(December 31, 2022)

SMEITC D [2022] No. 12

All departments concerned：

With a view to implementing the Regulations of Shanghai Municipality on Data and the Interim Procedures of Shanghai Municipality for Open Public Data, facilitating the deeper and higher-level opening of public data, and supporting the digital transformation of Shanghai Municipality, we hereby formulated the Implementation Rules of Shanghai Municipality on Open Public Data and transmit them to you. You are required to implement them conscientiously.

Implementation Rules of Shanghai Municipality on Open Public Data

Chapter I  General Provisions

Article 1 (Purpose and Basis)

With a view to promoting and standardizing the opening, access, utilization and security management of public data in this Municipality, facilitating the wider, deeper and higher-quality opening of public data, and deeply empowering the digital transformation of this Municipality in various fields of governance, economy, and life these Implementation Rules are formulated in accordance with the Regulations of Shanghai Municipality on Data and the Interim Procedures of Shanghai Municipality on Open Public Data and in the light of the actual circumstances of this Municipality

Article 2 (Scope of Application)

These Rules shall apply to activities such as opening, access, utilization, and security management of public data in the administrative areas of this Municipality. Where laws, rules and regulations provide otherwise, such provisions shall prevail.

Article 3 (Definition)

The term "public data" as mentioned in these Rules refers to the data collected and generated by state organs and public institutions in this Municipality, organizations authorized by law to have the function of managing public affairs, and organizations that provide public services such as water supply, power supply, gas supply, and public transportation (hereinafter collectively referred to as public management and service agencies) in the process of performing public management and service responsibilities.

The term "open public data" as mentioned in these Rules refers to public services in which public management and service agencies provide the society with original, machine-readable, and socially reusable data sets within the scope of public data.

Article 4 (Working Principles)

The opening and utilization of public data in this Municipality shall adhere to the principles of innovation-driven, demand-oriented, scenario-guided, fair and open, safe and controllable, hierarchy and classification, unified standards, convenient and efficient, and standardized procedures.

Article 5 (Division of Responsibilities)

The General Office of the Municipal People’s Government is responsible for promoting and supervising the Open Public Data in this Municipality.

The Municipal Economy and Information Technology Department is the competent department coordinating and overall promoting the opening and utilization of municipal public data and the development of relevant industries.

The Municipal Big Data Center is responsible for the construction, operation and maintenance of this Municipality's unified open platform for public data (hereinafter referred to as the open platform), and shall formulate relevant technical standards.

The Municipal Network Information Department is responsible for coordinating this Municipality's personal information protection, network data security and related supervision work.

The department appointed by the district people's government is responsible for guiding, promoting and coordinating the Open Public Data in its administrative area.

All departments of the Municipal People’s Government, district people’s governments, and other public management and service agencies (hereinafter collectively referred to as the subject of open data) are responsible for the open public data of their own sectors, industries, administrative areas, and their own units.

Chapter II   Open Data

Article 6 (Solicitation of Needs)

The Municipal Economy and Information Technology Department, in conjunction with the subject of open data, shall solicit the needs of open data for the whole society, strengthen scenario planning and traction, and promote open public data to serve the sound economic development, quality of life experience, and elevation of urban governance effectiveness. The scope of solicitation needs includes but is not limited to：

1. manufacturing, scientific and technological research and development, financial services, trade circulation, shipping logistics, agriculture and other economic fields；

2. public health, medical care, education, elderly care, employment, commerce, cultural tourism and other livelihood fields; and

3. urban governance fields such as traffic operation, emergency management, and environmental protection.

The opening requirements can be widely solicited through multiple channels in the form of online and offline questionnaires, seminars, and feedback from open platforms. Priority should be given to public data that is closely related to people's livelihood, urgently needed by society, that has significant value-added potential in the industry and is of great industrial strategic significance.

