of U.S. technology and software (Foreign-Produced Direct Product Reexports) -


(i) Country scope of prohibition. You may not, without a license or license exception, reexport any item subject to the scope of this General Prohibition Three to a destination in Country Group D:1, E:1, or E:2 (See supplement no.1 to part 740 of the EAR). Additionally, you may not, without a license or license exception, reexport or export from abroad any ECCN 0A919 commodities subject to the scope of this General Prohibition Three to a  destination in Country Group D:1, D:3, D:4, D:5, E:1, or E:2.(ii) Product scope of foreign-made items subject to prohibition. This General Prohibition 3 applies if an item meets either the Conditions defining the direct product of technology or the Conditions defining the direct product of a plant in paragraph (b)(3)(ii)(A) of this section:(A) Conditions defining direct product of technology. Foreign-made items are subject to this General Prohibition 3 if they meet both of the following conditions:(1) They are the direct product of technology or software that requires a written assurance as a supporting document for a license, as defined in paragraph (o)(3)(i) of supplement no. 2 to part 748 of the EAR, or as a precondition for the use of License Exception TSR at § 740.6 of the EAR, and(2) They are subject to national security controls as designated on the applicable ECCN of the Commerce Control List at part 774 of the EAR.(B) Conditions defining direct product of a plant. Foreign-made items are also subject to this General Prohibition 3 if they are the direct product of a complete plant or any major component of a plant if both of the following conditions are met:(1) Such plant or component is the direct product of technology that requires a written assurance as a supporting document for a license or as a precondition for the use of License Exception TSR in § 740.6 of the EAR, and(2) Such foreign-made direct products of the plant or component are subject to national security controls as designated on the applicable ECCN of the Commerce Control List at part 774 of the EAR.(iii) Country scope of prohibition for 9x515 or “600 series” items. You may not, except as provided in paragraphs (b)(3)(v) or (vi) of this section, reexport or export from abroad without a license any “600 series” item subject to the scope of this General Prohibition Three to a destination in Country Groups D:1, D:3, D:4, D:5, E:1, or E:2 (see supplement no. 1 to part 740 of the EAR). You may not, except as provided in paragraphs (b)(3)(v) or (vi) of this section, reexport or export from abroad without a license any 9x515 item subject to the scope of this General Prohibition Three to a  destination in Country Groups D:5, E:1, or E:2 (see supplement no. 1 to part 740 of the EAR).(iv) Product scope of 9x515 and “600 series” items subject to this prohibition. This General Prohibition Three applies if a 9x515 or “600 series” item meets either of the following conditions:(A) Conditions defining direct product of “technology” or “software” for 9x515 and “600 series” items. Foreign-made 9x515 and “600 series” items are subject to this General Prohibition Three if the foreign-made items meet both of the following conditions:(1) They are the direct product of “technology” or “software” that is in the 9x515 or “600 series” as designated on the applicable ECCN of the Commerce Control List in supplement no. 1 to part 774 of the EAR; and(2) They are in the 9x515 or “600 series” as designated on the applicable ECCN of the Commerce Control List in part 774 of the EAR.(B) Conditions defining direct product of a plant for 9x515 and “600 series” items. Foreign-made 9x515 and “600 series” items are also subject to this General Prohibition Three if they are the direct product of a complete plant or any major component of a plant if both of the following conditions are met:(1) Such plant or major component is the direct product of 9x515 or “600 series” “technology” as designated on the applicable ECCN of the Commerce Control List in part 774 of the EAR, and(2) Such foreign-made direct products of the plant or major component are in the 9x515 or “600 series” as designated on the applicable ECCN of the Commerce Control List in part 774 of the EAR.(v) 9x515 and “600 series” foreign-produced direct products of U.S. “technology” or “software” subject to this General Prohibition Three do not require a license for reexport or export from abroad to the new destination unless the same item, if exported from the U.S. to the new  destination would have been prohibited or made subject to a license requirement by part 742, 744, 746, or 764 of the EAR.(vi) License Exceptions. Each license exception described in part 740 of the EAR supersedes this General Prohibition Three if all terms and conditions of a given exception are met and the restrictions in § 740.2 do not apply.


