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第三节
导读

欧盟隐私和数据保护法律框架对解决大数据对个人权利和自由的负面影响的潜力,以及如何改进保护的问题,本书分四章进行了回答,并得出了结论。第二章阐述了大数据及其(积极和消极)影响。第三章和第四章分析了欧盟的隐私和数据保护法律框架,分为基本权利层面和欧盟次级立法层面。第五章讨论了解决前几章所确定的保护缺陷的其他规制措施。

第二章是关于作为一种迭代处理活动流程的大数据,该章概括了“大数据”一词的发展及其多种定义,并给出了三个实例。进而将大数据界定为一个可划分为三阶段的流程:数据获取、数据分析和分析结果的应用。流程论的观点有助于阐明大数据的新特点,为大数据的规范分析和法律分析奠定基础。本章的第二部分阐述了大数据对个人权利和自由的影响。先对大数据的积极潜力进行简短的概述,然后更详细地描述了大数据对个人自治、隐私和数据保护、言论自由和非歧视的负面影响。这些个人权利和自由为检验欧盟现行法律框架和可能的替代解决方案提供了架构。

第三章分析了欧洲委员会管辖范围(《欧洲人权公约》)和欧盟管辖范围(《欧盟基本权利宪章》)中隐私和数据保护的基本权利。通过对每个司法管辖区的分析,针对大数据处理过程及其对个人权利和自由可能产生的负面影响,即大数据中不同处理行为以及隐私和数据保护权的赋权功能,对权利的内容进行比较。通过比较得出欧盟大数据隐私和数据保护权的规范概念。

第四章关注欧盟数据保护规则,即立法、次级宪法法律,在大数据环境下保护个人的能力。重点是直接影响欧盟数据保护法在保护个人权利和自由方面能力的数据保护的核心内容。首先探讨欧盟数据保护法的实质性适用范围,因为它决定了该法规的适用性,同时也揭示了在大数据保护方面存在的一些缺陷。其次是实质性的数据保护规范,如第二章有关大数据的内容所述,这些数据保护规范是根据其对大数据的负面影响的相关性和潜力而选择的。本部分将分为透明度、控制和风险消减等主题。第五节简要讨论了大数据背景下数据保护法的救济、责任、处罚和执行。最后对数据保护法的潜力和局限性进行了评估,分析了保护框架的缺陷,得出了大数据背景下数据保护发挥何种作用的结论。

第五章展望未来,探讨可能的解决办法,评估是否需要采取新的立法措施,以填补保护方面的空白。本章对目前流行的说法进行了概括,简要分析了竞争法、消费者保护法、反歧视立法以及针对具体行业或问题的监管干预措施是否可以成为保护个人免受大数据负面影响的辅助手段,提出了进一步研究的建议和应予关注的领域。

在第六章的结论中,总结了前几章的研究成果,并对未来的研究进行了展望。本章和本书的结尾讨论了这一结论的含义。

注释

[1] . 尽管大数据项目处理大量个人数据,但处理个人数据并非大数据项目的必然选择。参见有关不涉及个人数据的大数据助力于预防全球饥饿问题的例证。Paul Rubens,‘Can Big Data Crunching Help Feed the World?’ (BBC News) <www.bbc.com/news/business-26424338> accessed 24 April 2015.另可参见有关大数据在石油和天然气产业中潜力的讨论:Robert K Perrons and Jesse W Jensen,‘Data as an Asset: What the Oil and Gas Sector Can Learn from Other Industries about “Big Data”’(2015)81 Energy Policy 117。

[2] . John Christman,‘Autonomy in Moral and Political Philosophy’ in Edward N Zalta(ed), The Stanford Encyclopedia of Philosophy (Spring 2015,Metaphysics Research Lab,Stanford University 2015)<plato.stanford.edu/archives/spr2015/entries/autonomy-moral> accessed 8 December 2016.

