This translation was produced by Rogier Creemers and edited by Graham Webster based on DigiChina's translation of the Draft for Comment of October 2021 by Creemers, Samm Sacks, Webster, and Lorand Laskai.

Outbound Data Transfer Security Assessment Measures 

Cyberspace Administration of China

July 7, 2022

Article 1: In order to regulate 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: These Measures apply to the security assessment of data handlers providing abroad important data or personal information that was collected or produced through operations within the (mainland) territory of the People’s Republic of China. 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 national cybersecurity and informatization department through their local provincial-level cybersecurity and informatization department:

1. Where the data handler provides important data abroad;
2. Critical information infrastructure operators and data handlers handling the personal information of over 1 million people providing personal information abroad;
3. Data handlers providing abroad the personal information of more than 100,000 people or the sensitive personal information of more than 10,000 people since January 1 of the previous year;
4. Other circumstances where the State cybersecurity and informatization department provides data export security assessment must be applied for.

Article 5: Before data handlers apply for a data export security assessment, 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 scale, 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. 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;
4. The risk of alteration, destruction, leak, loss, transfer, or illegal acquisition, illegal use, etc., during and after data is transferred abroad, and whether or not the channels to uphold personal information rights and interests are open, etc.;
5. Whether or not the data outbound transfer–related contract intended to be concluded with the foreign receiving party or another document with legal effect (hereafter jointly named legal documents) fully stipulates data security protection responsibilities and duties;
6. Other matters that may influence the security of data provision abroad.

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 legal document intended to be concluded between the data handler and the foreign receiving party;
4. Other materials necessary for security assessment work.

Article 7: Provincial-level cybersecurity and informatization departments shall, within five working days from receiving application materials, finish an inspection for completeness. Where the application materials are complete, the application materials are submitted to the national cybersecurity and informatization department; where the application materials are not complete, they shall be returned to the data handle, who is notified once on materials that require amendment.

The national cybersecurity and informatization department shall, within seven working days from the date of receiving the application materials, determine whether or not the assessment is accepted, and notify the data handler in writing.

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 scale, scope, categories, and degree of sensitivity of the data transferred abroad; and the risk of alteration, destruction, leak, loss, 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 legal document intended to be 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 legal document that the data handler shall conclude with the foreign receiving party is to fully stipulate data security protection responsibilities and duties, and is to include at least 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 legal document is terminated;
3. Restraining requirements on the foreign receiving party on 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 data security protection policy and regulation, or cybersecurity environment of the country or region in which they reside, or other force majeure conditions, lead to difficulty to ensure data security;
5. The remedial measures, liability for breach, and dispute settlement methods for violation of the legal document’s data security protection duties;
6. When alteration, destruction, leak, loss, transfer or illegal acquisition, illegal use or other data export risk occurs, requirements on the appropriate launching of emergency response measures, and ensuring individuals have open channels to uphold their personal information rights and interests.

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

Article 11: Where, during the process of the security assessment it is discovered that application materials submitted by data handlers do not conform to requirements, the national cybersecurity and informatization department may require supplement or correction. Where data handlers to not supplement or correct these without proper reason, the national cybersecurity and informatization department may terminate the security assessment.

As for data handlers’ responsibility for the veracity of submitted materials, where they willfully submit false materials, the matter is to be handled as not passing security assessment, and relevant legal liability is to be prosecuted according to the law.

Article 12: The national cybersecurity and informatization department shall complete the outbound data transfer security assessment within 45 working days from the date of issuance of the written acceptance notice to the data handler; if the situation is complicated or supplementary or corrected materials are needed, this may be appropriately extended, and the data handler is to be notified about the estimated time extension.

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

Article 13: Where data handlers object to the assessment outcome, they may request reconsideration with the national cybersecurity and informatization department within 15 working days of receiving the assessment outcome. The reconsideration outcome will be the final verdict.

Article 14: Positive outbound data transfer security assessment results are effective for two years, to be calculated from the date of issuance of the assessment outcome. 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 category of data provided abroad, or the purpose and method of data handling by foreign receiving party change, affecting outbound data security, or the time limit for storage abroad of personal information or important data is extended;
2. Circumstances that affect the security of data transferred abroad, such as changes in the data security protection policies and regulations, and the cybersecurity environment of the country or region where the foreign recipient party is located as well as the occurrence of other force majeure conditions, changes to the actual control powers of the data handler or the foreign receiving party, changes to the legal document 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 outbound data transfer activities, data handlers shall re-apply for assessment 60 working days before the validity period expires.

Article 15: 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, or illegally use it.

Article 16: Where any organization or individual discovers that data handlers are providing data abroad in violation of these Measures, they may file a report with the provincial-level or higher cybersecurity and informatization department.

Article 17: If the national 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 notify the data handler in writing to terminate the outbound data transfer activity. If it is necessary for the data handler to continue to carry out outbound data transfer activities, they shall make corrections in accordance with requirements and re-apply for assessment after the corrections are complete.

Article 18: 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, and 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 19: Important data, as mentioned in these Measures, refers to data that, if it is altered, destroyed, leaked, illegally acquired or illegally used, etc., may harm national security, economic operations, social stability, public health or security, etc.

