Contents
General Data Protection Regulation (Legislative acts)
Whereas
CHAPTER I General provisions
Article 1 Subject-matter and objectives
Article 2 Material scope
Article 3 Territorial scope
Article 4 Definitions
CHAPTER II Principles
Article 5 Principles relating to processing of personal data
Article 6 Lawfulness of processing
Article 7 Conditions for consent
Article 8 Conditions applicable to child''s consent in relation to information society services
Article 9 Processing of special categories of personal data
Article 10 Processing of personal data relating to criminal convictions and offences
Article 11 Processing which does not require identification
CHAPTER III Rights of the data subject
Section 1 Transparency and modalities
Article 12 Transparent information, communication and modalities for the exercise of the rights of the data Subject
Section 2 Information and access to personal data
Article 13 Information to be provided where personal data are collected from the data subject
Article 14 Information to be provided where personal data have not been obtained from the data subject
Article 15 Right of access by the data subject
Section 3 Rectification and erasure
Article 16 Right to rectification
Article 17 Right to erasure (‘right to be forgotten’)
Article 18 Right to restriction of processing
Article 19 Notification obligation regarding rectification or erasure of personal data or restriction of Processing
Article 20 Right to data portability
Section 4 Right to object and automated individual decision-making
Article 21 Right to object
Article 22 Automated individual decision-making, including profiling
Section 5 Restrictions
Article 23 Restrictions
CHAPTER IV Controller and processor
Section 1 General obligations
Article 24 Responsibility of the controller
Article 25 Data protection by design and by default
Article 26 Joint controllers
Article 27 Representatives of controllers or processors not established in the Union
Article 28 Processor
Article 29 Processing under the authority of the controller or processor
Article 30 Records of processing activities
Article 31 Cooperation with the supervisory authority
Section 2 Security of personal data
Article 32 Security of processing
Article 33 Notification of a personal data breach to the supervisory authority
Article 34 Communication of a personal data breach to the data subject
Section 3 Data protection impact assessment and prior consultation
Article 35 Data protection impact assessment
Article 36 Prior consultation
Section 4 Data protection officer
Article 37 Designation of the data protection officer
Article 38 Position of the data protection officer
Article 39 Tasks of the data protection officer
Section 5 Codes of conduct and certification
Article 40 Codes of conduct
Article 41 Monitoring of approved codes of conduct
Article 42 Certification
Article 43 Certification bodies
CHAPTER V Transfers of personal data to third countries or international organisations
Article 44 General principle for transfers
Article 45 Transfers on the basis of an adequacy decision
Article 46 Transfers subject to appropriate safeguards
Article 47 Binding corporate rules
Article 48 Transfers or disclosures not authorised by Union law
Article 49 Derogations for specific situations
Article 50 International cooperation for the protection of personal data
CHAPTER VI Independent supervisory authorities
Section 1 Independent status
Article 51 Supervisory authority
Article 52 Independence
Article 53 General conditions for the members of the supervisory authority
Article 54 Rules on the establishment of the supervisory authority
Section 2 Competence, tasks and powers
Article 55 Competence
Article 56 Competence of the lead supervisory authority