Article 7 (Annual Plan for Opening)

The Municipal Economy and Information Technology Department shall formulate an annual plan for the Open Public Data in accordance with the actual needs of the economic and social development of this Municipality, and clarify key tasks such as annual opening priorities, key project construction, quality requirements of the opening, and industrial ecological cultivation.

The departments appointed by the district people's government shall, in line with the actual circumstances, organize and do well in the preparation of the annual plan for the Open Public Data in their administrative areas, the construction of demonstration projects, and the cultivation of the data industry and ecology.

Article 8 (Demonstration Projects)

The Municipal Economy and Information Technology Department, shall in conjunction with the subject of open data, issue guidelines for public data demonstration projects in accordance with the annual plan for opening, organize project declarations and reviews, and select, publish and promote outstanding project results.

The subject of open data shall strengthen the opening assurance of public data for annual demonstration projects, and the Municipal Big Data Center shall ensure relevant sound technical support and good platform services.

Article 9 (Open List)

The Open Public Data is managed by a list system. The subject of open data shall, in accordance with the key points of annual opening and the rules for the hierarchy and classification of public data, compile a list of Open Public Data in their own units within the scope of the municipal public data catalog.

In the open list, the information such as data fields, data summaries, items, and formats shall be marked and the type of open data, open conditions, and update frequency be clarified. The specific requirements are as follows：

1. It should have a concise name, clearly show the key fields, time range, geographical range and other information of the data, and should be clearly distinguishable from similar data sets;

2. Data fields and supporting descriptions should be accurate and convenient for users to understand. Abbreviations without explanation should not be used, and corresponding explanations should be made for proprietary vocabulary.

3. Clear data format; real-time data interface, general file format, etc. are preferred; in principle, the format that requires proprietary software and tools to open should not be used;

4. The types and conditions of opening shall be clearly defined and shall be implemented in accordance with Article 13, 14 and 15 of these Rules.

5. Specify the frequency of data update, which should be equivalent to the frequency of data generation. Data generated irregularly or not updated can be listed as static data.

6. Clearly state the data association relationship; the association relationship in the time span, geographical location and other aspects should be explained; and

7. Provision of other relevant information that needs to be clarified.

The open list should be connected with the public data directory, and the directory source of the data fields in the open list within the data lake should be clearly defined. The subject of open data is responsible for maintaining the connection relationship.

Article 10 (Dynamic Adjustment of Open List)

The subject of open data shall organize the annual evaluation of the public data open list as well as the public data that has not yet been opened, and carry out the following dynamic adjustments under the premise that it is indeed necessary and safety is ensured.：

1. For data sets that have been opened, if they are unable to continue updates due to business system changes, etc., the opened historical data shall be converted into static data for continuous opening, and the open list shall be adjusted.；

2. Public data that is urgently needed by the society but has not yet been opened can be added to the open list and be included into the open scope; when necessary, it can be opened after declassification and desensitization process.；

3. Data formed in the daily work of the subject of open data without the support of the information system may be included in the open list; and

4. The data involved in information disclosure may be included in the open list.

Article 11 (Open List Adjustment Process)

When adding or modifying the open list, the subject of open data shall submit a work order through the open platform, clarify the specific content and explain the reason. If it is modified from unconditional opening or conditional opening to non-opening, or from unconditional opening to conditional opening, corresponding supporting documents shall be provided.

The adjustment of the open list is submitted in the open platform in the form of a work order. Under any of the following circumstances, the work order will be returned:

1. adjustments without reasonable reasons；

2. incomplete information provided；

3. not meeting  the hierarchy and classification rules；and

4. other situations that do not meet the requirements.

Article 12 (Expansion of the Open Scope)

The subject of open data shall reasonably adjust the scope of open public data in accordance with the relevant requirements of the State and this Municipality, combined with the annual plan for open public data and the utilization needs of market entities. The public data that has not yet been opened shall be supported to be opened up after technical procedures of declassification and desensitization, and corresponding data preparation, hierarchy, classification and service docking shall be arranged.