(4) General Prohibition Four (Denial Orders) - Engaging in actions prohibited by a denial order.


(i) You may not take any action that is prohibited by a denial order issued under part 766 of the EAR, Administrative Enforcement Proceedings. These orders prohibit many actions in addition to direct exports by the person denied export privileges, including some transfers within a single country, either in the United States or abroad, by other persons. You are responsible for ensuring that any of your transactions in which a person who is denied export privileges is involved do not violate the terms of the order. Orders denying export privileges are published in the Federal Register when they are issued and are the legally controlling documents in accordance with their terms. BIS also maintains compilations of persons denied export privileges on its Web site at http://www.bis.doc.gov. BIS may, on an exceptional basis, authorize activity otherwise prohibited by a denial order. See § 764.3(a)(2) of the EAR.(ii) There are no License Exceptions described in part 740 of the EAR that authorize  conduct prohibited by this General Prohibition Four.

(5) General Prohibition Five - Export or reexport to prohibited end-uses or end-users (End-Use End-User). You may not, without a license, knowingly export or reexport any item subject to the EAR to an end-user or  end-use that is prohibited by part 744 of the EAR.


(6) General Prohibition Six - Export or reexport to embargoed destinations (Embargo).


(i) You may not, without a license or License Exception authorized under part 746, export or reexport any item subject to the EAR to a country that is embargoed by the United States or otherwise made subject to controls as both are described at part 746 of the EAR.(ii)License Exceptions to General Prohibition Six are described in part 746 of the EAR, on Embargoes and Other Special Controls. Unless a License Exception or other authorization is authorized in part 746 of the EAR, the  License Exceptions described in part 740 of the EAR are not available to overcome this general prohibition.

(7) General Prohibition Seven - Support of proliferation activities (U.S. person proliferation activity) -


(i) Support of proliferation activities (U.S. person proliferation activity).(A) If you are a U.S. person as that term is defined in § 744.6(c) of the EAR, you may not engage in any activities prohibited by § 744.6(a) or (b) of the EAR, which prohibits the performance, without a license from BIS, of certain financing, contracting, service, support, transportation, freight forwarding, or employment that you know will assist in certain proliferation activities described further in part 744 of the EAR. There are no  License Exceptions to this General Prohibition Seven in part 740 of the EAR unless specifically authorized in that part.(B) If you are a U.S. person as that term is defined in § 744.6(c) of the EAR, you may not export a Schedule 1 chemical listed in supplement no. 1 to Part 745 without first complying with the provisions of §§ 742.18 and 745.1 of the EAR.(C) If you are a U.S. person as that term is defined in § 744.6(c) of the EAR, you may not export a Schedule 3 chemical listed in supplement no. 1 to part 745 to a  destination not listed in supplement no. 2 to Part 745 without complying with the  End-Use Certificate requirements in § 745.2 of the EAR that apply to Schedule 3 chemicals controlled for CW reasons in ECCN 1C350, ECCN 1C355, or ECCN 1C395.

(8) General Prohibition Eight - In transit shipments and items to be unladen from vessels or aircraft (Intransit) -


(i) Unlading and shipping in transit. You may not export or reexport an item through, or transit through a country listed in paragraph (b)(8)(ii) of this section, unless a license exception or license authorizes such an export or reexport directly to or transit through such a country of transit, or unless such an export or reexport is eligible to such a country of transit without a license.(ii) Country scope. This General Prohibition Eight applies to Armenia, Azerbaijan, Belarus, Cambodia, Cuba, Georgia, Kazakhstan, Kyrgyzstan, Laos, Mongolia, North Korea, Russia, Tajikistan, Turkmenistan, Ukraine, Uzbekistan, Vietnam.


(9) General Prohibition Nine - Violation of any order, terms, and conditions (Orders, Terms, and Conditions). You may not violate terms or conditions of a license or of a License Exception issued under or made a part of the EAR, and you may not violate any order issued under or made a part of the EAR. There are no License Exceptions to this General Prohibition Nine in part 740 of the EAR. Supplements Nos. 1 and 2 to this part provide for certain General Orders and Administrative Orders.


