General Rules on the Procedures for Forensic Identification and Evaluation

Article 1 For purposes of regulating forensic identification and evaluation conducted by forensic identification and evaluation institutions and forensic identification or evaluation experts, guaranteeing the quality of forensic identification and evaluation, and ensuring smooth legal proceedings, these General Rules are developed in accordance with the provisions of the Decision of the Standing Committee of the National People's Congress on Issues concerning the Administration of Forensic Identification and Evaluation and the relevant laws and regulations.

Article 2 “Forensic identification and evaluation” means the identification and evaluation of and judgments on special issues involved in actions conducted and made by forensic identification or evaluation experts using scientific technologies or expertise and their provision of identification or evaluation opinions in legal proceedings. “Procedures for forensic identification and evaluation” mean the manners, steps and related rules for conducting forensic identification and evaluation by forensic identification and evaluation institutions and forensic identification or evaluation experts.

Article 3 These General Rules shall apply to all kinds of forensic identification and evaluation activities conducted by forensic identification and evaluation institutions and forensic identification or evaluation experts.

Article 4 Forensic identification and evaluation institutions and forensic identification or evaluation experts that conduct forensic identification or evaluation shall comply with laws, regulations and rules, observe professional ethics and practice discipline, respect science, and abide by technical operating rules.

Article 5 The system of forensic identification or evaluation experts being responsible shall be implemented in forensic identification or evaluation. Forensic identification or evaluation experts shall conduct identification or evaluation in an independent, objective and impartial manner in accordance with the law, and be responsible for the identification or evaluation opinions given by them. Forensic identification or evaluation experts shall not meet the party to the action or the agent in violation of any provisions.

Article 6 Forensic identification and evaluation institutions and forensic identification or evaluation experts shall keep confidential state secrets and trade secrets to which they have access in practice, and shall not divulge personal privacy.

Article 7 Forensic identification or evaluation experts shall withdraw in their practice according to the provisions of the relevant procedural laws and these General Rules.

Article 8 The charges for forensic identification or evaluation shall be governed by the relevant provisions of the state.

Article 9 Forensic identification and evaluation institutions and forensic identification or evaluation experts shall accept supervision in accordance with the law when conducting forensic identification or evaluation. The corresponding administrative penalty shall be imposed on those who commit any violation of any relevant law, regulation or rule in accordance with the law; and the corresponding disciplinary sanction within the industry shall be imposed on those who violate the rules on the forensic identification and evaluation industry by the association of forensic identification and evaluation.

Article 10 Forensic identification and evaluation institutions shall strengthen the administration and supervision of the practice of forensic identification or evaluation experts. If a forensic identification or evaluation expert violates the provisions of these General Rules, the forensic identification and evaluation institution shall make rectification.

Chapter II Entrustment and Acceptance of Forensic Identification and Evaluation

 

Article 11 A forensic identification and evaluation institution shall uniformly accept the forensic identification or evaluation entrustment of the case handling authority.

Article 12 Where the forensic identification or evaluation expert entrusts identification or evaluation, he or she shall provide true, complete and sufficient identification or evaluation materials, and be responsible for the authenticity and legality of identification or evaluation materials. The forensic identification and evaluation institution shall verify and record the name, type, amount, properties, preservation status, time of receipt, and other information of the identification or evaluation materials.

The litigant that has any objection to identification or evaluation materials shall raise the objection to the principal.

For the purpose of these General Rules, “identification or evaluation materials” include biological and non-biological materials in relation to the identification or evaluation matter, comparative sample materials, and other materials relating to the identification or evaluation matter.

Article 13 The forensic identification and evaluation institution shall decide whether to accept the entrustment or not within seven working days as of receipt of the entrustment. For the entrustment on any complicated or difficult or special entrustment matter, the forensic identification and evaluation institution may consult with the principal to decide on the acceptance time.

Article 14 A forensic identification and evaluation institution shall examine the entrusted identification or evaluation matter, and the identification or evaluation materials, among others. The institution shall accept the entrustment if it falls within the institution's business scope of forensic identification and evaluation, the purpose of identification or evaluation is legal, and the identification or evaluation materials provided satisfy the requirements for identification or evaluation.

Where the identification or evaluation materials are incomplete or insufficient and fail to satisfy the requirements for identification or evaluation, the forensic identification and evaluation institution may require the principal to make supplementation; and may accept entrustment if the materials satisfy the requirements for identification or evaluation after supplementation.

Article 15 A forensic identification and evaluation institution shall not accept an identification or evaluation entrustment under any of the following circumstances:

(1) The entrusted identification or evaluation matter falls beyond the institution's business scope of forensic identification and evaluation.

(2) It is found that the identification or evaluation materials are false, incomplete, insufficient or obtained in an illegal manner.

