Procedures of Shanghai Municipality on the Management of Public Credit Information Collection and Use

 2018-10-18  1099


(Promulgated by Decree No. 38 of Shanghai Municipal People's

Government on December 30, 2015)

 

Chapter I  General Provisions

 

Article 1 (Purposes and Basis)

With a view to standardizing the collection and use of public information, enhancing the level of social credit and creating a good social faith environment, these Procedures are formulated in accordance with the Plan for the Construction of Social Credit System (2014-2020) under the State Council and other provisions, and in the light of the actual circumstances of this Municipality.

Article 2 (Scope of Application)

These Procedures apply to the collection, use and related management activities of public credit information within the administrative areas of this Municipality.

The public credit information mentioned in these Procedures refers to the data and information that can be used to identify the credit status of the natural persons, legal persons and other organizations (hereinafter referred to collectively as the information subjects ) produced or obtained in the process of performing their duties or providing services by the organizations with the functions of public affairs management authorized by the administrative organs, judicial organs and laws and regulations and public enterprises, institutions and mass organizations.

Article 3 (Principles)

For the collection and use of public credit information, the principle of legality, safety, timeliness and accuracy shall be followed; the legitimate rights and interests of the subjects shall be maintained; the state secrets shall not be disclosed, and trade secrets and personal privacy shall not be violated.

Article 4 (Management Department)

The municipal economic informatization department is the competent administrative department for the work of collection and use of public credit information, responsible for the organization and implementation of these Procedures, carrying out the following functions:

1. formulating, publishing the management systems related to the collection and use of public information;

2. guiding and examining the work of collecting and using public credit information by relevant departments; and

3. guiding and supervising the construction and operation of service platform of Shanghai public credit information (hereinafter referred as the municipal credit platform), and the professional work of the Shanghai Public Credit Information Service Center (hereinafter referred as the Municipal Credit Center).

Article 5 (Platform Construction)

The municipal credit platform is the unified platform for collection and inquiry of public credit information in this Municipality, and the Municipal Credit Center is responsible for its construction, operation and maintenance.

For the collection and use of public credit information, the unified social credit codes shall be adopted as the credit information identification for associating and matching the credit information of the information subjects. Among them, the unified social credit codes for natural persons are their ID card numbers; and for the legal persons and other organizations, their unified social credit codes are their sole institutional codes issued by the registration departments.

Article 6 (Responsibilities of the Municipal Credit Center)

The Municipal Credit Center shall perform the following duties:

1. collecting, organizing and preserving the public credit information;

2. providing information services, handling objection applications;

3. providing services such as statistical analysis, monitoring and early warning for the administrative organs; and

4. implementing relevant provisions of the State and this Municipality concerning information security.

Article 7 (Responsibilities of Information Providing and Inquiring Units)

The organizations with the functions of public affairs management authorized by the administrative organs and laws and regulations, and public enterprises, institutions and mass organizations that provide public information to the municipal credit platform (hereinafter referred to as the information providing units), shall in accordance with the law do a good job in the records, maintenance, submission, objection handling of public information, and information security work of their units, and formulating relative management systems.

The administrative organs, mass organizations, credit services that inquire of the municipal credit platform public information (hereinafter referred to as the information inquiring units), shall in accordance with the law carry out the activities of public information inquiries, applications and maintenance, protect the information security of the information subjects, and formulate relative management systems.

Article 8 (Performance Appraisal)

The Municipal and district/county people's governments shall take the collection and use of public credit information as the appraisal contents of the governmental departments at the same level and the governments and their heads at lower levels.

 

Chapter II  Information Collection

 

Article 9 (Sources of Information)

The information providing units shall provide the municipal public credit information platform with the public credit information that they have produced or obtained in the following ways:

1. Where they have already provided the information to the municipal corporate information sharing and use system, the municipal actual resident population information management system, the enterprise credit information publicity system and other information systems, the related information systems shall be responsible for their connection with the public credit information platform; and

2. In case of a failure to collect information via the above-mentioned information systems, they shall provide the information on a monthly basis to the municipal public credit platform, and achieve the gradual realization of real-time online provision and dynamic update and maintenance of the information.

