政策环境、外部冲击与欧盟个人数据保护政策形成  

Policy-Makingg Climate,Exogenous Spillover and the Coming out of General Data Protection Regulation

作　　者：方芳[1] 刘宏松 Fang Fang;Liu Hongsong(Research Center for International Legal Discourse,East China University of Political Sciences and Law;School of International and Public Affairs,Shanghai Jiao Tong University)

机构地区：[1]华东政法大学中国涉外法治话语研究中心,上海201620 [2]上海交通大学国际与公共事务学院,上海200030

出　　处：《世界经济与政治》2023年第5期133-162,167,168,共32页World Economics and Politics

基　　金：国家社会科学基金一般项目“构建开放合作的跨境数据流动国际治理规则研究”(项目批准号:20BGJ020)的阶段性成果。

摘　　要：欧盟《通用数据保护条例》的出台和实施是数据领域监管一体化的具体实践。欧洲一体化进程受功能外溢、政策环境、掣肘力量和外部冲击四个因素的影响。作者在借鉴新功能主义理论与自由政府间主义理论的基础上提出了一种新功能主义理论修正框架,并利用该框架考察和分析了欧盟《通用数据保护条例》出台的过程。研究发现,欧盟单一数字市场建设和超国家层面基本权利保障是欧盟个人数据保护政策出台的内在驱动力。立法机构的关键性人物及欧盟相关机构的积极参与为数据保护条例出台提供了智力支持。隐私保护等非政府组织的发声营造了良好的政策环境,推动欧盟委员会发布更严标准的数据保护法草案。当《通用数据保护条例》进入欧洲议会审议草案的阶段时,因受到欧盟各成员国主权意识与相关行业游说等强大掣肘力量的影响,立法进程严重受阻。然而,突发的斯诺登事件提升了公众对数据保护议题的关注度,驱使各行为体形成强大的话语联盟,形成了更加有利于政策出台的域内环境,进而推动了立法进程的展开。在数据保护法草案进入欧盟理事会审议阶段后,由于缺乏外部冲击,驱动力量与掣肘力量共同作用,使该法案在欧盟成员国主权意识与规范的“欧盟化”之间实现了妥协。法案中的数据处理原则和数据监管原则相关条款在欧盟理事会版的草案中被大量修改,在一定程度上满足了商业公司及欧盟成员国政府的部分诉求。The introduction and enactment of General Data Protection Regulation(GDPR)are considered as an integrated process of data regulation in the European Union which is affected by functional spillover,policy-making climate,countervailing forces and exogenous spillover.On the basis of Neo-functionalism and Liberal Intergovernmentalism,the paper puts forward a revised neofunctionalist framework to examine and analyze the whole process of GDPR's adoption.It finds that the adoption of GDPR was driven internally both by Single Digital Market plan and EU fundamental rights protection,and was intellectually supported by key individuals in the legislature and the active participation of EU relevant institutions.Meanwhile,the friendly policy-making climate shaped by NGOs of privacy protection also helped the European Commission to adopt a higher-standard draft.While the draft was making its way through the European Council,such strong countervailing forces as sovereignty awareness of member states in the EU and lobbyists from multinational corporations heavily blocked the legislation process.However,the"Snowden Revelations"promoted the issue salience of personal data protection,propelling actors into forging a strong discourse coalition and shaping a more favorable intra-EU policy-making climate.Thus,the legislation is smoothened and further driven forward.While the draft was making its way through the Council,the lack of exogenous forces and the competition between the driving and countervailing forces led to a compromise between sovereignty awareness of member states in the EU and norms at EU level.A large number of relevant provisions regarding the data processing principles were modified in the Council-version draft,partly catering for the interests of business corporations and EU member states.

关 键 词：个人数据保护 全球数据治理 斯诺登事件 新功能主义理论修正框架 

分 类 号：D815[政治法律—国际关系]