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Continuing from the previous article, Opinion | Yang Qichen: “Form” and “Substance” in the Exclusion of Illegally Obtained Evidence (Part 1)

In the field of criminal justice, evidence serves as the cornerstone for establishing legal facts; yet when the legality of the evidence itself is questionable, the entire edifice of factual truth risks collapse. The exclusion of illegally obtained evidence thus stands as a critical line of defense against this very risk. It not only embodies the heart of procedural justice but also serves as an indispensable safeguard for protecting the fundamental human rights of suspects and defendants—and for preventing wrongful convictions and miscarriages of justice.
 

The Criminal Procedure Law and its related provisions have established a relatively comprehensive set of rules for excluding illegally obtained evidence. Drawing on legal statutes and cases handled by the author, this article will explore the review mechanisms and complex challenges encountered in practice from the dual perspectives of “form” and “substance.”
 


 



 


 

(2) Illegality of the evidence-gathering procedure: Violation of standardized operational procedures


 


 

 


 


 


 


 


 


 

With regard to testimonial evidence, the exclusion of illegally obtained evidence primarily hinges on the inhumane nature of the means employed; for non-testimonial evidence, the primary concern lies in procedural noncompliance.


 


 


 


 


 


 


 


 

1. Exclusion rules for physical evidence and documentary evidence: the “discretionary exclusion” model


 


 


 

The Criminal Procedure Law stipulates that physical evidence and documentary evidence collected in violation of statutory procedures, if such violations could seriously undermine judicial fairness, shall be rectified or reasonably explained; otherwise, they shall be excluded. The “Rules on Exclusion of Illegally Obtained Evidence” further clarify that methods violating statutory procedures include illegal searches and seizures, among other instances.

According to the above-mentioned provisions, the prerequisite for excluding physical evidence and documentary evidence is that the collection procedure fails to meet the requirements stipulated by law and involves procedural defects. Moreover, such defects must reach a level that "could seriously undermine judicial fairness." This standard constitutes the key threshold and the scope of discretion determining whether the relevant physical evidence or documentary evidence should be excluded.


 


 


 


 


 


 

Generally speaking, the severity of such a defect must be assessed comprehensively in light of factors including the seriousness of the procedural violation, the specific nature of the rights infringed, the importance of the relevant evidence, and the overall nature of the case. For example: Whether the evidence-gathering process seriously violated constitutional rights (such as conducting a search of a residence without a warrant); whether it infringed upon fundamental rights such as citizens’ personal freedom, property rights, right to privacy, and right to the tranquility of their homes; whether the evidence obtained constitutes crucial, core evidence; whether the cause of the procedural violation was intentional, gross negligence, or other objective factors; whether the case itself involves a serious crime or causes significant harm to the public interest; and whether the procedural defect can be effectively remedied.


 


 


 


 


 


 

Unlike the statements made by criminal suspects and defendants, even if the procedural violations in obtaining physical evidence and documentary evidence reach a “serious” level, they do not necessarily lead to exclusion. The law still affords an opportunity to rectify such violations or provide a reasonable explanation for them. Only when rectification or explanation proves impossible must the evidence be excluded.

Among these, rectification focuses on formal improvements (such as adding signatures, seals, or explanatory notes), while reasonable explanation emphasizes providing a convincing account of the reasons for the violation (such as urgent circumstances or objective obstacles). Moreover, any rectification or explanation must achieve a level sufficient to “eliminate illegality” or “render the evidence admissible”; it must not be merely perfunctory or superficial.

Compared to testimonial evidence, physical evidence and documentary evidence often possess uniqueness and irreplaceability, making it difficult to obtain them again. If such physical or documentary evidence is crucial to determining guilt and sentencing, once it is excluded, it could directly lead to an incomplete chain of evidence. Therefore, the law specifically grants these types of evidence certain remedies to ensure substantive justice in the case.

Meanwhile, the standard regarding “potentially seriously undermining judicial fairness” is also highly abstract, leaving considerable room for discretionary judgment. As a result, it easily becomes a focal point of controversy and can directly affect the factual findings underlying convictions and sentencing.


 


 


 


 


 


 


 


 


 

2. Other evidence: The exclusionary rule for illegally obtained evidence does not apply directly.


 


 



 

According to the Criminal Procedure Law, if an expert opinion requiring the expert to appear in court to testify is issued, and the expert refuses to appear in court despite being duly notified by the court, such expert opinion “may not be used as the basis for reaching a verdict.” The Interpretation of the Criminal Procedure Law further clarifies, in the examination and authentication of various types of evidence, the specific circumstances under which expert opinions, site inspections, examinations, identifications, records of investigative experiments, audiovisual materials, and electronic data “may not be used as the basis for reaching a verdict.” However, none of these provisions explicitly stipulates that the above-mentioned three categories of evidence can be directly excluded. Consequently, they do not fall within the category of evidence that, due to “serious illegality,” can be directly confirmed—through pre-trial conferences or courtroom proceedings—to be inadmissible during the court’s investigation phase.