Article 57 Tasks
Article 58 Powers
Article 59 Activity reports
CHAPTER VII Cooperation and consistency
Section 1 Cooperation
Article 60 Cooperation between the lead supervisory authority and the other supervisory authorities concerned
Article 61 Mutual assistance
Article 62 Joint operations of supervisory authorities
Section 2 Consistency
Article 63 Consistency mechanism
Article 64 Opinion of the Board
Article 65 Dispute resolution by the Board
Article 66 Urgency procedure
Article 67 Exchange of information
Section 3 European data protection board
Article 68 European Data Protection Board
Article 69 Independence
Article 70 Tasks of the Board
Article 71 Reports
Article 72 Procedure
Article 73 Chair
Article 74 Tasks of the Chair
Article 75 Secretariat
Article 76 Confidentiality
CHAPTER VIII Remedies, liability and penalties
Article 77 Right to lodge a complaint with a supervisory authority
Article 78 Right to an effective judicial remedy against a supervisory authority
Article 79 Right to an effective judicial remedy against a controller or processor
Article 80 Representation of data subjects
Article 81 Suspension of proceedings
Article 82 Right to compensation and liability
Article 83 General conditions for imposing administrative fines
Article 84 Penalties
CHAPTER IX Provisions relating to specific processing situations
Article 85 Processing and freedom of expression and information
Article 86 Processing and public access to official documents
Article 87 Processing of the national identification number
Article 88 Processing in the context of employment
Article 89 Safeguards and derogations relating to processing for archiving purposes in the public interest, scientific or historical research purposes or statistical purposes
Article 90 Obligations of secrecy
Article 91 Existing data protection rules of churches and religious associations
CHAPTER X Delegated acts and implementing acts
Article 92 Exercise of the delegation
Article 93 Committee procedure
CHAPTER XI Final provisions
Article 94 Repeal of Directive 95/46/EC
Article 95 Relationship with Directive 2002/58/EC
Article 96 Relationship with previously concluded Agreements
Article 97 Commission reports
Article 98 Review of other Union legal acts on data protection
Article 99 Entry into force and application
內容試閱：
译者序
当本书出版之际，Facebook正在经历着或许是其成立以来最大的危机。这一切都源于2013年，Facebook允许亚历山大·科根（Alexander Kogan）在其平台上发布了一款性格测试应用-- "this is your digital life" ，并通过随机发放红包的方式大力推广，获得了30万用户的个人信息。而由于当时Facebook允许用户授权该应用获取社交关系以及好友信息，导致亚历山大·科根间接获得了额外近5000万人的数据。这些数据据称被用于了其他用户在最初授权时完全没有料到的政治用途，使Facebook成为众矢之的。当西装革履的扎克伯格在美国国会回答议员咄咄逼人的提问时，他或许后悔为什么他的公司没有在数据合规方面作出更多的努力。
但Facebook遇到的问题不是一家公司的问题，而是我们这个时代的一个缩影。随着海量个人数据的产生、传输、使用和分享，互联网应用的用户（数据主体）越来越关心其个人数据安全和隐私，采集、处理数据的公司（数据控制者和处理者）则希望有更多的自由获得大数据，并据此进行精准广告投放或产品推广。监管者则一如既往地落后于科技的发展，一方面不希望给科技和经济发展制造障碍，另一方面又要平衡个人权利和自由以及更高层面的法律价值观。但是无论如何，对数据保护方面自由放任的时代已经过去，国家和超国家立法是大势所趋。我国《网络安全法》在这方面作出了非常积极的探索和尝试。欧盟的《一般数据保护条例》 (General Data Protection Regulation, GDPR）则是在数据保护方面的另一重要立法。这部条例是在欧盟之前的立法基础上（尤其是1995年的《数据保护指令》及相关成员国国内法）历经4年多的协商和辩论后于2016年4月27日通过，并于2018年5月25日正式生效。超过两年的准备期也从一个侧面说明了GDPR本身的重要性和对相关方可能造成的影响。
GDPR创设和引入了若干重要性的理念，值得数据保护领域的相关方认真研究和应对。比如：
1.强化对数据主体的保护。GDPR要求数据主体的同意必须是具体的、清晰的，而且是在充分知情的前提下自由作出的。如果是涉及儿童的个人数据，必须获得其父母或者其他监护人的同意。更重要的是，数据主体可以随时撤回同意，数据控制者应为此提供便利。虽然GDPR允许在特定场合数据控制者出于其合法利益可以处理数据，但是必须证明其合法利益显著高于个人权利和自由。此外，数据主体还明确拥有了知情权、反对权、被遗忘权以及数据可携权。
2.数据控制者和处理者的义务。对于数据控制者，GDPR要求符合条件的控制者必须设立数据保护专员（Data Protection Officer）或者指定代表负责数据保护事宜。在设计产品和服务时必须嵌入数据保护（Compliance by Design和Compliance by Default) 。对个人数据要采取安全保障措施，包括数据的假名化；对于高风险的数据处理活动，要进行数据保护影响评估和事先协商；在发生数据泄露时，要及时通知监管机构等。
3.监管。在监管方面，GDPR试图统一监管机构，允许企业主营业机构所在地的监管机构实行一站式监管，减轻了跨国数据流动时企业的合规负担。但同时，对于违反GDPR相关规定的处理行为，该条例设置了巨额的处罚措施。对于没有取得用户同意等行为，处罚高达2000万欧元或者企业上一年度全球营业收入的4%（以较高者为准）.