(3) The identification or evaluation purpose is illegal or against social ethics.

(4) The identification or evaluation requirements fail to comply with the practice rules for forensic identification and evaluation or related technical rules on identification and evaluation.

(5) The identification or evaluation requirements are beyond the institution's technical conditions or identification and evaluation capability.

(6) The principal entrusts any other forensic identification and evaluation institution to conduct identification or evaluation of the same identification or evaluation matter at the same time.

(7) Any other circumstance in violation of any law, regulation or rule.

Article 16 Where a forensic identification and evaluation institution decides to accept an identification or evaluation entrustment, it shall enter into an entrustment letter on forensic identification or evaluation with the principal. The entrustment letter on forensic identification or evaluation shall indicate the name of the principal, the name of the forensic identification and evaluation institution, the forensic identification or evaluation matter, whether it falls under re-identification or re-evaluation, identification or evaluation purpose, the basic case facts relating to the identification or evaluation, the provision and return of identification or evaluation materials, identification or evaluation risks, and the identification or evaluation period determined by both parties through consultation, identification or evaluation expenses and collection methods, the rights and obligations of both parties, and other matters that shall be indicated.

Article 17 Where the forensic identification and evaluation institution decides not to accept the identification or evaluation entrustment, it shall explain the reason to the principal and return identification or evaluation materials.

Chapter III Conduct of Forensic Identification or Evaluation

 

Article 18 A forensic identification and evaluation institution shall, after accepting an identification or evaluation entrustment, designate its forensic identification or evaluation experts holding the practicing qualifications for the identification or evaluation matter to conduct identification or evaluation.

Where the principal has any special requirements, identification or evaluation may be conducted by qualified forensic identification or evaluation experts selected from the institution, after both parties reach a consensus through consultation.

The principal shall not require or suggest the forensic identification and evaluation institution or forensic identification or evaluation expert to provide the identification or evaluation opinion based on the intention thereof or for any particular purpose.

Article 19 As to a same identification or evaluation matter, a forensic identification and evaluation institution shall designate or select two forensic identification or evaluation experts to conduct identification or evaluation; and as to a difficult, complicated or special identification or evaluation matter, may designate or select several forensic identification or evaluation experts to conduct identification or evaluation.

Article 20 Where a forensic identification or evaluation expert himself or herself or any of his or her close relatives is an interested party to the litigant or the case involved in the identification or evaluation matter, which is likely to affect his or her independent, objective and impartial identification or evaluation, the forensic identification or evaluation expert shall withdraw.

Where the forensic identification or evaluation expert has participated in identification or evaluation on the same identification or evaluation matter, has provided consulting opinions as experts, or has participated in cross-examination on the same identification or evaluation matter in court as a retained person with expertise, he or she shall withdraw.

Article 21 Where a forensic identification or evaluation expert proposes his or her withdrawal, the decision shall be made by the forensic identification and evaluation institution employing him or her. If the principal requests the withdrawal of a forensic identification or evaluation expert, the principal shall propose it to the forensic identification and evaluation institution employing the forensic identification or evaluation expert, and the decision shall be made by the forensic identification and evaluation institution.

Where the principal raises any objection to a decision made by the forensic identification and evaluation institution on whether to withdraw or not, the principal may revoke the identification or evaluation entrustment.

Article 22 A forensic identification and evaluation institution shall establish rules for the management of identification and evaluation materials, and strictly monitor the receipt, custody, use and return of identification and evaluation materials.

The forensic identification and evaluation institution and forensic identification or evaluation expert shall preserve and use identification and evaluation materials in strict accordance with the technical specifications, and assume legal liability for the damage and loss caused to identification and evaluation materials due to serious irresponsibility.

Article 23 A forensic identification or evaluation expert conducting identification or evaluation shall comply with and adopt the technical standards, technical specifications and technical methods in the specialized field based on the following order:

(1) National standards.

(2) Industry standards and technical specifications.

(3) Technical methods recognized by most experts in the specialized field.

Article 24 The forensic identification or evaluation expert has the right to obtain the case materials required for identification or evaluation, may consult and duplicate the relevant materials, and when necessary, may question the litigant or the witness.

With the consent of the principal, the forensic identification and evaluation institution may dispatch personnel to draw identification or evaluation materials on site. Identification or evaluation materials shall be extracted from the scene by at least two staff members of the forensic identification and evaluation institution, among whom at least one shall be the forensic identification or evaluation expert of such an identification or evaluation matter. If identification or evaluation materials are extracted from the scene, the extraction records shall be witnessed and bear the signature of the person designated or entrusted by the principal on site.

Article 25 Where it is necessary to conduct physical check of a person having no capacity for civil conduct or a person without capacity for civil conduct in the course of identification or evaluation, the guardian or close relative of the person shall be notified to be present to witness the check; and when necessary, the principal may be notified to be present to witness the check.