The Municipal Credit Center shall set up jointly with the judiciary units and central units in Shanghai the mechanisms of public credit information collection and collect the public credit information generated in the relative fields.

Article 10 (Scope of Public Information)

Public information includes the basic information, discredit information, and other information of natural persons reaching the age of 18, legal persons and other organizations.

Article 11 (Basic Information)

The basic information of legal persons and other organizations include the following:

1. the names, legal representatives or heads, unified social credit code and other registration information;

2. the administrative licensing information for obtaining qualifications;

3. information of certification and accreditation obtained for products, services, management systems; and

4. other information that reflects the enterprises' basic situation.

The basic information of natural persons includes the following:

1.the names, ID numbers ;

2. the employment status, educational attainment, marital status; and

3. the administrative licensing information for obtaining qualifications.

Article 12 (Discredit Information)

The discredit information of legal persons and other organizations include the following:

1. the information of unpaid taxes and social insurance;

2. the information of payment default for administrative fees and government funds;

3. the information of providing false materials, of violating the informed commitment system;

4. the information of administrative punishments based on the general procedures and the information of compulsory administrative execution;

5.the information of refusing or failing to demolish the illegal construction within a time limit in accordance with the supervision department's order, or the information of refusing or failing to make other corrections in accordance with the supervision department's order;

6. the information of accidents of product quality, production safety, food safety and environmental pollution handled by the supervision departments;

7. the information of being prohibited from entering certain industries by the supervision departments; and

8. other discredit information provided by the State and this Municipality.

The discredit information of natural persons, besides the information listed in the items of 3, 4, 5 and 7 of the preceding clause, includes the following:

1. the information of tax arrears;

2. the information of fare evasion such as using other persons' documents or forged documents while travelling on public transport vehicles, the information of lingering in the public transport vehicles without good reasons and affecting their normal driving in tourism activities;

3. the information of obtaining insurance benefits by fraudulence or forging documents or other means of cheating, the information of lingering in medical institutions without good reasons and affecting their normal orders while meeting the discharge or referral criteria;

4. the information of cheating while participating in the unified examinations organized by the State or this Municipality; and

5. other discredit information provided by the State and this Municipality.

Article 13 (Additional Information)

The additional information of natural persons, legal persons and other organizations include the following:

1. the information of receiving recognition and awards granted by the people's governments at all levels and their departments and by mass organizations;

2. the information of participating in the activities of volunteer service and charitable contribution conducted by the people's governments at all levels and their departments and mass organizations;

3.the information of criminal conviction, the information of effective judgment of civil and commercial affairs related to property disputes, the information of failing to perform effective judgment;

4. the information of arrears of water, electricity, gas, and other public utilities and failing to make payments over 6 months after notice; and

5. other discredit information provided by the State and this Municipality.

Article 14 (Restrictions of Information Collection)

The collection of information of religion, DNA, fingerprints, blood types, diseases and medical histories of natural persons shall be prohibited, and the collection of other information of natural persons prohibited by laws and regulations shall be prohibited as well.

Article 15 (Information Directory)

The municipal economic informatization department shall organize the information providing units, in accordance with the scope of information provided in Article 10 to Article 13 of these Procedures, to compile on an annual basis the directories of public credit information of this Municipality and release them to the public. The directories of public credit information include the entries such as specific contents, entry rules, inquiry terms, and degree of public access. 

Article 16 (Degree of Public Access)

The public credit information includes public accessible information and public inaccessible information.

The following information belongs to the public accessible information:

1. the information that has been released by information providing units via government gazettes, news conferences, the Internet, as well as released via the press, radio, television or any other means according to law; and

2. other information that shall be disclosed to the public according to laws, rules and regulations.

