Archived（May 31, 2018）
Measures of the Shenzhen Municipality on the Appraisal of the Labor Ability of Employees was deliberated and adopted at the 71st Executive Meeting of the 4th Session of the Municipal Government and is now promulgated, and shall be put into force from December 1, 2007.
Xu Zongheng
Mayor
October 31, 2007
Measures of the Shenzhen Municipal People’s Government on the Appraisal of the Labor Ability of Employees
Chapter I General Provisions
Article 1 In order to normalize the appraisal of the labor ability of the employees of this city and to protect the legitimate rights and interests of laborers and employing units, these measures are hereby formulated in accordance with related laws, regulations, and in light of the practical conditions of this city.
Article 2 When the government offices, enterprises, institutions, social organizations, privately-owned non-enterprise units and individual economic organizations of this city (hereinafter referred to as employing units), and their employees need the appraisal of labor ability, these measures shall apply.
Article 3 The appraisal of labor ability referred to in these measures shall include the following items:
(1) the appraisal (including the appraisal review) of the level of the functional labor handicap caused by work injuries (occupational diseases), the appraisal (including the appraisal review) of the level of the self-management handicap in daily life;
(2) the evaluation of the level of the disability caused by illness or that caused not by work;
(3) the verification of the relapse of old injuries;
(4) the verification of the date of the end of medical treatment of a person who was injured at work, disabled by illness or disabled not by work;
(5) the verification of the extension of the date of the end of medical treatment of a person who was injured at work;
(6) the verification of the period of keeping wages without work;
(7) the verification of the installation, maintenance and repair, or replacement of rehabilitation appliances for employees injured at work.
Article 4 In doing the labor ability appraisal, the Municipal Committee of
Labor Ability Appraisal shall follow the principle of seeking truth from facts, being objective and fair, and doing business with justice. It shall be strictly prohibited to abuse power for personal gains, to practice fraud.
Chapter II Organizations and Duties
Article 5 The municipal people’s government shall set up a committee of labor ability appraisal (hereinafter referred to as the municipal committee of labor ability appraisal), the municipal committee of labor ability appraisal shall have one chairman, two vice chairmen, and several committee members. The chairmanship shall be taken by the person in charge of the municipal department of labor security, the other committee members shall be the representatives from the municipal department of personnel, the municipal department of health, the municipal department of finance, the municipal general trade union, the municipal general trade association, the municipal women’s union, the municipal agency of social insurance and the professionals in medicine, law, etc. The professionals shall not be less than 5. The municipal committee of labor ability appraisal shall hold meetings on a regular basis and execute related duties.
The office of the municipal committee of labor ability appraisal under the municipal department of labor security shall be the office of this committee for daily operation and report its work to the municipal committee of labor ability appraisal on a regular basis.
Article 6 The municipal committee of labor ability appraisal shall execute the following duties:
(1) to propagate, carry out, and implement the laws, regulations, rules and policies of the state, the Guangdong Province, the Shenzhen Municipality on labor ability appraisal;
(2) to establish, improve the regulations, rules, and city-wide working system of labor ability appraisal;
(3) to be responsible for the administration, organization, and supervision of labor ability appraisal;
(4) to be responsible for the establishment and management of a consultation committee of experts and a tank of medical appraisal experts and also for the appointment of medical appraisal experts;
(5) to draw an appraisal conclusion on labor ability based on the appraisal opinion of the consultation committee of experts or a group of experts;
(6) to be responsible for professional appraisal training of medical appraisal experts.
Article 7 The municipal committee of labor ability appraisal shall establish the
consultation committee of experts. The consultation committee of experts shall consist of authoritative medical experts of related fields.
The appraisal experts of the consultation committee of experts shall have the following qualifications:
(1) to be a well-known authoritative expert of medical science or leading scholar in a field who is qualified to take a high-level professional position of medical science;
(2) to master the related professional knowledge of labor ability appraisal;
(3) to be good in terms of professional ethics;
(4) to be healthy.
The appraisal experts of the consultation committee of experts shall be
examined and appointed by the municipal committee of labor ability appraisal from the medical professionals who meet the above-mentioned qualifications, file applications, and are recommended by their units. The term of appointment shall be four years. When the term expires, it shall be allowed to have a continuing appointment.