Article 18: These Measures are implemented beginning September 1, 2022. Where outbound data provision activities that already took place before these Measures took effect do not conform to the provisions of these Measures, they are to make corrections within six months of the implementation of these Measures.

Chinese-language original

Source: http://www.cac.gov.cn/2022-07/07/c_1658811536396503.htm

Archived copy: https://web.archive.org/web/20220708014822/http://www.cac.gov.cn/2022-07/07/c_1658811536396503.htm

国家互联网信息办公室令

第11号

《数据出境安全评估办法》已经2022年5月19日国家互联网信息办公室2022年第10次室务会议审议通过，现予公布，自2022年9月1日起施行。

国家互联网信息办公室主任 庄荣文

2022年7月7日

数据出境安全评估办法

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个人信息的安全评估，适用本办法。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，有下列情形之一的，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）数据处理者向境外提供重要数据；

（二）关键信息基础设施运营者和处理100万人以上个人信息的数据处理者向境外提供个人信息；

（三）自上年1月1日起累计向境外提供10万人个人信息或者1万人敏感个人信息的数据处理者向境外提供个人信息；

（四）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 数据处理者在申报数据出境安全评估前，应当开展数据出境风险自评估，重点评估以下事项：

（一）数据出境和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）出境数据的规模、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）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；

（四）数据出境中和出境后遭到篡改、破坏、泄露、丢失、转移或者被非法获取、非法利用等的风险，个人信息权益维护的渠道是否通畅等；

（五）与境外接收方拟订立的数据出境相关合同或者其他具有法律效力的文件等（以下统称法律文件）是否充分约定了数据安全保护责任义务；

（六）其他可能影响数据出境安全的事项。

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法律文件；

（四）安全评估工作需要的其他材料。

第七条 省级网信部门应当自收到申报材料之日起5个工作日内完成完备性查验。申报材料齐全的，将申报材料报送国家网信部门；申报材料不齐全的，应当退回数据处理者并一次性告知需要补充的材料。

国家网信部门应当自收到申报材料之日起7个工作日内，确定是否受理并书面通知数据处理者。

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和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、行政法规的规定和强制性国家标准的要求；

（三）出境数据的规模、范围、种类、敏感程度，出境中和出境后遭到篡改、破坏、泄露、丢失、转移或者被非法获取、非法利用等的风险；

（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拟订立的法律文件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 数据处理者应当在与境外接收方订立的法律文件中明确约定数据安全保护责任义务，至少包括以下内容：

（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、完成约定目的或者法律文件终止后出境数据的处理措施；

（三）对于境外接收方将出境数据再转移给其他组织、个人的约束性要求；

（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、地区数据安全保护政策法规和网络安全环境发生变化以及发生其他不可抗力情形导致难以保障数据安全时，应当采取的安全措施；

（五）违反法律文件约定的数据安全保护义务的补救措施、违约责任和争议解决方式；

（六）出境数据遭到篡改、破坏、泄露、丢失、转移或者被非法获取、非法利用等风险时，妥善开展应急处置的要求和保障个人维护其个人信息权益的途径和方式。

第十条 国家网信部门受理申报后，根据申报情况组织国务院有关部门、省级网信部门、专门机构等进行安全评估。

第十一条 安全评估过程中，发现数据处理者提交的申报材料不符合要求的，国家网信部门可以要求其补充或者更正。数据处理者无正当理由不补充或者更正的，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，并依法追究相应法律责任。

第十二条 国家网信部门应当自向数据处理者发出书面受理通知书之日起45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、更正材料的，可以适当延长并告知数据处理者预计延长的时间。

评估结果应当书面通知数据处理者。

第十三条 数据处理者对评估结果有异议的，可以在收到评估结果15个工作日内向国家网信部门申请复评，复评结果为最终结论。

第十四条 通过数据出境安全评估的结果有效期为2年，自评估结果出具之日起计算。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、种类和境外接收方处理数据的用途、方式发生变化影响出境数据安全的，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数据安全保护政策法规和网络安全环境发生变化以及发生其他不可抗力情形、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法律文件变更等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，需要继续开展数据出境活动的，数据处理者应当在有效期届满60个工作日前重新申报评估。

第十五条 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、非法使用。

第十六条 任何组织和个人发现数据处理者违反本办法向境外提供数据的，可以向省级以上网信部门举报。

第十七条 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，应当书面通知数据处理者终止数据出境活动。数据处理者需要继续开展数据出境活动的，应当按照要求整改，整改完成后重新申报评估。

第十八条 违反本办法规定的，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》等法律法规处理；构成犯罪的，依法追究刑事责任。

第十九条 本办法所称重要数据，是指一旦遭到篡改、破坏、泄露或者非法获取、非法利用等，可能危害国家安全、经济运行、社会稳定、公共健康和安全等的数据。

第二十条 本办法自2022年9月1日起施行。本办法施行前已经开展的数据出境活动，不符合本办法规定的，应当自本办法施行之日起6个月内完成整改。