(10) General Prohibition Ten - Proceeding with transactions with knowledge that a violation has occurred or is about to occur (Knowledge Violation to Occur). You may not sell, transfer, export, reexport, finance, order, buy, remove, conceal, store, use, loan, dispose of, transport, forward, or otherwise service, in whole or in part, any item subject to the EAR and exported or to be exported with knowledge that a violation of the Export Administration Regulations, the Export Administration Act or any order, license, License Exception, or other authorization issued thereunder has occurred, is about to occur, or is intended to occur in connection with the item. Nor may you rely upon any license or License Exception after notice to you of the suspension or revocation of that license or exception. There are no License Exceptions to this General Prohibition Ten in part 740 of the EAR.


美国商务部关于修改直接产品规则的公告

美国工业与安全局(BIS)今天宣布,计划通过限制华为使用美国技术和软件在美国境外设计和制造半导体的能力来保护美国国家安全。这一计划将切断华为破坏美国出口管制规则的努力。BIS正在修改其一直以来的关于外国生产的直接产品规则和实体清单,对华为采购由某些美国软件和技术直接制造的半导体,进行精准的战略性打击。

 

自2019年BIS将华为技术及其114家海外相关关联公司列入实体清单以来,希望向其出口美国物项的公司必须获得许可证。[1]然而,华为继续使用美国的软件和技术来设计半导体,并委托使用了美国设备的海外代工厂来生产这些半导体,这些行为破坏了实体清单所希望达成的国家安全和外交政策的目的。

 

“尽管美国商务部去年采取了实体清单措施,但华为及其外国关联公司已经加紧努力,意图通过本土化努力来破坏这些基于国家安全的限制。然而,华为的努力仍有赖于美国的技术",美国商务部部长威尔伯·罗斯说,“这不是一个负责任的全球企业公民的行为方式。我们必须修改被华为和海思所利用的规则,防止美国技术助长违背美国国家安全和外交政策利益的恶性活动。”

 

具体而言,这一有针对性的规则修改将使以下外国生产的物项受《出口管理条例》(EAR)的限制:

 

(一) 华为及其实体清单上的关联公司(如海思)使用美国商业管制清单(CCL)中某些软件和技术直接产出的,包括半导体设计在内的物项;以及

 

(二)根据华为或实体清单上的关联公司(如海思)产出的设计规格,且使用美国商业管制清单(CCL)中列明的某些半导体制造设备直接产出的包括芯片组在内的物项。这些外国生产的产品,只有当出口人知道这些产品将用于再出口,从国外出口,或(在出口人所在国境内)转让给华为或其实体名单上的任何关联公司时,才需要许可证。

 

为防止对使用美国半导体制造设备的外国代工企业造成直接的不利经济影响,对于在2020年5月15日前根据华为所生产的设计规格已经启动制造流程所产出的物项,只要这些外国生产的物项在本命令生效之日起120天内再出口、从国外出口,或(在出口人所在国境内)转让给华为或其实体名单上的任何关联公司,则不受上述新的许可要求的限制。



[1] 20195月,BIS将华为技术有限公司(Huawei Technologies Co. (华为)和某些非美国关联公司被列入实体名单(20198月又增列了更多的关联公司),依据的是可以断定华为从事违反美国国家安全或外交政策利益的活动的信息。这些信息包括美国司法部对华为的公开起诉书中所指控的活动,包括华为涉嫌违反《国际紧急经济权力法》(IEEPA)、以及密谋违反IEEPA向伊朗提供被禁金融服务,以及在美国政府调查这些涉嫌违反美国制裁的行为时妨碍司法。





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:


DPO社群成果

  1. 印度《2018个人数据保护法(草案)》全文翻译(中英对照版)(DPO沙龙出品)

  2. 巴西《通用数据保护法》全文中文翻译(DPO沙龙出品)

  3. 美国联邦隐私立法重要文件编译第一辑(DPO沙龙出品)

  4. 《非个人数据在欧盟境内自由流动框架条例》全文中文翻译(DPO沙龙出品)