Article 8 The consultation committee of experts shall execute the following duties:
(1) to deal with difficulty cases or technical problems of the labor ability appraisal in this city;
(2) to provided consulting service for labor ability appraisal;
(3) to handle other tasks assigned by the municipal committee of labor ability appraisal.
Article 9 The municipal committee of labor ability appraisal shall establish the
tank of medical appraisal experts, the medical appraisal experts of the tank of experts shall be appointed from the medical professionals who have the following qualifications:
(1) to be qualified to take a high-level professional position of medical science;
(2) to master the related professional knowledge of labor ability appraisal;
(3) to be good in terms of professional ethics;
(4) to be healthy.
Medical appraisal experts shall be examined and appointed by the municipal
committee of labor ability appraisal from the medical professionals who meet the above-mentioned qualifications, file applications, and are recommended by their units.
Article 10 Medical appraisal experts shall execute the following duties:
(1) to conduct a medical appraisal of an appraisee objectively, independently according to the rules and standards on labor ability appraisal, and to give an appraisal opinion;
(2) to be responsible for medical consultation, interpretation, and instruction on labor ability appraisal;
(3) to assist and engage in professional appraisal training.
Article 11 The experts of the consultation committee of experts and the tank of
medical appraisal experts may have proper remuneration after executing their duties.
Chapter III Appraisal Procedure
Part 1 Application and Acceptance
Article 12 When applying for labor ability appraisal because of work injury, an employing unit, an employee injured, or close relatives of the employee shall file an application to the municipal committee of labor ability within the following stipulated time limits:
(1) to file an application within 30 days from the end of medical treatment if the work injury is verified before the end of medical treatment;
(2) to file an application within 30 days from the date of verification of work injury if the work injury is verified after the end of medical treatment;
(3) to file an application before the end of medical treatment and after the relapse of old injury if the application is filed for the verification of the relapse of old injury.
When applying for the evaluation of the level of the disability caused by illness or
that caused not by work, an application shall be filed within the related stipulated time limits.
Article 13 One year after the date of having a conclusion on labor ability appraisal, an employee injured by work or the close relatives of the employee, the unit of the employee or the social insurance agency may apply to the municipal committee of labor ability appraisal for a labor ability appraisal review if they think there is a change of the state of injury.
Article 14 An applicant may entrust a lawyer or other agent with application for labor ability appraisal. In case of entrusting a lawyer or other agent with application for laboring ability appraisal, a power of attorney shall be submitted to the municipal committee of labor ability appraisal at the same time.
Article 15 An applicant for appraisal shall fill out an application form and submit the following materials which the appraisal needs:
(1) if an applicant is an appraisee, the original ID card and a copy of ID shall be submitted; if an applicant is a close relative of the employee injured by work, a certificate of the relationship of relatives shall be submitted also; if an applicant is an unit, a document of the approval of the establishment of the unit and a copy of this document (under the official seal of the unit), the ID card of the persons to handle the application and a copy of the ID, and a power of attorney of the unit (under the official seal of the unit) shall be submitted;
(2) a copy of the ID card of an appraisee (in addition to verifying the original ID card);
(3) the original clinical medical records and a copy of these records, a copy of the hospitalization history or surgery record approved by the hospital providing treatment (only for inpatients);
(4) the original reports of various examinations and tests;
(5) the original diagnosis statement or the certificate of occupational disease diagnosis and a copy of these documents;
(6) the other materials that shall be submitted according to laws, regulations, rules.
In case of applying for labor ability appraisal because of work injury, the
original certificate of work injury verification and a copy of this document shall be submitted.
Article 16 The office of the municipal committee of labor ability appraisal or the social insurance agency entrusted by the municipal committee of labor ability appraisal shall examine, register the application forms and the related materials submitted by applicants, verify the qualifications according to application materials, accept applications on the spot and give written notices of acceptance of the application for labor ability appraisal if the materials are complete; give one-time written notices immediately to ask for adding materials if the materials are incomplete.