The information other than those provided in the preceding clause, belongs to the public inaccessible information. The information subjects themselves or those authorized by the information subjects may inquire the public inaccessible information.

Article 17 (Guide Directory of Credit Information Classification)

The information proving units shall conduct classification for the credit status of the subjects reflected in the public credit information provided by them. The municipal economic informatization department shall collect the credit classification information and prepare the guide directories of credit information classification of this Municipality, and release them to the public.

 

Chapter III  Information Inquiry

 

Article 18 (Government Inquiry)

The administrative organs shall inquire the public credit information while performing the following duties:

1. the regulatory matters in the fields of development and reform, food and drug, product quality, environmental protection, work safety, construction work, transportation, industry and commerce administration, mass organization management, security management, population management , intellectual property, and other fields;

2. the matters in the fields of government procurement, government purchase of services, bidding, state-owned land transfer, policy support, scientific research, administration management and other matters;

3. the matters in the fields of personnel recruiting, post appointment, promotion, recognition and award and other matters; and

4. other matters that need to inquire the public credit information.

The administrative organs shall, in accordance with the principle of reasonable administration, determine the scope of credit information associated with the administrative matters of the departments. The municipal economic informatization department shall collect the credit information and prepare the application directories of credit information, and release them to the public.

Article 19 (Government Inquiry Procedure Norms)

The administrative organs shall establish norms for the public credit information inquiry systems, set inquiry rights and procedures for the departments' staff, and create inquiry logs, recording the names of the inquiry persons, the inquiry time, inquiry contents and applications. The inquiry logs shall be saved for long-term preservation.

Article 20 (Social Inquiries)

The Municipal Credit Center shall develop and publish service norms and provide convenient access service to the public by means of service windows, platforms websites, mobile terminals and application software.

For inquiring one's own inaccessible information, the person himself/herself shall provide valid identifications; for inquiring the other's inaccessible information, the person shall provide his/her own identification and the written proofs of authorization by the subjects. For inquiring public accessible information, there is no need of provision of related proof materials.

Under the premise of information security, the Municipal Credit Center may, by opening ports or in other ways, provide the batch inquiry service adapted to the business needs of credit services.

 

Chapter IV  Information Application

 

Article 21 (Application Standards and Norms)

The administrative organs shall, in accordance with their administrative duties, combining with the management practice of relevant areas, formulate the standards and norms of public credit information application, and release them to the public.

The administrative organs shall take corresponding incentive and disciplinary measures according to the application standards and norms and on the basis of the credit status of the subjects.

Article 22 (Incentive Measures)

For the natural persons, legal persons and other organizations of good credit status, the administrative organs, under the same conditions, take the following incentive measures according to the law:

1. providing them with the facilities of simple procedures, priorities for handling and other conveniences in the course of administration and public services;

2. listing them as the preferred objects in the supporting policy activities of financial subsidies and preferential tax;

3. listing them as the preferred objects in the activities of government procurement, government purchasing services, bidding for government investment projects and state-owned land transfer; and

4. taking other measures allowed by the provisions of the State and this Municipality.

Article 23 (Disciplinary Measures)

For the natural persons, legal persons and other organizations of poor credit status, the administrative organs shall take the following disciplinary measures according to law:

1. listing them as the key regulatory objects in the day-to-day supervision, increasing the frequency of checks and strengthening the on-site inspection;

2. listing them as the key regulatory objects in administrative licensing, annual inspection and verification;

3. cancelling the administrative facilitation measures that they have enjoyed already;

4. restricting them from enjoying the supporting policies of financial subsidies and preferential tax;

5. restricting them from participating in the activities of government procurement, government purchase of services, bidding for government investment projects, and state-owned land transfer;

6. restricting them from participating in various kinds of recognition and award activities organized by governments;

7. restricting them from acting as the legal representatives, responsible persons or senior managers of enterprises; and

8. taking other measures allowed by the provisions of the State and this Municipality.

