合法预期保护原则下的数据出境安全评估制度完善  

Enhancing the Data Export Security Assessment System under the Principle of Legitimate Expectations Protection

作　　者：杨洁[1,2] YANG Jie

机构地区：[1]东南大学法学院 [2]东南大学未来法治与数智技术创新实验室

出　　处：《北方法学》2024年第6期18-33,共16页Northern Legal Science

基　　金：江苏省司法厅2023—2024年度法治科研项目“优化营商环境中数字化行政检查权力的规范行使”(2023jssf21)的研究成果。

摘　　要：《促进和规范数据跨境流动规定》明确了数据出境安全评估申报豁免的若干情形,为数据跨境自由流动提供了便利。受数据出境不确定性安全风险、安全管理不确定性法律概念的双重影响,数据出境安全评估制度的适用对象呈现变动特征。该变动特征对规章的安定性构成了威胁。数据出境安全评估实施是以行政许可形式呈现的具体行政行为,评估制度适用对象变更则属抽象行政行为。安全评估适用对象的调整,不仅触及行政相对人的既有利益,更影响其合法预期利益。为此,需要提升安全评估豁免范围变更的可预见性:一方面,通过数据出境风险警示责任的合理配置、行政预先许可制度的实践创新,增强行政机关与行政相对人对数据出境风险的认知;另一方面,通过在硬法框架内嵌入软法规范、建立立法滚动更新机制,构建动态、开放的安全评估制度体系,以维护行政相对人的合法预期。The “Regulations on Promoting and Standardizing Cross-Border Data Flow” delineate several circumstances under which exemptions for data export security assessment declarations may apply,thereby facilitating the free flow of data across borders. The dual influences of the uncertainties surrounding data export security risks and the ambiguous legal concepts of security management result in fluctuating characteristics of the subjects applicable to the data export security assessment system. This variability poses a threat to the stability of regulations. The implementation of data export security assessments manifests as a specific administrative action in the form of administrative licensing. In contrast, changes in the subjects of the assessment system represent abstract administrative actions. Adjustments to the applicability of security assessments not only affect the existing interests of administrative counterparts but also influence their legitimate expectation interests. To address this, it is essential to enhance the predictability of changes to the exemption scope for security assessments: on one hand, through the rational allocation of data export risk warning responsibilities and innovative practices in the pre-licensing administrative system, thereby improving the awareness of data export risks among administrative bodies and counterparts;on the other hand, by embedding soft law norms within a hard law framework and establishing a legislative rolling update mechanism to construct a dynamic, open security assessment system,thereby safeguarding the legitimate expectations of administrative counterparts.

关 键 词：数据出境安全评估 合法预期 信赖保护 规章安定性 

分 类 号：D922.16[政治法律—宪法学与行政法学]