 


 


 


 


 


 

The Criminal Procedure Law stipulates that evidence that has not been duly verified through court investigation procedures such as presentation, identification, and cross-examination in court shall not be used as the basis for reaching a verdict. The Guidelines on Exclusion of Illegally Obtained Evidence explicitly state that illegally obtained evidence that is excluded in accordance with the law “shall not be presented or subjected to cross-examination, nor shall it be used as the basis for reaching a verdict.”

Therefore, compared with physical evidence, documentary evidence, and testimonial evidence—which, in the narrow sense, can be directly excluded and thus barred from entering the court’s investigative proceedings—other types of evidence, such as expert opinions, must undergo court examination before it can be determined whether they may serve as the basis for reaching a verdict. The exclusion of illegally obtained evidence in the narrow sense provides a “double safeguard,” whereas evidence such as expert opinions, which cannot be subject to the rules on excluding illegally obtained evidence, offers only a “single safeguard.”


 


 


 


 


 


 


 


 


 


 

II. Substantive Illegality: Spiritual Coercion Beyond Formality


 


 

 


 


 


 


 


 


 

Unlike “formal illegality,” which arises from violations of legal provisions in the means or procedures used to obtain evidence, “substantive illegality” goes beyond superficial procedural defects. It requires determining the extent to which the means of evidence collection have suppressed the will and freedom of the person being investigated, as well as the substantial adverse impact such suppression has on judicial fairness. This reflects the deep-seated core value of the exclusionary rule for illegally obtained evidence.

The essence of substantive illegality lies in the severe and ongoing psychological coercion exerted on criminal suspects and defendants—specifically, the evidentiary methods used drive them into a state of mental incapacity or extreme difficulty in resisting, thereby forcing them to make confessions or statements that run contrary to their true intentions.


 


 


 


 


 


 


 


 

1. Exclusion of Repeated Confessions: A Limited Recognition of the “Fruit of the Poisonous Tree”


 


 


 

The “Interpretation of the Criminal Procedure Law,” the “Strict Provisions on Exclusion of Illegally Obtained Evidence,” and the “Procedures for Excluding Illegally Obtained Evidence” all clearly stipulate that any repetitive statements made by the defendant—statements identical to those obtained through coercive interrogation or other illegal means—and subsequently influenced by such coercive interrogation, shall be excluded in their entirety.


 


 


 


 


 


 

This rule draws in part on the “fruit of the poisonous tree” doctrine, emphasizing that evidence directly obtained through illegal means (the “poisonous tree”)—as well as derivative evidence derived from such evidence (the “secondary poisonous fruit”)—should, in principle, be excluded, thereby eliminating the ongoing deterrent effect of unlawful evidence gathering on those subject to investigation.

Meanwhile, in conjunction with the proviso clauses mentioned above, the approach taken toward repetitive statements is effectively one of “principle exclusion plus exceptions allowing admissibility.” On the one hand, this approach strengthens the protection of the defendant’s human rights by excluding illegally obtained evidence; on the other hand, it allows for the conditional admissibility of repetitive statements, thereby ensuring substantive justice and enhancing litigation efficiency.


 


 


 


 


 


 

In the case of Zheng Moumou’s embezzlement, bribery, and abuse of power... Its first guilty confession was made under threat. Under intense psychological fear, there is a risk that the suspect may not dare to alter their initial confession during questioning by the same investigating authority, resulting in a high degree of consistency between their earlier and subsequent statements. Therefore, it would be inappropriate to simply dismiss the suspect’s statements as having been influenced by earlier coercive methods merely because the subsequent interrogations conducted during the investigation phase did not involve overt threats. Consequently, the court ultimately decided to exclude these statements. Moreover, the opinion in this case also indicates that “in specific cases,” The voluntariness and reliability of a repeated confession should be assessed comprehensively, taking into account factors such as the nature and severity of the previously obtained illegal evidence, the progress of the legal proceedings, and any changes in the entity conducting the evidence collection. It is also necessary to determine whether there is sufficient evidence to dispel reasonable doubts that the defendant’s confession was obtained under duress, thereby deciding whether to exclude the repeated confession. ”。


 


 


 


 


 


 


 


 

2. Exclusion of Non-Repetitive Statements: The Prolonged Impact of Psychological Coercion


 


 



 

In practice, in addition to the inherent repetitiveness of the statements themselves, there may also be situations in which, during the course of coercive measures or evidence collection, sustained and intense psychological pressure is continuously exerted on the suspect or defendant (even if, at certain times, no torture or coercive interrogation techniques were employed or the pressure did not reach the level of torture or coercive interrogation), thereby severely restricting the individual’s freedom of will and compelling them to make statements against their true intentions. In such cases, the relevant statements should also be regarded as “substantially illegal” and excluded.


 


 


 


 


 


 

In the aforementioned “organized crime” case in Liaoning Province, most of the statements made by the defendant—whom I represented—during the period when he was placed under residential surveillance at a designated location were excluded. However, one statement was not excluded. Although no illegal practices such as beatings, unlawful use of restraints, or exhaustive interrogations—practices that had already led to the exclusion of other statements—occurred during the preparation of this particular statement, it was nonetheless prepared during the same time frame as the other excluded statements. Moreover, the interrogators involved in this statement were exactly the same as those who had prepared the previously excluded statements, and these same interrogators produced statements almost daily within a very short interval. All statements prepared before and after this particular statement had already been excluded, and the simultaneous audio-visual recording of the interrogation clearly showed that the interrogators had subjected the defendant to verbal threats while preparing the statement.

