INTRODUCTION

The Cyberspace Administration of China on October 29, 2021, published draft rules that outline a government security assessment process for the transfer abroad of a wide range of data. The draft "Outbound Data Transfer Security Assessment Measures" are open for public comment until November 28.

Interested parties have been awaiting clarification on rules for cross-border data transfer out of China since the Cybersecurity Law was finalized in 2016 and went into effect June 1, 2017. The most recent earlier draft rules on the matter, released in June 2019, addressed only "personal information." (See DigiChina's translation and analysis on that draft.) The present draft Measures reference the Cybersecurity Law, the Data Security Law, and the Personal Information Protection Law (effective November 1, 2021), and they appear designed to implement their provisions on cross-border data transfer.

This translation is by Rogier Creemers and Samm Sacks. It was edited by Graham Webster and Lorand Laskai.

TRANSLATION

Outbound Data Transfer Security Assessment Measures (Draft for Comment)

Cyberspace Administration of China

October 29, 2021

Article 1: In order to standardize outbound data transfer activities, protect personal information rights and interests, safeguard national security and the social public interest, and promote the secure and free cross-border flow of data, and on the basis of the “Cybersecurity Law of the People’s Republic of China,” the “Data Security Law of the People’s Republic of China,” the “Personal Information Protection Law of the People’s Republic of China,” and other such laws and regulations, these Measures are formulated.

Article 2: Data handlers that provide abroad important data that was collected or produced through operations within the (mainland) territory of the People’s Republic of China, or personal information where a security assessment shall be conducted according to the law, shall conduct a security assessment according to the provisions of these Measures; where laws or administrative regulations provide otherwise, those provisions are to be followed.

Article 3: The security assessment of outbound data transfer is to persist in integrating prior assessment and continuous supervision, and integrating risk self-assessment and security assessment; prevent outbound data transfer security risks; and ensure the lawful, orderly, and free flow of data.

Article 4: Data handlers providing data abroad shall, in any of the following circumstances, apply for outbound data transfer security assessment with the State cybersecurity and informatization department through their local provincial-level cybersecurity and informatization department.

1. Personal information and important data collected and produced by critical information infrastructure operators;
2. Where the data transferred abroad contains important data;
3. Personal information handlers handling the personal information of over 1 million people providing personal information abroad;
4. Cumulative provision abroad of the personal information of more than 100,000 people or the sensitive personal information of more than 10,000 people;
5. Other circumstances where the State cybersecurity and informatization department provides data export security assessment must be applied for.

Article 5: Before data handlers provide data abroad, they shall first conduct an outbound data transfer risk self-assessment, focusing on assessing the following matters:

1. The legality, propriety, and necessity of the purpose, scope, method, etc., of the outbound data transfer and data handling by the foreign receiving party;
2. The quantity, scope, categories, and degree of sensitivity of the data transferred abroad; the risks that the outbound data transfer may engender to national security, the public interest, and the lawful rights and interests of individuals and organizations;
3. Whether or not risks such as data leaks, distortion, etc., can be prevented through data handlers’ management and technical measures and capabilities during the data transfer phase;
4. The responsibilities and duties undertaken and borne by the foreign receiving party, as well as whether or not the security of data transferred abroad can be ensured through management and technical measures and capabilities, etc., to fulfill their responsibilities and duties;
5. The risk of leaks, distortion, alteration, abuse, etc., after data is transferred abroad and retransferred, and whether or not the channels for individuals to uphold personal information rights and interests are open, etc.;
6. Whether or not the data outbound transfer–related contract concluded with the foreign receiving party fully stipulates data security protection responsibilities and duties.

Article 6: To apply for outbound data transfer security assessment, the following materials shall be submitted:

1. An application letter;
2. An outbound data transfer risk self-assessment report;
3. The contract intended to be concluded between the data handler and the foreign receiving party or other documentation with legal effect (hereafter jointly named contract);
4. Other materials necessary for security assessment work.

Article 7: The State cybersecurity and informatization department is to, within seven working days from the date of receiving the application materials, determine whether or not the assessment is accepted, and return the acceptance outcome in written notice form.