Where a forensic psychotic identification or evaluation of a person subject to identification or evaluation is conducted, the principal or the close relative or guardian of the person subject to identification or evaluation shall be notified to be present to witness the identification or evaluation.

Where it is necessary to conduct an autopsy, the principal or the close relative or guardian of the deceased shall be notified to be present to witness the autopsy.

On-site witnesses shall sign the identification or evaluation records. If the witness fails to be present, the forensic identification or evaluation expert shall not conduct the relevant identification or evaluation, and the delayed time shall not be counted in the identification or evaluation period.

Article 26 Where it is necessary to conduct forensic clinic inspection of the body of the person subject to identification or evaluation in the course of identification or evaluation, necessary measures shall be taken to protect the person's privacy.

Article 27 The forensic identification or evaluation expert shall make real-time records of the identification or evaluation process and sign the records. Records may be made by such forms as taking notes, making audio and video records, and taking photos. The records shall indicate major identification or evaluation methods and process, examination, inspection and testing results, and the use of equipment and apparatus. The content of records shall be authentic, objective, accurate, complete and clear, and the written documents and audio and video materials of records, among others, shall be included in identification or evaluation archives.

Article 28 A forensic identification and evaluation institution shall complete identification or evaluation within 30 working days as of the date when the entrustment letter on forensic identification or evaluation comes into force.

Where an identification or evaluation matter involves any complicated, difficult or special technical problem or the identification or evaluation process needs more time, with the approval of the person in charge of the institution, the time for completing identification or evaluation may be extended for not more than 30 working days. If the identification or evaluation period is extended, the principal shall be informed of the extension in a timely manner.

Where the identification or evaluation period is otherwise agreed upon by and between the forensic identification and evaluation institution and the principal, such an agreement shall apply.

The time required for supplementing or re-collecting identification or evaluation materials in the process of identification or evaluation shall not be counted in the identification or evaluation period.

Article 29 The forensic identification and evaluation institution may terminate identification or evaluation in the course of identification or evaluation under any of the following circumstances:

(1) Any circumstance prescribed in items (2) to (7) of Article 15 of these General Rules is discovered.

(2) The identification or evaluation materials are exhausted or damaged, and the principal fails to make supplementation.

(3) The principal fails to perform the obligation prescribed in the entrustment letter on forensic identification or evaluation or the person subject to identification or evaluation refuses to cooperate or identification or evaluation activities are seriously disturbed, which makes it impossible to continue the identification or evaluation.

(4) The principal takes the initiative to revoke the identification or evaluation entrustment, or the principal or the litigant refuses to pay the identification or evaluation expenses.

(5) Identification or evaluation cannot proceed due to any force majeure.

(6) Any other circumstance requiring identification or evaluation.

Where identification or evaluation is terminated, the forensic identification and evaluation institution shall notify the principal in writing, explain the reason and return the identification or evaluation materials.

Article 30 Under any of the following circumstances, a forensic identification and evaluation institution may conduct a supplementary identification or evaluation upon the request of the principal:

(1) There is any omission in relation to the original entrusted identification or evaluation matter.

(2) The principal provides any new identification or evaluation materials on the original entrusted identification or evaluation matter.

(3) Any other circumstance requiring a supplementary identification or evaluation.

A supplementary authentication or evaluation is a part of the original entrusted identification or evaluation, and shall be conducted by the original forensic identification or evaluation expert.

Article 31 Under any of the following circumstances, a forensic identification and evaluation institution may accept the entrustment of the case handling authority to conduct a re-identification or re-evaluation.

(1) The original forensic identification or evaluation expert is disqualified for the practice of the entrusted identification or evaluation matter.

(2) The original forensic identification and evaluation institution has organized identification or evaluation beyond its registered business scope.

(3) The original forensic identification or evaluation expert should have withdrawn.

(4) The case handling authority deems it necessary to conduct a re-identification or re-evaluation.

(5) Any other circumstance prescribed by the laws.

Article 32 A re-identification or re-evaluation shall be conducted by any forensic identification and evaluation institution other than the original forensic identification and evaluation institution. The principal may also entrust the original forensic identification and evaluation institution to conduct the re-identification or re-evaluation for any particular reason, but the original forensic identification and evaluation institution shall designate any qualified forensic identification and evaluation institution other than the original forensic identification and evaluation institution to conduct the re-identification or re-evaluation.

The qualification conditions of the forensic identification and evaluation institution that accepts the re-identification or re-evaluation entrustment shall not be lower than those of the original forensic identification and evaluation institution, and at least one of the forensic identification or evaluation experts conducting the re-identification or re-evaluation shall have the senior professional technical title of the relevant profession.