Article 24 (List of Serious Discredit)

The administrative organs shall prepare directories for the natural persons, legal persons and other organizations with particularly serious discredit according to the needs of their duty performance, take the no market-admission measures such as no permission of registration,according to law, or take the measures of compulsory withdrawal from the market such as canceling their qualification, revoking their business licenses and other market measures according to law.

The administrative organs shall release the identification standards for particularly serious discredit to the public.

Article 25 (Social Application Encouragement)

Natural persons, legal persons and other organizations are encouraged to apply the public credit information when conducting the activities such as financial activities, market transactions, corporate governance, industry management, social welfare and other activities, so as to guard against trade risks, promote industry self-regulation and promote the formation of market-oriented incentive and restraint mechanisms.

The credit service organizations are encouraged to apply the public information, develop and innovate credit products, and expand the application range of credit products. This Municipality supports the credit service organizations to develop their credit products.

 

Chapter V  Rights and Interests Protection

 

Article 26 (Credit Security Responsibilities of the Municipal Credit Information Center)

The Municipal Credit Center shall establish the norms for the internal information security management system, make clear post responsibilities, set inquiry rights and procedures for the inquiring staff, create collecting and inquiring logs of public credit information and keep them for long-term preservation, guarantee the normal operation of the municipal credit platform and the security of the information.

Article 27 (Information Removal)

The time limit of credit information inquiry is 5 years from the date of termination of the discredit acts or events, except as otherwise provided by the State or this Municipality. After the time limit of inquiry, the Municipal Credit Center shall remove the information from the inquiry interface.

The information subjects may request the credit platform to remove their information of recognition and award, volunteer service and charitable contribution. The Municipal Credit Center shall remove the related information in two working days from the date of receiving the notification, and inform the information providing units.

Article 28 (Objection Application)

The information subjects may raise objections in writing to the Municipal Credit Center, and provide relevant evidence when they believe that there exist the following circumstances in the public credit information recorded on the public information platform:

1. there exiting an error or omission in the records of one's public credit information;

2. violating one's trade secrets and personal privacy; and

3. failing to remove the discredit information beyond the time limit of inquiry.

Article 29 (Objection Handling)

The Municipal Credit Center shall make information comparison in two working days from the date of receiving the objection. Where there actually are inconsistencies between the recorded information of the municipal credit platform and the information provided by the information providing units, the Municipal Credit Center shall make correction and notify the information subjects. Where the recorded information of the municipal credit platform is consistent with the information provided by the information providing units, the Municipal Credit Center shall transfer the objection application to the information providing units, and notify the information subjects.

The information providing units shall make verification in 5 working days from the date of receiving the objection. Correction shall be made when the objection is justified, and verification results shall be sent to the Municipal Credit Center. The Municipal Credit Center shall handle the matter timely and notify the information subjects.

Article 30 (Objection Labeling)

Where objections are in the handling process, or the objections have already been handled but the information subjects still have objections, the Municipal Credit Center shall label the information when providing the information inquiry.

Where the information providing units fail to make verification for the objected information according to the regulations, and send the handling results to the Municipal Credit Center, the Municipal Credit Center shall suspend the information inquiry thereof services to the public.

Article 31 (Confidentiality Obligations)

The information providing units, information inquiry units, the Municipal Credit Center and their staff shall not commit the following acts:

1. inquiring public credit information beyond their authorities;

2. tampering with, fabricating or removing illegally the public credit information;

3. disclosing public credit information whose disclosure is unauthorized;

4. disclosing the public credit information that related to the State secrets, business secrets and personal privacy; and

5. committing other acts prohibited by laws, rules and regulations.