Article 8: Outbound data transfer security assessment focuses on assessing the risks that outbound data transfer activities may bring to national security, the public interest, and the lawful rights and interests of individuals and organizations, and mainly includes the following matters:

1. The legality, propriety, and necessity of the purpose, scope, method, etc., of outbound data transfer;
2. The effects on the security of the data transferred abroad of the data security protection policies, laws, and regulations, and the cybersecurity environment of the country or region where the foreign receiving party resides; whether or not the foreign receiving party’s data protection level reach the requirements of the laws, administrative regulations, and mandatory national standards of the People’s Republic of China;
3. The quantity, scope, categories, and degree of sensitivity of the data transferred abroad; and the risk of leaks, distortion, loss, destruction, transfer, illegal acquisition, illegal use, etc., during or after outbound transfer;
4. Whether or not data security and personal information rights and interests are fully and effectively ensured;
5. Whether or not the contract concluded between the data handler and the foreign receiving party fully stipulates data security protection responsibilities and duties;
6. The degree of compliance with Chinese laws, administrative regulations, and departmental rules;
7. Other matters that the State cybersecurity and informatization department determines should be assessed.

Article 9: The contract concluded between data handles and the foreign receiving party is to fully stipulate data security protection responsibilities and duties, which shall include but are not limited to the following content:

1. The purpose (目的), method, and data scope of data outbound transfer, and the purpose (用途), method, etc., of the foreign receiving party's data handling;
2. The location and time limit of data storage abroad, as well as measures to handle the data transferred abroad when the storage time limit is reached, the agreed purpose is completed, or the contract is terminated;
3. Restraining clauses restricting the foreign receiving party from retransferring the exported data to other organizations or individuals;
4. The security measures that shall be adopted when a substantive change occurs in the foreign receiving party's actual control powers or scope of operations, or when changes in the legal environment of their local country or region lead to difficulty to ensure data security;
5. The liability for violating or breaching contractual data security protection duties and enforceable dispute resolution clauses with actual restraining force;
6. When a data leak or other risk occurs, appropriate launching of emergency response measures, and ensuring individuals have open channels to uphold personal information rights and interests.

Article 10: After the State cybersecurity and informatization department accepts the application, it is to organize the competent sectoral departments, relevant State Council departments, provincial-level cybersecurity and informatization departments, and specialized agencies, etc., to conduct the security assessment. 

For the outbound transfer of important data, the State cybersecurity and informatization department shall seek opinions from relevant industry authorities. 

Article 11: The State cybersecurity and informatization department is to complete the outbound data transfer security assessment within 45 working days from the date of issuance of the written acceptance notice; if the situation is complicated or supplementary materials are needed, this may be appropriately extended, but generally is not to exceed 60 working days.

The results of the assessment are to be notified to the data handler in writing.

Article 12: Outbound data transfer assessment results are effective for two years. During their period of validity, if one of the following circumstances occurs, data handlers shall re-apply for assessment:

1. The purpose, method, scope, or type of data provided abroad, or the purpose and method of data handling by foreign receiving party change, or the time limit for storage abroad of personal information or important data is extended;
2. Circumstances that may affect the security of data transferred abroad, such as changes in the legal environment of the country or region where the foreign recipient party is located, changes to the actual control powers of the data handler or the foreign receiving party, changes to the contract between the data handler and the foreign receiving party, etc.;
3. Other circumstances that may affect the security of data transferred abroad.

If the validity period expires and it is necessary to continue the original outbound data transfer activities, data handlers shall re-apply for assessment 60 working days before the validity period expires.

Those who fail to re-apply for assessment in accordance with the provisions of this Article shall cease outbound data transfer activities.

Article 13: Data handlers shall submit assessment materials according to the provisions of these Measures. Where materials are incomplete or do not meet requirements, they shall supplement or rectify them in a timely fashion. Where they refuse to supplement or rectify them, the State cybersecurity and informatization department may terminate security assessment. Data handlers are responsible for the accuracy of the submitted materials; where they wilfully submit false materials, they are to be dealt with as not having passed assessment.

Article 14: Relevant agencies and personnel participating in security assessment work shall preserve the secrecy of State secrets, personal privacy, personal information, commercial secrets, confidential commercial information, and other such data they learn of while fulfilling their responsibilities; they must not leak or illegally provide it to others.

Article 15: Where any organization or individual discovers that data handlers are providing data abroad without conducting assessment according to the provisions of these Measures, they may file a complaint or report with the provincial-level or higher cybersecurity and informatization department.