Article 33 Where any complicated, difficult or special technical problem is involved in the process of identification or evaluation, the forensic identification and evaluation institution may consult experts in a relevant specialized field who are not employed by it, but the final identification or evaluation opinion shall be given by the forensic identification or evaluation expert of the institution.

The expert shall sign the consulting opinion, and include it in the identification or evaluation archives.

Article 34 For an identification or evaluation matter involving a serious case, an especially complicated, difficult or special technical problem, or multiple varieties of identification and evaluation, the case handling authority may authorize the association of forensic identification and evaluation to coordinate several forensic identification and evaluation institutions to conduct identification or evaluation.

Article 35 After a forensic identification or evaluation expert completes identification or evaluation, the forensic identification and evaluation institution shall designate the personnel with corresponding qualifications to review identification or evaluation procedures and the identification or evaluation opinion; and may organize three or more experts to review any identification or evaluation matter involving any complicated, difficult or special technical problem or subject to re-identification or re-evaluation.

The reviewer shall, after completing review, offer the review opinion and sign it, and include it in the identification or evaluation archives.

Chapter IV Issuance of Written Opinions on Forensic Identification or Evaluation

 

Article 36 The forensic identification and evaluation institution and the forensic identification or evaluation expert shall prepare a written opinion on forensic identification or evaluation according to the uniform format of documents.

Article 37 The name of the forensic identification or evaluation expert shall be affixed to the written opinion on forensic identification or evaluation. If several persons have different opinions on the written opinion on identification or evaluation on the identification or evaluation participated by several persons, they shall be indicated.

Article 38 The special seal for forensic identification or evaluation of the forensic identification and evaluation institution shall be affixed to the written opinion on identification or evaluation.

Article 39 The written opinion on identification or evaluation shall be made in quadruplicate, among which three copies shall be turned to the principal for receipt and one copy shall be archived by the forensic identification and evaluation institution. The forensic identification and evaluation institution shall, according to the relevant provisions or the method agreed upon with the principal, send the written opinion on identification or evaluation to the principal.

Article 40 Where the principal raises any question on the identification or evaluation process or the written opinion on identification or evaluation, the forensic identification and evaluation institution and the forensic identification or evaluation expert shall give an interpretation or explanation.

Article 41 The forensic identification and evaluation institution may make supplementation or correction after the issuance of the written opinion on identification or evaluation under any of the following circumstances:

(1) The image, spectrogram or table is not clear.

(2) The signature, seal or number fails to comply with the preparation requirements.

(3) The literal expression has flaws or wrongly written or mispronounced characters, but it does not affect the written opinion on identification or evaluation.

Supplementation and correction shall be made to the original written opinion on identification or evaluation, and at least one forensic identification or evaluation expert shall sign the part of supplementation and correction. When necessary, the supplementation or correction letter may be issued.

The supplementation or correction of the written opinion on identification or evaluation shall not change the original intention of the written opinion on identification or evaluation.

Article 42 The forensic identification and evaluation institution shall, as required, review, archive and preserve the written opinion on identification or evaluation and the relevant materials.

Chapter V Testifying of Forensic Identification or Evaluation Experts in Court

 

Article 43 Upon a legal notice of the people's court, a forensic identification or evaluation expert shall testify in court and answers the questions concerning the identification or evaluation matter.

Article 44 The forensic identification and evaluation institution shall, upon receipt of the notice of appearance in court, confirm in a timely manner with the people's court the time and place of the forensic identification or evaluation expert's appearance in court, the number of experts, expenses, and requirements, among others.

Article 45 The forensic identification and evaluation institution shall support the forensic identification or evaluation expert's testifying in court, and provide necessary conditions for the forensic identification or evaluation expert to testify in court in accordance with the law.

Article 46 The forensic identification or evaluation expert that testifies in court shall behave in a civilized manner, and observe the court order.

Chapter VI Supplementary Provisions

 

Article 47 These General Rules mean general procedural rules that shall be observed and adopted by forensic identification and evaluation institutions and forensic identification or evaluation experts when conducting forensic identification or evaluation, and the detailed rules for identification and evaluation procedures may be developed according to these General Rules if there are particular requirements for identification and evaluation procedures in different specialized fields.

Article 48 For the purpose of these General Rules, the “case handling authority” means the investigation authority, examination and prosecution authority and the judicial authority that handles an action.

Article 49 The provisions of these General Rules shall apply, mutatis mutandis, to the relevant identification or evaluation conducted by forensic identification and evaluation institutions and forensic identification or evaluation experts in accordance with the law other than the litigious activities.

Article 50 These General Rules shall come into force on May 1, 2016. The General Rules on the Procedures for Forensic Identification and Evaluation issued by the Ministry of Justice on August 7, 2007 (Order No. 107, MOJ) shall be repealed concurrently.