But for those who apply for the appraisal referred to in Item (1) of Article 3, they shall meet one of the following requirements before the office of the municipal committee of labor ability appraisal may accept their applications:
(1) the minimum period of medical treatment for work injury has passed and an appraisee is in a relatively stable condition if the appraisee or the close relatives of the appraisee file an application;
(2) the maximum period of medical treatment for work injury has passed and an appraisee is in a relatively stable condition if an employing unit files an application alone.
Part 2 Composition of a Group of Appraisal Experts
Article 17 After accepting an application for appraisal, the office of the municipal committee of labor ability appraisal shall select at random 3 or 5 medical appraisal experts from the tank of medical appraisal experts to form a group of appraisal experts.
Article 18 If a selected medical appraisal expert is in one of the following situations, this expert shall withdraw from appraisal:
(1) the expert himself/herself is the applicant, appraisee, or has the interest relationship with the applicant, appraisee, or their agent;
(2) the expert has a stake in the appraisal conclusion;
(3) the other reasons that might make the expert unable to draw a fair conclusion from appraisal.
If a medical appraisal expert is in one of the above-mentioned situations and
should withdraw, an applicant may apply for this expert’s withdrawal before the appraisal starts. If an applicant finds the situation for withdrawal in the process of appraisal, an application for withdrawal may be filed before a conclusion is drawn from appraisal.
The person whose withdrawal is applied for shall temporarily stop participating in the related work of appraisal before the municipal committee of labor ability appraisal makes a decision on if this person should withdraw.
When an applicant applies for withdrawal, the municipal committee of labor ability appraisal shall make a written decision within 3 days from the date of filing an application.
Article 19 If a medical appraisal expert cannot execute duties because of withdrawal or for other reasons, the municipal committee of labor ability appraisal shall re-select a medical appraisal expert according to the stipulations of these measures, the re-selected medical appraisal expert shall execute duties.
Part 3 Appraisal
Article 20 An appraisee shall bring the written acceptance notice for labor ability appraisal to a designated place at a designated time to have an appraisal; if something unexpected takes place, an applicant may file a written application and postpone the appraisal after the municipal committee of labor ability appraisal gives its approval. The period of time of postponement applied for shall not be calculated as part of the time limits for labor ability appraisal.
If an appraisee fails to be present at a designated place for appraisal after a designated time, it shall be seen as giving up the appraisal. If this applicant still needs an appraisal, another application shall be filed again according to these measures.
Article 21 If a group of appraisal experts, in conducting an appraisal of an appraisee, believes the materials are incomplete or further examinations, treatment, investigation and verification of materials are needed, it shall handle the case according to the following rules:
(1) for those whose materials are incomplete, to give an one-time written notice to ask for adding materials and to tell the place and time for next appraisal;
(2) for those who need further examinations, to notify an employing unit, appraisee, or the close relatives of the appraisee in writing that the related materials and results of the examinations shall be submitted within 60 days;
(3) for those who need further treatment, to notify an employing unit, appraisee, or the close relatives of the appraisee in writing that the treatment shall be done within the stipulated time limits, and the related materials of treatment shall be submitted within 10 days from the date of completing the treatment;
(4) if a group of appraisal experts believes that it is necessary to investigate and verify materials, the investigation and verification shall be completed in 10 business days; if a continuing appraisal is needed after the investigation and verification, the municipal committee of labor ability appraisal shall give a notice of the time and place for the next appraisal in writing.
If an appraisee is required to add materials or have further examinations,
treatment, the appraisee shall add materials or have examinations, treatment within stipulated time limits; if the appraisee fails to add materials or to have examinations, treatment within stipulated time limits, it shall be seen as giving up the appraisal.
The time needed to add materials, to have examinations, treatment, to investigate and verify materials shall not be calculated as part of the time limits for labor ability appraisal.
Article 22 The municipal committee of labor ability appraisal shall verify the time of the end of medical treatment, the term of keeping wages without work according to the related rules of the state, Guangdong Province, Shenzhen Municipality.
In case of verifying the time of the end of the medical treatment of a multi-part or multi-organ injury, it shall be based on the longest of the periods of the medical treatment for different injured parts rather than the accumulation of these periods.