[3] . Nelleke Koffeman,‘(The Right to)Personal Autonomy in the Case Law of the European Court of Human Rights’(Leiden University 2010)55—56.(个人)自治的定义有多种方式,参见Gerald Dworkin, The Theory and Practice of Autonomy (Cambridge University Press 1988)3—6,20,但在本书中,个人自治的概念与欧洲人权法院的判例法有关,参见 Pretty v UK [2002] ECtHR 2346/02[61—62]。

[4] . Nelleke Koffeman,‘(The Right to)Personal Autonomy in the Case Law of the European Court of Human Rights’(Leiden University 2010)6—7,62—64;Bernadette Rainey,Elizabeth Wicks and Clare Ovey, Jacobs,White and Ovey: The European Convention on Human Rights (Oxford University Press 2014)383.另可参见本书第三章第五节的相关内容。

[5] . See amongst others Beate Rössler,The Value of Privacy(Polity Press 2005);Paul Bernal, Internet Privacy Rights: Rights to Protect Autonomy (Cambridge University Press 2014).

[6] . Gloria González Fuster, The Emergence of Personal Data Protection as a Fundamental Right of the EU (Springer International Publishing 2014)75—94;Bert-Jaap Koops,‘The Evolution of Privacy Law and Policy in the Netherlands’(2011)13 Journal of Comparative Policy Analysis: Research and Practice;Lee Bygrave, Data Privacy Law: An International Perspective (Oxford University Press 2014).

[7] . See for such conceptualisations amongst others Ferdinand David Schoeman(ed), Philosophical Dimensions of Privacy: An Anthology (Cambridge University Press 1984);Daniel J Solove, Understanding Privacy (Harvard University Press 2008);Adam D Moore, Privacy Rights: Moral and Legal Foundations (Pennsylvania State University Press 2010).

[8] . 私人生活与隐私可以互换使用,有关该术语的用法和可互换性的更多信息,请参见Gloria González Fuster, The Emergence of Personal Data Protection as a Fundamental Right of the EU (Springer International Publishing 2014),特别是与《欧洲人权公约》有关的第81—84页的内容。

[9] . The Bavarian Lager v European Data Protection Supervisor [2007] CJEU T-194/04[118—119];Maria Tzanou,‘Data Protection as a Fundamental Right next to Privacy? “Reconstructing” a Not so New Right’[2013] International Data Privacy Law 88,90;Gloria González Fuster, The Emergence of Personal Data Protection as a Fundamental Right of the EU (Springer International Publishing 2014)205.

[10] . Cf. Gesetz zum Schutz vor Missbrauch personenbezogener Daten bei der Datenverarbeitung 1977;Loi n° 78—17 du 6 janvier 1978 relative à l'informatique,aux fichiers et aux libertés 1978;OECD Guidelines on the Protection of Privacy and Transborder Flows of Personal Data 1980;Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the protection of individuals with regard to the processing of personal data and on the free movement of such data 1995(OJ L281/31);Convention for the Protection of Individuals with regard to Automatic Processing of Personal Data 1981;Paul De Hert and Serge Gutwirth,‘Data Protection in the Case Law of Strasbourg and Luxemburg: Constitutionalisation in Action’, Reinventing Data Protection? (Springer 2009)5—8.

[11] . Paul De Hert and Serge Gutwirth,‘Privacy,Data Protection and Law Enforcement. Opacity of the Individual and Transparency of Power’, Privacy and the Criminal Law (Insertia 2006)67—80.

[12] . 只有数据保护权被适用的案例及论述可参见SABAM/Netlog[2012] CJEU C-360/10[48]; Commission v Hungary [2014] CJEU C-288/12[47]。另见Juliane Kokott and Christoph Sobotta,‘The Distinction between Privacy and Data Protection in the Jurisprudence of the CJEU and the ECtHR’(2013)3 International Data Privacy Law 222,223—224。

[13] . S and Marper v UK [2008] ECtHR 30562/04 and 30566/04[76]; Rotaru v Romania [2000] ECtHR 28341/95[43—44]; PG and JH v UK [2001] ECtHR 44787/98[57].