Article 16: If the State cybersecurity and informatization department determines that, in the actual data handling process, outbound data transfer activities that have passed assessment no longer meet outbound data transfer security management requirements, it shall revoke the assessment result and notify the data handler in writing, and the data handler shall terminate the outbound data transfer activity. If it is necessary to continue to carry out outbound data transfer activities, the data handler shall make corrections in accordance with requirements, and re-apply for assessment after the corrections are complete.

Article 17: Violations of the provisions of these Measures is to be handled in accordance with laws and administrative regulations such as the Cybersecurity Law of the People’s Republic of China, the Data Security Law of the People’s Republic of China, the Personal Information Protection Law of the People’s Republic of China; where a crime is constituted, criminal responsibility is to be investigated according to the law.

Article 18: These Measures are implemented beginning [month] [day], [year].

CHINESE-LANGUAGE ORIGINAL

Source: http://www.cac.gov.cn/2021-10/29/c_1637102874600858.htm

Archived version: https://web.archive.org/web/20211029031530/http://www.cac.gov.cn/2021-10/29/c_1637102874600858.htm

The original text below includes the notice accompanying this draft and requesting public comments by November 28, 2021.

国家互联网信息办公室关于《数据出境安全评估办法（征求意见稿）》公开征求意见的通知

为了规范数据出境活动，保护个人信息权益，维护国家安全和社会公共利益，促进数据跨境安全、自由流动，依据《中华人民共和国网络安全法》、《中华人民共和国数据安全法》、《中华人民共和国个人信息保护法》等法律法规，我办起草了《数据出境安全评估办法（征求意见稿）》，现向社会公开征求意见。公众可通过以下途径和方式提出反馈意见：

1.登录中华人民共和国司法部 中国政府法制信息网（www.moj.gov.cn、www.chinalaw.gov.cn），进入首页主菜单的“立法意见征集”栏目提出意见。

2.通过电子邮件将意见发送至：shujuju@cac.gov.cn。

3.通过信函将意见寄至：北京市西城区车公庄大街11号国家互联网信息办公室网络数据管理局，邮编：100044，并在信封上注明“数据出境安全评估办法征求意见”。

意见反馈截止时间为2021年11月28日。

附件：数据出境安全评估办法（征求意见稿）

国家互联网信息办公室

2021年10月29日

数据出境安全评估办法

（征求意见稿）

第一条 为了规范数据出境活动，保护个人信息权益，维护国家安全和社会公共利益，促进数据跨境安全、自由流动，根据《中华人民共和国网络安全法》、《中华人民共和国数据安全法》、《中华人民共和国个人信息保护法》等法律法规，制定本办法。

第二条 数据处理者向境外提供在中华人民共和国境内运营中收集和产生的重要数据和依法应当进行安全评估的个人信息，应当按照本办法的规定进行安全评估；法律、行政法规另有规定的，依照其规定。