Article 23 Appraisal experts shall conduct a medical appraisal of an appraisee objectively according to the related rules of the state, Guangdong Province, Shenzhen Municipality, put forward an appraisal opinion on labor ability, and report it to the municipal committee of labor ability appraisal within 3 days.
If there is no agreement among medical appraisal experts, the appraisal opinion on labor ability shall be worked out according to the opinion of the majority of medical appraisal experts, the opinion of the minority of medical appraisal experts shall be recorded in a written note. If there is no majority opinion coming out of a group of medical appraisal experts, the office of the municipal committee of labor ability appraisal shall hand over the case to the consultation committee of experts to study and to put forward an appraisal opinion. The municipal committee of labor ability appraisal shall make a decision on the appraisal according to the appraisal opinion of the consultation committee of experts. If an appraisal expert of the consultation committee of experts is in one of the situations referred to Item (1) of Article 15 of these measures for withdrawal, this expert shall withdraw.
Article 24 The municipal committee of labor ability appraisal shall draw a conclusion on a labor ability appraisal according to the appraisal opinion of a group of appraisal experts within 60 days from the date of receiving an application for a labor ability appraisal; if it is necessary, the time limit for drawing a conclusion on a labor ability appraisal may extend for another 30 days.
Article 25 A written conclusion on a labor ability appraisal shall include the following items:
(1) the designation of an employing unit;
(2) the name or designation of an applicant;
(3) the name, sex, ID number of an appraisee;
(4) the related provisions of the stipulations and standards which the appraisal conducted by a group of medical appraisal experts is based on;
(5) the conclusion of an appraisal;
(6) the decision on whether an application for a review or another appraisal is allowed if there is objection to an appraisal conclusion, and the department and the time limit for a review or another appraisal;
(7) the date of drawing a conclusion on an appraisal.
The official seal of the municipal committee of labor ability appraisal shall be
affixed to a written conclusion on a labor ability appraisal.
Article 26 A written conclusion on a labor ability appraisal shall be served simultaneously on an employing unit, appraisee, and other applicants.
Article 27 If there are literal errors or items missed in a written conclusion on a labor ability appraisal, the municipal committee of labor ability appraisal shall make corrections; an applicant may apply to the municipal committee of labor ability appraisal for corrections within 30 days from the date of receiving a written conclusion on a labor ability appraisal.
Article 28 A written conclusion on a labor ability appraisal shall be put into force legally from the date of drawing that conclusion.
Part 4 Review of an Appraisal
Article 29 If an employing unit, appraisee, and the close relatives of the appraisee have an objection to an appraisal conclusion drawn by the municipal committee of labor ability appraisal, they may apply to the municipal committee of labor ability appraisal for reviewing of the appraisal according to the related rules within 15 days from the date of receiving the appraisal conclusion.
After receiving an application for reviewing of an appraisal conclusion, the municipal committee of labor ability appraisal shall select at random 3 or 5 related medical appraisal experts from the tank of medical appraisal experts to form a group of experts which shall put forward a review opinion on the appraisal; if it is necessary, a qualified medical institution may be entrusted with the assistance in the related diagnosis.
If an expert participating in reviewing of an appraisal is in one of the situations referred to in Item (1) of Article 15 of these measures for withdrawal, this expert shall withdraw; an applicant may apply for withdrawal and give a reason for doing so.
If an expert participates in an appraisal for the first time, this expert shall not take part in reviewing of an appraisal.
As for other procedures on which there is no explicit stipulation, they shall be referred to the procedure of the first-time appraisals stipulated in these measures.
Article 30 If an employing unit, appraisee, and the close relatives of the appraisee have an objection to the conclusion of an appraisal review drawn by the municipal committee of labor ability appraisal, they may apply to the Guangdong Provincial Committee of Labor Ability Appraisal for another appraisal according to related rules within 15 days from the date of receiving the appraisal review conclusion.
Chapter IV Appraisal Fees
Article 31 The municipal committee of labor ability appraisal shall collect an appraisal fee according to the rules on labor ability appraisal.
The appraisal fee shall be paid before an appraisal.