[14] . Rotaru v Romania [2000] ECtHR 28341/95[43].

[15] . Volker und Markus Schecke and Eifert [2010] CJEU C-92/09 and C-93/09[52]; Digital Rights Ireland [2014] CJEU C-293/12 and C-594/12[62]; Schrems [2015] CJEU C-362/14 39.

[16] . Bernadette Rainey,Elizabeth Wicks and Clare Ovey, Jacobs,White and Ovey: The European Convention on Human Rights (Oxford University Press 2014)161.

[17] . 《欧洲人权公约》第14条规定的非歧视权是一项“寄生”权利,因为它只适用于人们在享有《欧洲人权公约》所规定的基本权利受到歧视的情形。但是,欧洲人权法院的判例法以及《第12号议定书》第1条一般扩大了不因上述理由而受歧视的权利的范围。See David Harris and others, Harris,O'Boyle & Warbrick: Law of the European Convention on Human Rights (Oxford University Press 2014)784,819—821.

[18] . Bernadette Rainey,Elizabeth Wicks and Clare Ovey, Jacobs,White and Ovey: The European Convention on Human Rights (Oxford University Press 2014)577.

[19] . European Union Agency for Fundamental Rights, Handbook on European Non-Discrimination Law (Publications Office of the European Union 2011)64—78.

[20] . Christina Eckes,‘European Union Legal Methods—Moving Away from Integration’ in Ulla Neergaard and Ruth Nielsen(eds), European Legal Method—Towards a New European Legal Realism? (Djøf Publishing 2013)166—168.

[21] . Mark van Hoecke, Methodologies of Legal Research—Which Kind of Method for What Kind of Discipline? (Mark van Hoecke ed,Hart Publishing 2011)vi.

[22] . Jean-Paul Jacqué,‘The Charter of Fundamental Rights and the Court of Justice of the European Union: A First Assessment of the Interpretation of the Charter's Horizontal Provisions’ in Frederico Casolari and Lucia Serena Rossi(eds), The EU after Lisbon (Springer 2014). See for an example in the area of data protection law Google Spain [2014] CJEU C-131/12.

[23] . David Harris and others, Harris,O'Boyle & Warbrick: Law of the European Convention on Human Rights (Oxford University Press 2014)34—37.

[24] . Konrad Zweigert and Hein Kötz, Introduction to Comparative Law (Tony Weir tr,Clarendon Press 1998)1—47.

[25] . Esin Örücü,‘Methodology of Comparative Law’ in Jan Martien Smits(ed), Elgar encyclopedia of comparative law (Elgar 2006)442—454.

[26] . Terry Hutchinson,‘Doctrinal Research: Researching the Jury’ in Dawn Watkins and Mandy Burton(eds), Research methods in law (Routledge 2013)9—15.

[27] . Vienna Convention on the Law of Treaties 1969; Golder v UK [1975] ECtHR 4451/70[29].

[28] . Jean-Marc Sorel and Valérie Boré Eveno,‘Article 31’, The Vienna Conventions on the Law of Treaties: A Commentary (Oxford University Press 2011)825;Article 52(7)Charter;Explanations Relating to the Charter of Fundamental Rights 2007.

[29] . Mark van Hoecke,‘Legal Doctrine: Which Method(s)for What Kind of Discipline?’ in Mark van Hoecke(ed), Methodologies of Legal Research—Which Kind of Method for What Kind of Discipline? (Hart Publishing 2011)11—17.

[30] . 参见在数据保护法和大数据的语境下对这一论点的强调。Lokke Moerel and Corien Prins,‘Privacy Voor de Homo Digitalis: Proeve van Een Nieuw Toetsingskader Voor Gegevensbescherming in Het Licht van Big Data En Internet of Things’, Homo Digitalis (Wolters Kluwer 2016)55—61. ePA2axRS590oSnN47TUIZpP1BVFiv2ACHY0MJgjKbxm2GT+o0W3DrMpx5bylGBtP

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