Article 13 (Hierarchy and Classification Guide)

The Municipal Economy and Information Technology Department shall, in conjunction with the Municipal Big Data Center, combine factors such as public data security requirements, personal information protection requirements, and application requirements to formulate the hierarchy and classification guidelines of open public data in this Municipality (hereinafter referred to as the hierarchy and classification guidelines) and dynamically update them.

The subject of open data shall formulate implementation rules for the hierarchy and classification of open public data in accordance with the hierarchy and classification guidelines, taking into account the characteristics of the industry and region, and classify public data to determine the opening types, conditions and regulatory measures.

The hierarchy and classification guidelines should include the following：

1. the overall methods, principles and processes of hierarchy and classification, such as classification dimensions, level settings, corresponding risk prevention and control, and safety and security measures, etc.；

2. the correspondence between all levels and open types；

3. corresponding open conditions at all levels；and

4. examples of hierarchy and classification.

Article 14 (Hierarchy and Classification Mechanism)

This Municipality adopts a hierarchy and classification open mechanism for public data. The public data is divided into multiple levels according to the hierarchy and classification guidelines, and classified into three categories according to the combination of levels:

1. Public data that involves personal privacy, personal information, trade secrets, and confidential business information, or that cannot be opened under laws and rules, shall be included in the non-open category. If non-open public data is de-encrypted or desensitized in accordance with the law, or if the relevant right holder agrees to open it, it may be included in the unconditional open category or the conditional open category.

2. Public data with high requirements for data security and processing capacity, timeliness, or continuous access shall be included in the conditional open category. and

3. Other public data shall be included in the unconditional opening category.

Article 15 (Opening Conditions)

For public data included in the conditional open category, the subject of open data shall refer to the hierarchy and classification guidelines, clarify the open conditions, and publish it on the corresponding data set or data product page through the open platform. The subject of open data shall, under the premise of legal compliance, set reasonable opening conditions that match the risks of open data. The opening conditions may include：

1. Requirements for scenario application, with clear definition that open data is limited to use in specific scenarios, or it is prohibited to be used in specific scenarios；

2. Requirements for data security, with clear definition of data security protection system and protection capabilities of the data utilization subject, data management maturity assessment, data security maturity assessment, etc.；

3. Data utilization feedback requirements, with clear definition that the utilization results shall indicate the source of the data, and the subject of data utilization shall accept regular or irregular spot checks, submit data utilization reports, etc.；

4. Technical ability requirements, with facilities, talents and other requirements that the data utilization subject needs to possess；

5. Credit requirements, with clear requirements for the credit status of the subject of data utilization, which may include those not being executed for untrustworthiness, not in the list of abnormal business operations of the enterprise or the list of seriously illegal and untrustworthy enterprises, etc.；and

6. Other reasonable opening conditions.

Article 16 (Data Quality Elevation)

The subject of open data shall strengthen the implementation of standards and norms, carry out data governance, improve data quality, and enhance the timeliness, completeness, and accuracy of open data, including but not limited to：

1. Through proofreading and verification before opening, timely correction after opening, etc., to ensure that the open data is free of error values, null values, duplicates, etc. The verification and processing of public data objections shall be carried out in accordance with the relevant provisions of this Municipality;

2. Improve the availability of data through optimized format, real-time interface development, visual presentation, scattered data integration, and rich field descriptions; and

3. Continuously improve business processes, upgrade and improve information systems, increase data verification, update prompts and other functions, and optimize the frequency, fields, formats, etc. of data generation.

The General Office of the Municipal People’s Government shall establish a daily supervision and inspection mechanism for public data management to supervise and inspect the quality management of public data in public management and service institutions. The Municipal Big Data Center shall provide relevant data governance technologies and service capabilities for subjects of open data, organize and carry out quality supervision of public data in accordance with provisions, conduct real-time monitoring and regular evaluation of data quality, and establish a management system for objections and corrections.

Chapter III  Data Access

Article 17 (Unconditional Open Data Access)

For the public data listed in the unconditionally open category, natural persons, legal persons and non-legal organizations can directly obtain it through the open platform in the form of data download or interface invocation, without registration, application and other procedures.