 

Chapter VI  Legal Liability

 

Article 32 (Administrative Liabilities)

Where the administrative organs and their staff commit one of the following acts, and cause serious consequences, warning shall be given to the persons in charge directly responsible and other directly responsible persons by their own units or by the competent authorities at higher levels; for serious cases, they shall be given the sanction of demerit recording or major demerit recording:

1. failing to collect public credit information according to the regulations in violation of the Item 2 of Clause 1 of Article 9 of these Procedures;

2. failing to inquire the public credit information in related activities in violation of the provision of Clause 1 of Article 18 of these Procedures; or

3. failing to establish the norms for the units' public credit information inquiry systems, failing to create or keep the inquiry logs for long-term preservation in violation of the provision of Article 19 of these Procedures.

Where the administrative organs and their staff commit one of the following acts, and cause serious consequences, the sanction of warning, demerit recording or major demerit recording shall be given to the persons in charge directly responsible and other directly responsible persons by their own units or by the competent authorities at higher levels; for relatively serious cases, they shall be given the sanction of demotion or removal from office; for serious cases, they shall be given the sanction of expulsion:

1. failing to handle the objection application in violation of Clause 2 of Article 29 of these Procedures; or

2. failing to perform the obligation of confidentiality in violation of the provision of Article 31 of these Procedures.

Article 33 (Legal Liability of the Municipal Credit Center)

Where one of the following circumstances occurs to the Municipal Credit Center and its staff, the order of timely rectification and warning shall be given to them by the municipal economic information department; where losses are caused to the information subjects, they shall bear civil liabilities according to law; where such acts constitute crimes, their criminal responsibility shall be prosecuted according to law:

1. collecting natural persons' information whose collection is prohibited in violation of the provision of Article 14 of these Procedures;

2. failing to perform the responsibilities of information security in violation of the provision of Article 26 of these Procedures;

3. failing to remove the credit information beyond the time limit of inquiry in violation of the provision of Article 27 of these Procedures;

4. failing to handle the objection application according to regulations, or failing to label the objected information in violation of the provisions of Clause 1 of Article 29 and Article 30 of these Procedures; or

5. falling to perform the obligation of confidentiality in violation of the provision of Article 31 of these Procedures.

Article 34 (Legal Liabilities of Other Subjects)

Warnings shall be given by the municipal economic information department to those forging or altering the proofs of authorization of the information subjects, obtaining otherspublic inaccessible information in violation of the provision of Clause 2 of Article 20 of these Procedures; where losses are caused to the information subjects, they shall bear civil liabilities according to law; where such acts constitute crimes, their criminal responsibility shall be prosecuted according to law.

Where credit service organizations forge or alter the proofs of authorization of the information subjects, obtain otherspublic inaccessible information in violation of the provision of Clause 2 of Article 20 of these Procedures, or fail to perform the obligation of confidentiality in violation of the provision of Article 31 of these Procedures, warnings shall be given to them and the credit services association shall be informed of the matter by the municipal economic information department. For those who have obtained the batch inquiry rights through the municipal credit platform, such rights shall be cancelled by the Municipal Credit Center; where losses are caused to the information subjects, they shall bear civil liabilities according to law; where such acts constitute crimes; their criminal responsibility shall be prosecuted according to  law.

Where the public enterprises and institutions fail to handle the objection application according to regulations in violation of the provision of Clause 2 of Article 29 of these Procedures, or fail to perform the obligation of confidentiality in violation of the provision of Article 31 of these Procedures, exhortation shall be given by way of interviews, by the municipal economic information department; for serious cases, warnings shall be given to them; where losses are caused to the information subjects, they shall bear civil liabilities according to law; where such acts constitute crimes, their criminal responsibility shall be prosecuted according to law.

 

Chapter VII  Supplementary Provisions

 

Article 35 (Meaning of the Relative Terms)

The public enterprises and institutions mentioned in these Procedures refer to the public enterprises and institutions of social public services closely related with the interests of the masses such as those providing water, electricity, gas, transport, health care and other public services to the public.

Article 36 (Application as Reference)

These Procedures may apply as reference to the collection and use of the credit information produced or obtained by the industry associations and other social organizations within the administrative areas of this Municipality.

Article 37 (Effective Date)

These Procedures shall be effective as of March 1, 2016.