对于中国企业来讲，尤其要注意的是GDPR的适用范围。一方面，对于中国企业在欧洲设立或者收购而成的子公司，无论其数据处理活动是否在欧盟境内，均需遵守GDPR。另一方面，如果中国企业为了向欧盟境内可识别的自然人提供商品和服务而收集、处理他们的信息，或者为了监控欧盟境内可识别的自然人的活动而收集、处理他们的信息，也要受GDPR的管辖。因此，对于已经在欧盟进行战略布局或者拟将业务网络拓展到欧盟的中国企业（尤其是银行、电子商务、互联网、IT企业和软硬件生产商）来讲，必须重视GDPR的合规，否则将会遭受重大的财务和声誉上的损失。
谈到GDPR的合规，是一个必要但非常复杂的过程，需要相关主体投入大量的管理、财务资源以及时间成本。对于中国企业来讲，还有一个和国内法（如《网络安全法》）合规相衔接的问题。毕竟一般企业不会为满足不同法域要求而分别制定不同的企业规章制度、操作流程、隐私政策和合同范本。我们在就网络安全、数据保护以及GDPR相关问题向中国客户提供咨询服务时，常常发现企业迫切需要了解GDPR的具体规定，而不是似是而非的解读或者介绍。但遗憾的是，我们在调查后发现目前市场上还没有一份高质量的GDPR中文译本。由于欧盟立法的执笔人多有法律专业背景，加上法律语言本身的佶屈聱牙，没有经过专业训练并熟悉相关领域的人是很难准确翻译法律文本（甚至是法学学术著作）的。在法律翻译方面，准确性无疑是排在第一位的。这也是为什么熟悉英美法律体系的专业人员多愿意直接接触英文原文，而从事跨国法律业务的律师事务所多拥有自己的专业法律翻译团队。出于这样的考虑，我们投入专业的人员和时间，对GDPR全文（包括鉴于条款和正文）进行了中文翻译，希望能为数据保护和合规领域的监管机构、学者、企业和专业人士提供一份高质量的参考资料。
在此我要感谢北京瑞栢律师事务所的专业律师和翻译团队所付出的辛劳与汗水，感谢中国欧盟商会何墨池（Harborn）主席为本书作序。同时也要感谢法律出版社的赵明霞编辑，她对于数据保护领域的直觉和兴趣，以及对本书的无私帮助，是这本书得以付梓的关键。
最后需要说明的是，数据保护是一个全新的、日新月异的领域。相关法律规范中的术语从法律角度、技术角度和管理角度可能有不同的理解。GDPR中有大量的表述有不止一种的理解和译法。我们采取了我们认为合理的表述，并不表示否定了其他的表述。我们期待与同仁就GDPR和相关问题不断进行探讨与交流。
王 景
瑞栢律师事务所高级顾问律师
序 言
Preface
Recent years have witnessed profound changes to the global personal data regulatory landscape-changes that concern individuals, regulators, businesses and academicsalike, regardless of which areas/fields they are from, and wherever they are in the world.The trend towards heightened protection of personal data is rapidly increasing, with more and more countries adopting and strengthening corresponding rules.Indeed, over 100 countries now have such data protection rules.
近年来，全球个人数据监管格局发生了深刻的变化，这些变化涉及各个领域及世界各地的个人、监管者、企业和学者等。随着越来越多的国家采取和加强相应的规则，强化个人数据保护的趋势正在迅速上升。事实上，目前已经有100多个国家制定了这样的数据保护规则。
With the General Data Protection Regulation (GDPR) scheduled to take effect on 25th May 2018, the European Union (EU) has drawn the world’s attention, not only as it sets relatively high and strict data protection standards, but also as it will have a global impact, applying to businesses all over the world that have operations in the EU.The GDPR is the result of many considerations.These include certain abuses of personal data witnessed since 1995 under the EU Data Protection Directive 95/46/EC-which is being replaced by the GDPR-globalisation and technical advancement in general, and the growing distrust of individuals towards data protection and security.
随着《一般数据保护条例》于2018年5月25日的生效，欧盟受到世界的关注。这不仅是因为该条例设定了较高和相对严厉的个人数据保护标准，而且由于其具有全球性影响，适用于全世界范围内所有面向欧盟从事经营活动的企业。《一般数据保护条例》是在充分考虑大量因素后出台的，这些因素包括自1995年以来违反95/46/EC号指令（《欧盟数据保护指令》，该指令将被《一般数据保护条例》取代）的滥用个人数据行为、全球化和技术进步，以及个人对数据保护和安全的日益不信任。
I recall Meglena Kuneva, the then European Consumer Commissioner, saying in a speech in 2009 that, "Personal data is the new oil of the internet and the new currency of the digital world." Many have since further pointed out that, unlike oil, the value of which increases with quantity, the value of data does not increase by volume alone.In order to maximise their value, data must be collected, assessed and analysed, and should be allowed to flow freely across borders, provided that reasonable safeguards are in place.