The appraisal fees shall be used as a special fund for special purpose only. Their income and expense shall be managed separately along two lines.
Article 32 If the employees who are disabled by illness or not by work apply for labor ability appraisal, they may apply to the municipal committee of labor ability appraisal for reduction of or exemption from the appraisal fee according to the following rules:
(1) the persons under the minimum living security program or recipients of unemployment insurance benefits may apply for the exemption from the appraisal fee;
(2) the persons who are receiving social relief because of the difficulties in living caused by irresistible forces such as natural disasters, etc. or the persons who enjoy special care and replacement may apply for the reduction of the appraisal fee.
If an employee who applies for a labor ability appraisal because of work injury is
in one of the situations referred to in the previous section, this employee may apply for a postponed payment for the appraisal fee.
The office of the municipal committee of labor ability appraisal shall make a decision on whether to approve the postponed payment of, reduction of, or exemption from the appraisal fee.
Article 33 In case of applying for a labor ability appraisal because of work injury, the appraisal fee shall be reimbursed from the work injury insurance fund according to rules if an employee participates in the work injury insurance; the appraisal fee shall be paid by an employing unit if an employee does not participate in the work injury insurance.
In case of applying for an appraisal after being disabled by illness or not by work, the appraisal fee shall be paid by an applicant.
If there is a change of the level of disability after an appraisal review, an applicant shall not pay the appraisal fee; if there is no change of the level of disability after an appraisal review, the applicant shall pay the appraisal fee.
Chapter V Punishment
Article 34 If the staff members of the municipal committee of labor ability appraisal practice favoritism and engage irregularities, collect bribes, abuse power, neglect duties, or encroach upon the legitimate rights and interests of parties concerned in the process of appraisal, the units they are affiliated with or the related administrative department in charge shall impose sanctions according to law; if the circumstances are serious and someone is suspected of committing a crime, the case shall be handed over to a judicial office to be dealt with according to law.
Article 35 If a medial appraisal expert who participates in a labor ability appraisal is in one of the following situations, the municipal committee of labor ability appraisal shall dismiss this expert; if the circumstances are serious and the expert is suspected of committing a crime, the case shall be handed over to a judicial office to be dealt with according to law:
(1) to fail to execute duties without justification;
(2) to abuse power for personal gain, to practice fraud.
(3) to violate the rule on withdrawal;
(4) to receive money and valuables from an applicant, appraisee, or their agents;
(5) other illegal acts.
Article 36 If an employing unit, appraisee, and the close relatives of the appraisee
submit fake materials to influence an appraisal conclusion, the appraisal conclusion shall not be valid. In case of using a fake appraisal conclusion to practice fraud, the department of labor security shall impose punishments according to law; if the circumstances are serious and someone is suspected of committing a crime, the case shall be handed over to a judicial office to be dealt with according to law.
Chapter VI Supplementary Provisions
Article 37 The appraisal to verify the illness directly caused by work injury, which is entrusted with by the department of labor security or the department of personnel, shall be conducted by referring to these measures.
The conclusion of the verification of the illness directly caused by work injury, which is entrusted with by the department of labor security or the department of personnel, shall be used only as a certifying document for the verification of work injury.
Article 38 If an employee of a unit without license or without being registered, put on record according to law, and a unit whose business license is revoked or whose registration, record are cancelled is injured in an accident or suffers from an occupational disease, or if the use of child labor by an employing unit leads to injury, disability, death, the appraisal of labor ability which is needed shall be conducted by referring to these measures. The labor ability appraisal fee shall be paid by the unit of the injured employee or child labor.
Article 39 The municipal committee of labor ability appraisal shall formulate corresponding work rules within 6 months from the date when these measures take effect.
Article 40 These measures shall take effect as of December 1, 2007, Provisional Measures of the Shenzhen Special Economic Zone on the Appraisal of the Labor Ability of Injured, Ill, and Disabled Employees (promulgated by the Shenzhen Municipal People’s Government on July 6, 1989, re-promulgated by Order No. 16 of the Shenzhen Municipal People’s Government on October 21, 1993) shall be repealed at the same time.
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