第三条 数据出境安全评估坚持事前评估和持续监督相结合、风险自评估与安全评估相结合，防范数据出境安全风险，保障数据依法有序自由流动。

第四条 数据处理者向境外提供数据，符合以下情形之一的，应当通过所在地省级网信部门向国家网信部门申报数据出境安全评估。

（一）关键信息基础设施的运营者收集和产生的个人信息和重要数据；

（二）出境数据中包含重要数据；

（三）处理个人信息达到一百万人的个人信息处理者向境外提供个人信息；

（四）累计向境外提供超过十万人以上个人信息或者一万人以上敏感个人信息；

（五）国家网信部门规定的其他需要申报数据出境安全评估的情形。

第五条 数据处理者在向境外提供数据前，应事先开展数据出境风险自评估，重点评估以下事项：

（一）数据出境及境外接收方处理数据的目的、范围、方式等的合法性、正当性、必要性；

（二）出境数据的数量、范围、种类、敏感程度，数据出境可能对国家安全、公共利益、个人或者组织合法权益带来的风险；

（三）数据处理者在数据转移环节的管理和技术措施、能力等能否防范数据泄露、毁损等风险；

（四）境外接收方承诺承担的责任义务，以及履行责任义务的管理和技术措施、能力等能否保障出境数据的安全；

（五）数据出境和再转移后泄露、毁损、篡改、滥用等的风险，个人维护个人信息权益的渠道是否通畅等；

（六）与境外接收方订立的数据出境相关合同是否充分约定了数据安全保护责任义务。

第六条 申报数据出境安全评估，应当提交以下材料：

（一）申报书；

（二）数据出境风险自评估报告；

（三）数据处理者与境外接收方拟订立的合同或者其他具有法律效力的文件等（以下统称合同）；

（四）安全评估工作需要的其他材料。

第七条 国家网信部门自收到申报材料之日起七个工作日内，确定是否受理评估并以书面通知形式反馈受理结果。

第八条 数据出境安全评估重点评估数据出境活动可能对国家安全、公共利益、个人或者组织合法权益带来的风险，主要包括以下事项：

（一）数据出境的目的、范围、方式等的合法性、正当性、必要性；

（二）境外接收方所在国家或者地区的数据安全保护政策法规及网络安全环境对出境数据安全的影响；境外接收方的数据保护水平是否达到中华人民共和国法律、行政法规规定和强制性国家标准的要求；

（三）出境数据的数量、范围、种类、敏感程度，出境中和出境后泄露、篡改、丢失、破坏、转移或者被非法获取、非法利用等风险；

（四）数据安全和个人信息权益是否能够得到充分有效保障；

（五）数据处理者与境外接收方订立的合同中是否充分约定了数据安全保护责任义务；

（六）遵守中国法律、行政法规、部门规章情况；

（七）国家网信部门认为需要评估的其他事项。

第九条 数据处理者与境外接收方订立的合同充分约定数据安全保护责任义务，应当包括但不限于以下内容：

（一）数据出境的目的、方式和数据范围，境外接收方处理数据的用途、方式等；

（二）数据在境外保存地点、期限，以及达到保存期限、完成约定目的或者合同终止后出境数据的处理措施；

（三）限制境外接收方将出境数据再转移给其他组织、个人的约束条款；

（四）境外接收方在实际控制权或者经营范围发生实质性变化，或者所在国家、地区法律环境发生变化导致难以保障数据安全时，应当采取的安全措施；

（五）违反数据安全保护义务的违约责任和具有约束力且可执行的争议解决条款；

（六）发生数据泄露等风险时，妥善开展应急处置，并保障个人维护个人信息权益的通畅渠道。

第十条 国家网信部门受理申报后，组织行业主管部门、国务院有关部门、省级网信部门、专门机构等进行安全评估。

涉及重要数据出境的，国家网信部门征求相关行业主管部门意见。

第十一条 国家网信部门自出具书面受理通知书之日起四十五个工作日内完成数据出境安全评估；情况复杂或者需要补充材料的，可以适当延长，但一般不超过六十个工作日。

评估结果以书面形式通知数据处理者。

第十二条 数据出境评估结果有效期二年。在有效期内出现以下情形之一的，数据处理者应当重新申报评估：

（一）向境外提供数据的目的、方式、范围、类型和境外接收方处理数据的用途、方式发生变化，或者延长个人信息和重要数据境外保存期限的；

（二）境外接收方所在国家或者地区法律环境发生变化，数据处理者或者境外接收方实际控制权发生变化，数据处理者与境外接收方合同变更等可能影响出境数据安全的；

（三）出现影响出境数据安全的其他情形。

有效期届满，需要继续开展原数据出境活动的，数据处理者应当在有效期届满六十个工作日前重新申报评估。

未按本条规定重新申报评估的，应当停止数据出境活动。

第十三条 数据处理者应当按照本办法的规定提交评估材料，材料不齐全或者不符合要求的，应当及时补充或者更正，拒不补充或者更正的，国家网信部门可以终止安全评估；数据处理者对所提交材料的真实性负责，故意提交虚假材料的，按照评估不通过处理。

第十四条 参与安全评估工作的相关机构和人员对在履行职责中知悉的国家秘密、个人隐私、个人信息、商业秘密、保密商务信息等数据应当依法予以保密，不得泄露或者非法向他人提供。

第十五条 任何组织和个人发现数据处理者未按照本办法规定进行评估向境外提供数据的，可以向省级以上网信部门投诉、举报。

第十六条 国家网信部门发现已经通过评估的数据出境活动在实际处理过程中不再符合数据出境安全管理要求的，应当撤销评估结果并书面通知数据处理者，数据处理者应当终止数据出境活动。需要继续开展数据出境活动的，数据处理者应当按照要求进行整改，并在整改完成后重新申报评估。

第十七条 违反本办法规定的，依照《中华人民共和国网络安全法》、《中华人民共和国数据安全法》、《中华人民共和国个人信息保护法》等法律法规的规定处理；构成犯罪的，依法追究刑事责任。

第十八条 本办法自 年 月 日起施行。