Article 18 (Conditional Open Data Access)

For public data Listed in the conditional open category, the subject of open data shall list the application materials on the corresponding data page through the open platform, including relevant qualifications and ability certificates, data security management measures, application scenario descriptions, etc. When the adjustment of opening conditions is involved, the subject of open data shall take the initiative and update the description of the data application materials in a timely manner.

Natural persons, legal persons and non-legal organizations shall submit open applications through the open platform and upload corresponding materials.

Article 19 (Application and Processing of Opening)

The Municipal Big Data Center shall review the application for public data opening, accept the application subject with complete materials, and hand it over to the subject of open data for processing in the form of a work order. The incomplete materials shall not be accepted, and the reasons shall be notified at once.

After the subject of open data receives the work order, it shall complete the review within 10 working days, with the following principles：

1. Fairness and justice, and equal treatment of all types of applicants；

2. Scenario-driven, priority support shall be given to application scenarios that are beneficial to people's livelihood and economic development with high replication and promotion value；and

3. Safety and security, the evaluation on risks of multi-source data fusion shall be made, and experts shall be organized to review the complex situations of one-time large-scale data application.

In case the review is approved, the subject of open data shall inform the results in a timely manner through the open platform; if the review is not approved, the reason shall be notified at once.

Article 20 (Data Utilization Agreement)

In case the open application is approved, the applicant subject shall sign a data utilization agreement with the subject of open data through the open platform. The data utilization agreement shall have such content as application scenario requirements, data utilization report, data security measures, and liability for breach of contract.

Article 21 (Data Delivery)

The subject of open data shall prepare and deliver data in accordance with the agreement, and the Municipal Big Data Center shall provide technical support in data processing.

Data delivery should be carried out through an open platform, and if interface access is used, the Municipal Big Data Center shall be responsible for interface development, documentation, system docking and other supporting services. If offline delivery is indeed required, the subject of open data shall report to the Municipal Economy and Information Technology Department.

Exploration and utilization of new technologies and models such as private computing, federal learning, data sandboxes, and trusted data spaces for data delivery shall be encouraged.

Article 22 (Sample Data Construction)

Relying on an open platform, the Municipal Big Data Center shall, in conjunction with the subject of open data, build high-quality sample data sets on the basis of conditional open data sets, which can be accessed by natural persons, legal persons and non-legal organizations without application.

The sample data set should be targeted from the conditionally open class full data, truly reflect the characteristics of full data, meet the requirements of open data quality management, and facilitate the reading and testing of data users.

Chapter IV  Information Systems and Open Platforms

Article 23 (Information System)

The subject of open data shall simultaneously prepare a public data opening plan in the process of planning the information system, and complete the preparation of public data catalogs and the open lists before the system construction and acceptance. The information system that fails to complete the work related to open data as required will not be accepted.

Article 24 (Open Platform)

The Municipal Big Data Center shall rely on the municipal big data resource platform to build an open platform.

The subject of open data shall open public data through an open platform, and no independent open channels should be created in principle. Open channels that have already been established shall be integrated and merged into open platforms in accordance with relevant provisions.

Article 25 (Platform Functions)

The Municipal Big Data Center shall promote the technological upgrading, functional iteration and resource expansion of the open platform according to the needs of the subjects of open data and data utilization, and ensure that the open platform has the necessary service capabilities. The open platform should have the following functions：

1. provide subjects of open data with various functions such as data collection, data governance, list compilation, hierarchy and classification, application review, and work order processing, and provide corresponding technical capabilities to assist the subjects of open data to better perform their open responsibilities;

2. provide the subjects of open data with statistical analysis, risk judgment, quality evaluation, compliance services and other functions related to open data, and provide decision-making reference for relevant policy formulation；

3. provide data utilization subjects with convenient functions such as data query, data preview, registration, open application, data access, application display, and feedback.；

4. display relevant policies, system documents, news updates related to public open data in this Municipality, and keep them updated;

5. record the whole process of data opening and utilization behavior to provide support the routine regulation of data opening and utilization;

6. explore innovative functions such as privacy computing, sandbox verification, data resource map display, and data map preview；and

7. possess the necessary security protection system to ensure the safe and reliable operation of the open platform and prevent public data from being illegally obtained or improperly used.