我记得欧委会消费者事务委员Meglena Kuneva女士曾在2009年的一次演讲中说过：“个人数据是互联网的新能源、数字世界的新货币。”此后更多人又指出，石油的价值随着数量增长，而数据的价值并不单纯随着数量的增加而增加。为了将数据的价值最大化，就必须对数据进行收集、评估和分析，并允许数据跨境自由流动，前提是要制定合理的保护措施。
European authorities have recognized the paramount importance to strike a proper balance between guaranteeing personal data protection and security on the one hand, while still enabling the use of personal data to boost business competitiveness and modernise society in an effective manner on the other.In addition, the GDPR has also embraced and banked on the fact that we now live in a borderless digital world, in which data protection rules can have a broader scope and an extraterritorial reach.Rules in one jurisdiction will impact not only domestic and foreign companies based there, but also companies based in others.
欧洲当局已经认识到寻求平衡的重大意义，一方面要保证个人数据的保护和安全，另一方面应允许使用个人数据来有效促进商业竞争和社会的现代化。此外，《一般数据保护条例》也接受并相信，我们当前处于一个无边界的数字化世界之中，在这样的世界中数据保护规则可以有更广的适用范围并且可延伸至域外。某一国家或地区的规则将不仅影响其境内的内外资企业，而且也将对位于其他国家或地区的企业产生影响。
In such a borderless digital world, where data must flow, I am convinced that it is possible through further examination of the international data-transfer toolkit, to ensure smooth cross-border data transfers while guaranteeing an adequate level of protection, without hampering innovation and trade.
在这样一个数据必须流动的无边界数字化世界中，我相信，通过对国际数据传输工具的进一步审查，是有可能在保证充分保护水平的情况下确保数据跨境流动顺利进行，同时不会妨碍创新和贸易。
In this regard, although often considered a strict piece of legislation, the GDPR does provide the flexibility for a number of exceptions, such as the binding corporate rules (BCR) for intercompany transfers, the standard contractual clauses for transfers between co-contractors, and allowing data controllers to pursue "compelling legitimate interests" .Such flexibility is essential not only for any activity in our globalised world, but also to unleash the full potential of the data economy.The EU undeniably understands the necessity to ensure cross-border data flows, as was again confirmed in 2017, when the European Commission (EC) issued a very ambitious regulation proposal to ensure the free flow of non-personal data within the EU.
对此，虽然《一般数据保护条例》通常被认为是一项严厉的立法，但其却确实规定了一些灵活的例外情况，例如公司内部之间传输的约束性企业规则、联合承包商之间数据传输的标准合同条款，以及允许数据控制者为“谋求正当利益”传输数据。这些弹性规定不仅对于我们这个全球化世界中的任何活动，而且对于释放数据经济的全部潜力而言都是必要的。欧盟坚定地理解确保数据跨境流动的必要性，并在2017年再次对此进行确认，当时欧洲委员会发布了一项非常雄心勃勃的法规建议来确保非个人数据在欧盟内部的自由流动。
Greatly influenced by the GDPR, discussions on what is the best way to formulate data protection rules are taking place at both national and international levels, to my great pleasure, as better legislation and regulation can only be achieved through constant exchange between all stakeholders.
受到《一般数据保护条例》的极大影响，关于制定数据保护规则最佳方法的讨论在国家和国际层面已然展开。我对此感到非常高兴，因为更好的立法和监管只有通过所有利益相关者之间的经常性交流才能实现。
With the GDPR’s implementation date drawing near, translating it into Chinese iswithout any doubt a very important undertaking that will be beneficial to all.It will pave the way for China businesses with operations in the EU to better understand and approach their European data handling, while allowing for even wider discussion among Chinese regulators, academics and businesses.It is one step further towards better compliance, and towards countries further learning from each other, building upon each other’s experiences and best practices, so that eventually all can benefit from data protection rules that are clearer, more predictable and conducive to healthy industry development.
随着《一般数据保护条例》的实施日期临近，将其翻译成中文无疑是一项非常重要且对所有人有益的工作，这将为面向欧盟从事经营活动的中国企业铺平道路，使其更好地了解和进行欧盟个人数据处理，同时也能够使中国监管者、学者和企业之间进行更广泛的讨论。这意味着朝更完善的合规以及国家之间互相学习、互相汲取经验和最佳实践又迈进了一步；所有人最终都将受益于更加清晰、更具有可预见性和更有利于行业健康发展的数据保护规则。
I therefore thank the Rui Bai Law Firm and the Law Press for taking the initiative, and for the amount of time and energy they have invested in this meaningful project.
因此，对于瑞栢律师事务所和法律出版社率先承担这一工作，并为此富有意义的项目所付出的时间和精力，我深表感谢。
Mats Harborn
President, European Union Chamber of Commerce in China
何墨池
中国欧盟商会主席
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