  5. 第29条工作组《对第2016/679号条例(GDPR)下同意的解释指南》中文翻译(DPO沙龙出品)

  6. 第29条工作组“关于减轻对处理活动进行记录义务的立场文件”(DPO沙龙出品)

  7. 第29条工作组《第2/2017号关于工作中数据处理的意见》(DPO沙龙出品)

  8. “美国华盛顿哥伦比亚特区诉Facebook“起诉书全文翻译(DPO沙龙出品)

  9. 第29条工作组《关于自动化个人决策目的和识别分析目的准则》(DPO沙龙出品)

  10. 法国数据保护局发布针对与商业伙伴或数据代理共享数据的指南

  11. 第29条工作组《数据可携权指南》全文翻译(DPO沙龙出品)

  12. 德国联邦反垄断局对Facebook数据收集和融合行为提出严格限制(DPO沙龙出品)

  13. 德国联邦反垄断局审查Facebook数据收集融合行为的背景情况(DPO沙龙出品)

  14. EDPB“关于《临床试验条例》与GDPR间相互关系”意见的全文翻译(DPO沙龙出品)

  15. 第29条工作组关于GDPR《透明度准则的指引》全文翻译(DPO沙龙出品)

  16. “108号公约”全文翻译(DPO沙龙出品)

  17. 美国司法部“云法案”白皮书全文翻译(DPO社群出品)

  18. EDPB关于GDPR中合同必要性指引的中文翻译(DPO沙龙出品)

  19. 新加坡《防止网络虚假信息和网络操纵法案》中文翻译(DPO沙龙出品)

  20. 英国ICO《广告技术和实时竞价的更新报告》中译文(DPO社群出品)

  21. “FTC与Facebook达成和解令的新闻通告”全文翻译(DPO社群出品)

  22. CJEU认定网站和嵌入的第三方代码成为共同数据控制者(DPO沙龙出品)

  23. FTC与Facebook“2019和解令”全文翻译(DPO社群出品)

  24. 英国ICO《数据共享行为守则》中译文(DPO社群出品)

  25. “hiQ Labs诉LinkedIn案上诉判决”中译文(DPO社群出品)

  26. 法国数据保护监管机构(CNIL)有关cookies和其他追踪方式的指引(全文翻译)

  27. 美加州消费者隐私法案(CCPA) 修正案汇总中译文(DPO沙龙出品)

  28. FTC“首次针对追踪类App提起诉讼”的官方声明中文翻译(DPO社群出品)

  29. ICDPPC关于隐私和消费者保护、竞争维护交叉问题决议的中文翻译(DPO社群出品)

  30. 德国关于确定企业GDPR相关罚款数额官方指南的中文翻译(DPO社群出品)

  31. 亚洲十四个国家和地区数据跨境制度报告中译本(DPO社群出品)

  32. 印度《个人数据保护法》(2019年草案)全文翻译(DPO社群出品)

  33. 法国数据保护局(CNIL)关于人脸识别报告的中译文(DPO社群出品)

  34. AEPD和EDPS | “哈希函数简介——用于个人数据假名化技术”中译文(DPO社群出品)

  35. 欧盟基本权利局“人脸识别技术”报告中文翻译(DPO社群出品)

  36. 联合发布 |《2020数字医疗:疫情防控新技术安全应用分析报告》

  37. 技术主权视野下的欧盟数字化转型战略探析(DPO社群出品)

  38. EDPB《车联网个人数据保护指南》全文翻译(DPO社群出品)

  39. 意大利数据保护机关就新冠疫情联防联控中个人信息问题的意见(DPO社群出品)

  40. 新版《个人信息安全规范》(35273-2020)正式发布


线下沙龙实录见:

  1. 数据保护官(DPO)沙龙第一期纪实

  2. 第二期数据保护官沙龙纪实:个人信息安全影响评估指南 

  3. 第三期数据保护官沙龙纪实:数据出境安全评估

  4. 第四期数据保护官沙龙纪实:网络爬虫的法律规制

  5. 第四期数据保护官沙龙纪实之二:当爬虫遇上法律会有什么风险

  6. 第五期数据保护官沙龙纪实:美国联邦隐私立法重要文件讨论

  7. 数据保护官(DPO)沙龙走进燕园系列活动第一期

  8. 第六期数据保护官沙龙纪实:2018年隐私条款评审工作

  9. 第八期数据保护官沙龙纪实:重点行业数据、隐私及网络安全

  10. 第九期数据保护官沙龙纪实:《个人信息安全规范》修订研讨

  11. 第十期数据保护官沙龙纪实:数据融合可给企业赋能,但不能不问西东

  12. 第十一期数据保护官沙龙纪实:企业如何看住自家的数据资产?这里有份权威的安全指南

  13. 第十二期数据保护官纪实:金融数据保护,须平衡个人隐私与公共利益

  14. 第十三期DPO沙龙纪实:厘清《数据安全管理办法》中的重点条款

  15. 第十四期DPO沙龙纪实:梳理《个人信息出境安全评估办法(征求意见稿)》的评估流程

  16. 第十五期DPO沙龙纪实:SDK非洪水猛兽,但如果“作恶”乱收集信息,谁来管?

  17. 第十六期DPO沙龙纪实:查询App收集个人信息类型、禁止收集IMEI号是未来监管趋势

  18. 与欧美一流数据保护专家面对面(DPO沙龙特别活动)

  19. 第十七期DPO沙龙纪实:数据统一确权恐难实现 部门立法或是有效途径

  20. 第十八期DPO沙龙纪实:生物识别信息的安全保护


人脸识别系列文章

  1. 欧盟基本权利局“人脸识别技术”报告中文翻译(DPO社群出品)

  2. 法国数据保护局(CNIL)关于人脸识别报告的中译文(DPO社群出品)

  3. 零售门店使用人脸识别技术的主要法律问题(DPO社群成员观点)

  4. 人脸识别技术的规制框架(PPT+讲稿)

  5. 人脸识别技术运用的六大场景及法律规制框架的适配(DPO社群成员观点)

  6. 解读世界首例警方使用人脸识别技术合法性判决(DPO社群成员观点)

  7. 人脸识别技术的法律规制研究初探(DPO社群成员观点)

  8. 美国联邦隐私保护立法草案研究(四):“生物识别信息”

  9. 美国华盛顿州人脸识别服务法案中文翻译(DPO社群出品)


美国联邦隐私保护立法草案研究

  1. 美国联邦隐私保护立法草案研究(一):“行为个性化”

  2. 美国联邦隐私保护立法草案研究(二):“个人敏感信息”

  3. 美国联邦隐私保护立法草案研究(三):“个人敏感信息”的保护规则

  4. 美国联邦隐私保护立法草案研究(四):“生物识别信息”

  

传染病疫情防控与个人信息保护系列文章

  1. 传染病疫情防控与个人信息保护初探之一:个人信息的性质

  2. 传染病疫情防控与个人信息保护初探之二:同意的例外

  3. 传染病疫情防控与个人信息保护初探之三:数据技术的应用路径

  4. 传染病疫情防控与个人信息保护初探之四:接触追踪的数据共享安全规范

  5. 传染病疫情防控与个人信息保护初探之五:电信数据的安全规范

  6. 传染病疫情防控与个人信息保护初探之六:GDPR框架下的公共卫生数据共享

  7. 传染病疫情防控与个人信息保护初探之七:美国公共卫生机构的数据调取权力

  8. 传染病疫情防控与个人信息保护初探之完结篇:解读中央网信办通知

  9. 欧盟国家和英国的数据保护部门对疫情防控的官方意见汇总(DPO社群出品)

  10. 美国疫情防控中的关键基础设施的识别和认定(DPO社群出品)

  11. 意大利数据保护机关就新冠疫情联防联控中个人信息问题的意见(DPO社群出品)

  12. 欧委会关于新冠疫情中利用移动数据和应用官方建议的全文翻译(DPO沙龙出品) 