Article 26 (Platform Specification)

The Municipal Big Data Center shall formulate and publish an open platform management system, clarify the code of conduct and security responsibilities of subjects of data opening and utilization on the open platform, and establish a transparent, auditable, and traceable whole-process management mechanism for the storage, transmission, and utilization of open data on the open platform.

Chapter V  Data Utilization

Article 27 (Innovative Utilization Methods)

This Municipality encourages the value mining, development and utilization of open public data, supports the data products formed by data users after substantive processing and creative labor of open data to enter the circulation and trading market according to law, and protects the relevant property rights and interests of data users formed in the data development according to law.

This Municipality encourages enterprises of different sizes, industries and ownership systems to participate in the open utilization of public data, attract and cultivate the professional, specialized, unique and new enterprises engaged in data, and develop data industry clusters with advanced technology, diversified subjects, active innovation, and complete ecology.

This Municipality explores public data authorization operations, and encourages relevant entities to provide market-oriented services such as in-depth processing of public data, model training, system development, data delivery, and security assurance to the society. The authorized operation of public data shall be carried out in accordance with the relevant provisions of this Municipality.

Article 28 (Achievement Display and Cooperative Application)

The Municipal Economy and Information Technology Department shall evaluate the effectiveness of the utilization of open data, form a list of outstanding achievements, and organize special publicity. The excellent results with good innovation mode, strong replicability and significant spillover effect shall be strengthened in scenario application and promotion to elevate the scope of empowerment, and be recommended in priority to participate in the relevant national pilot demonstration work.

Open platforms should display demonstration applications of public data and encourage the replication and promotion of demonstration applications.

The subjects of data utilization are encouraged to carry out data cooperation with relevant departments, and use the results of data integration to empower administrative supervision and public services.

Article 29 (Feedback of Data Utilization)

For conditionally opening public data, the subject of data utilization shall promptly feedback on the utilization of data in accordance with the provisions of the data utilization agreement.  The subject of open data, the Municipal Economy and Information Technology Department, the Municipal Network Information Department, the Municipal Big Data Center, etc. can conduct spot checks on the utilization of data, including：

1. main scenarios, service objects, and business models of data invocation；

2. number of data invocations, the main fields used, and the relevant algorithms used；

3. economic and social benefits such as cost reduction and management optimization；and

4. safety and security measures taken, etc.

Where a data utilization subject uses public data to form results such as data products, research reports, academic papers, etc., the source of the data shall be indicated in the results.

Article 30 (Utilization Supervision)

For conditionally opening data, the Municipal Big Data Center, the subject of open data, and the Municipal Economy and Information Technology Department shall track the utilization of the data and strengthen prevention of malicious data invocation.

Any unit or individual may report unlawful and illegal utilization of public data to the subject of open data and relevant departments.

Article 31 (Protection of Rights and Interests)

Any natural person, legal person or non-legal organization that considers the opening and utilization of public data infringe upon its legitimate rights and interests such as personal privacy and trade secrets may inform the subject of open data through the open platform and submit relevant evidentiary materials.

After receiving relevant evidentiary materials, the subject of open data shall, when it is deemed necessary, immediately suspend the opening and conduct verification. Based on the verification results, measures shall be taken to withdraw the data, resume the opening or re-open after processing, and timely feedback shall be given.

Article 32 (Handling of Violations of Laws and Rules)

If the data opening and utilization behaviors violate the relevant laws, rules and regulations of the State and this Municipality, the parties concerned shall bear corresponding responsibilities in accordance with the law.