The author argues that, in fact, although the defendant did not suffer direct torture or coercive interrogation during the preparation of this statement, he was still compelled to make a confession against his own will precisely because of the severe fear that had been instilled—and persistently maintained—in him by the same interrogators who had previously subjected him to torture and coercive interrogation. Although the defendant’s statement was not simply “maintaining his original confession” but rather “making a new confession,” both were made in violation of his true intentions due to the psychological coercion that had already taken root and continued to exert its influence. Therefore, such statements should also be regarded as substantive illegal evidence and excluded from consideration.


 


 


 


 


 


 

The prohibition on illegally obtaining evidence from relevant personnel—especially the strict ban on torture and coercive interrogation—is fundamentally aimed at safeguarding the basic human rights and right to silence of those subject to evidence collection, such as criminal suspects and defendants. It is forbidden to compel individuals to incriminate themselves, thereby ensuring the voluntariness and authenticity of verbal evidence. Moreover, in the process of excluding illegally obtained evidence, “voluntariness” takes precedence over “authenticity.” Relevant regulations also take as the core criterion for determining whether a statement should be excluded whether it “caused the defendant to suffer unbearable pain and thus ‘make a statement against his or her will,’” rather than whether the defendant “made a truthful statement against his or her will.”

In other words, if a suspect or defendant has had their “freedom of will deprived” or their “capacity for rational decision-making severely impaired” due to torture or coercive interrogation, rendering their statements involuntary, then as long as they remain in the same ongoing environment of psychological coercion, such statements should also be excluded because their voluntariness cannot be confirmed.


 


 


 


 


 


 


 


 


 

III. The Significance and Challenges of Excluding Illegally Obtained Evidence


 


 



 

The exclusion of illegally obtained evidence is a necessary safeguard for citizens’ fundamental rights—including their personal freedom, human dignity, right to privacy, and property rights—as well as for their moral and emotional well-being. It protects citizens from unlawful infringement by state authorities. By rejecting the “improper outcomes” (illegally obtained evidence) resulting from unlawful acts, we raise the cost of violating the law, thereby ensuring that evidentiary practices in criminal proceedings comply with legal procedures.

The core of the exclusionary rule for illegally obtained evidence lies in determining whether such evidence is admissible—rather than verifying its specific content. Therefore, while the exclusion of illegally obtained evidence may sometimes hinder the discovery of the true facts in individual cases, its fundamental goal is to enhance the overall reliability of evidence and the legitimacy of the fact-finding process by standardizing evidentiary practices. In doing so, it better facilitates the more accurate determination of the facts in a case from a macroscopic perspective and within the context of historical development.


 


 


 


 


 


 

In China’s judicial tradition, the pursuit of substantive justice has deep historical roots. The exclusion of illegally obtained evidence often faces pressure from the goal of achieving “neither letting the guilty go free nor punishing the innocent.” Therefore, it remains crucial to more effectively instill among judicial personnel the principle of realizing substantive justice through due process.

In particular, the criteria—such as “causing the suspect or defendant to suffer unbearable pain against their will”—as stated in confessions, and the standard that physical and documentary evidence “may seriously undermine judicial fairness”—bestow considerable discretionary power on judicial personnel, leading to inconsistent application in practice. There is a need for more refined guidelines and guidance from exemplary cases. Moreover, issues such as the difficulty for the defense to present evidence, the formalistic nature of proof presented by the prosecution, inadequate implementation of the audio- and video-recording system, and low attendance rates of investigators in court all constrain the effective practical application of the exclusionary rule for illegally obtained evidence.


 


 


 


 


 


 

The exclusion of illegally obtained evidence still looks appealing, but it’s incredibly difficult to put into practice.


 


 


 

And E

About the Author

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Yang Qichen

Beijing Xinglai Law Firm

Partner

Bachelor of Laws and Bachelor of Management from China University of Political Science and Law. Practicing mentor at the School of Criminal Justice of China University of Political Science and Law, with qualifications for securities and futures trading. Has worked for many years in the procuratorial organs of Beijing Municipality and the organizational departments of district Party committees, participating in the handling of hundreds of cases involving various types of crimes, including property infringement crimes, crimes against personal rights, crimes endangering public safety, economic crimes, official misconduct, sexual offenses, gambling offenses, drug-related crimes, crimes damaging environmental and resource protection, crimes committed by “evil forces,” and cases involving compulsory medical treatment procedures. Possesses extensive practical experience in criminal justice.


 

Since beginning practice, I have handled a variety of major and complex cases, including economic crimes, official misconduct crimes, crimes committed by “evil forces,” crimes endangering public safety, and mining-related crimes. In numerous cases, I have achieved favorable defense outcomes such as non-prosecution, withdrawal or modification of charges, and lighter or reduced sentences.


 

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Criminal defense, appeals and complaints, as well as prevention of criminal legal risks for enterprises.



 

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