  13. 漫画图解苹果和谷歌联手开发的接触追踪应用的基本原理  

  14. 澳门关于疫情防控中进出场所人员个人资料保护的通告

  15. 疫情防控常态化中的接触追踪:中国方案

  16. 欧委会“支持抗击新冠疫情的APP的数据保护指引”全文翻译(DPO社群出品)

  17. 来自欧洲的接触追踪协议(ROBERT Protocol)的基本原理:漫画图解

  18. 英国信息专员对苹果谷歌接触追踪项目的官方意见:全文翻译(DPO社群出品)

  19. 三百名学者关于接触追踪APP的联合声明

  20. EDPB关于“疫情场景中使用位置数据和接触追踪工具”指南:全文翻译(DPO沙龙出品)

  21. 新冠疫情防控常态化下的个人信息保护工作的思考和建议 

  22. 韩国利用ICT抗疫经验总结:接触追踪部分(中文翻译)

  23. 全文翻译 | 欧盟新冠肺炎“接触追踪”APP 共同工具箱(DPO沙龙出品)


个人数据与域外国家安全审查系列文章

  1. 个人数据与域外国家安全审查初探(一):美欧概览

  2. 个人数据与域外国家安全审查初探(二):CFIUS实施条例详解

  3. 个人数据与域外国家安全审查初探(三):从美国《确保ICT技术与服务供应链安全》        

  4. 个人数据与域外国家安全审查初探(四):从美国《2019年安全与可信通信网络法案》看

  5. 个人数据与域外国家安全审查初探(五):禁止中国公司对StayNTouch的收购

  6. 个人数据与域外国家安全审查初探(六):《2019国家安全和个人数据保护法案》

  7. 个人数据与域外国家安全审查初探(七):美国众议院荒唐的决议草案

  8. 个人数据与域外国家安全审查初探(八):《2020安全的5G和未来通信》法案

  9. 个人数据与域外国家安全审查初探(九):澳大利亚《协助和访问法》

  10. 美国司法部狙击中国内幕(Inside DOJ's nationwide effort to take on China)

  11. 美国司法部“中国计划”的概况介绍


美国电信行业涉及外国参与的安全审查系列文章

  1. 美国电信行业涉及外国参与的安全审查(一):基本制度介绍

  2. 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

  3. 美国电信行业涉及外国参与的安全审查(三):建立外国参与安全审查的行政令

  4. 美国电信行业涉及外国参与的安全审查(四):FCC对中国企业的陈述理由令


中国的网络安全审查系列文章:

  1. 网络安全审查制度利刃出鞘

  2. 对《网络安全审查办法(征求意见稿)》的几点观察

  3. 网络安全审查制度吹响了向网络安全强国迈进的号角

  4. 我国网络安全审查制度走向前台

  5. 网络安全审查的中欧比较:以5G为例


第29条工作组/EDPB关于GDPR的指导意见:

  1. 第29条工作组《对第2016/679号条例(GDPR)下同意的解释指南》中文翻译(DPO沙龙出品)

  2. 第29条工作组“关于减轻对处理活动进行记录义务的立场文件”(DPO沙龙出品)

  3. 第29条工作组《第2/2017号关于工作中数据处理的意见》(DPO沙龙出品)

  4. 第29条工作组《关于自动化个人决策目的和识别分析目的准则》(DPO沙龙出品)

  5. 第29条工作组《数据可携权指南》全文翻译(DPO沙龙出品)

  6. 第29条工作组关于GDPR《透明度准则的指引》全文翻译(DPO沙龙出品)

  7. EDPB《关于GDPR适用地域范围(第3条)的解释指南》全文翻译(DPO沙龙出品)

  8. EDPB“关于《临床试验条例》与GDPR间相互关系”意见的全文翻译(DPO沙龙出品)

  9. EDPB《车联网个人数据保护指南》全文翻译(DPO社群出品)

  10. EDPB关于GDPR中合同必要性指引的中文翻译(DPO沙龙出品)

  11. EDPB关于“疫情场景中使用位置数据和接触追踪工具”指南:全文翻译(DPO沙龙出品)

  12. EDPB | 《对第2016/679号条例(GDPR)下同意的解释指南v1》中文翻译(DPO社群出品)




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