For subjects of data utilization that have one of the following behaviors in the process of using public data, the Municipal Economy and Information Technology Department shall record it in conjunction with the Municipal Big Data Center and the subjects of open data ：

1. violation of the open platform management system；

2. using illegal means to obtain public data；

3. infringe on the legitimate rights and interests of others such as trade secrets, personal privacy, etc.；

4. use public data in application scenarios that exceed the limits of the data utilization agreement；and

5. other acts that violate laws, rules, regulations, and data utilization agreements.

For subjects of data utilization that have the behavior of the preceding paragraph, the Municipal Big Data Center and the subjects of open data shall, in accordance with their respective responsibilities, take such measures as restricting or closing their data access rights, and may publicize unlawful and illegal acts and handling measures on the open platform.

Article 33 (Improving the Service System)

The Municipal Economy and Information Technology Department shall, in conjunction with the subject of open data, build a public service system of open data, establish and improve relevant public service channels, build big data laboratories, technology innovation centers, and new types of R&D institutions, organize and carry out data skills training, data contests, and standard promotion to create a good open data environment.

The subject of open data shall follow up and provide services on the opening and utilization of public data, keep abreast of and actively connect the utilization feedback and new needs of the subject of data utilization.

.The Municipal Big Data Center shall do a good job in the collection and statistics of data utilization results and display them in the open platform.

Article 34 (Key Technologies and Standards Specifications)

This Municipality encourages the strengthening of the application of key technologies such as blockchain, artificial intelligence, federal learning, and private computing in the opening of public data, so as to improve the level of open data utilization and security management.

This Municipality promotes the application of relevant standards such as hierarchy and classification, data quality, de-identification, and enterprise data management capabilities in the opening of public data, conducts researches and formulates relevant local standards and technical specifications, and facilitates the formation of relevant industry conventions.

Article 35 (Commendation Mechanism)

The Municipal Economy and Information Technology Department shall, in conjunction with the Municipal Big Data Center and related subjects of open data, commend units and individuals who have outstanding performance in data technology research and development, data service provision, data utilization practice, data cooperation and exchange in accordance with provisions.

Chapter VI  Safeguard Measures

Article 36 (Safety and Security)

The departments of municipal network information, public security shall, in conjunction with other departments that possess network security management functions, establish a security management system for the Open Public Data in this Municipality, coordinate and deal with major security incidents of public data opening, and guide the subject of open data to formulate the security management system of the institution.

The Municipal Big Data Center shall strengthen the security management of the open platform in accordance with laws, rules and related requirements, improve the security protection system, and improve security protection measures to ensure the safe and reliable operation of the open platform.

All relevant entities shall do a good job in the safety assessment, protection and guarantee of the whole process of public data opening, and strengthen their emergency response capabilities.

Article 37 (Financial Guarantee)

The relevant funds for the construction, transformation, operation and maintenance of information systems, and assessment and evaluation of information systems involved in the Open Public Data by administrative institutions shall be included in the municipal and district-level financial funding budgets in accordance with relevant provisions.

Demonstration projects and excellent results of Open Public Data are encouraged and supported to apply for special digital transformation projects.

Article 38 (Assessment and Evaluation)

The Municipal Economy and Information Department may entrust a third-party professional organization to evaluate this Municipality's public data opening work and the effectiveness of data utilization. The evaluation results are used as a reference for decision-making in the construction, transformation, operation and maintenance of information systems, and are included in this Municipality's public data and the management assessment of the Government Online-Offline Shanghai. Relevant subjects of open data shall improve the opening of public data based on the evaluation results.

The Municipal Big Data Center shall conduct monitoring and statistics on the quality of open data as well as the operation of the open platform, and submit the monitoring and statistical results and the operation report of the open platform to the Municipal Economy and Information Technology Department as the basis for assessment and evaluation.

Chapter VII  Supplementary Provisions

Article 39 (Implementation Date)

These Implementation Rules shall be effective as of December 31, 2022 and be valid until December 30, 2027.