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  • 81(4) and 121 of the Defence of India Rules
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  • 81(4) and 121 of the Defence of India Rules
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Structured Summary of the Opinion

Factual and Procedural Background

This is an appeal by the Government of the Province of Bombay against the acquittal of Yusofalli Mulla Noorbhai. The accused, sole proprietor of a crockery firm named Alladin Dhanji, was charged with contravening clause 6 of the Hoarding and Profiteering Prevention Ordinance (an offence punishable under clause 13(1)) for allegedly offering certain articles for sale on or about 26 May 1945 at prices higher than those permitted by the Ordinance.

The accused had previously been tried on the same facts in case No. 284.S of 1945 by the same Magistrate and acquitted on the ground that the sanction purportedly given under clause 14 of the Ordinance (signed by the Controller-General of Civil Supplies) was invalid in law. In the present (second) trial the learned Magistrate purported to acquit under section 403 of the Criminal Procedure Code, holding that the bar in s.403 applied because the earlier trial had been by a Court of competent jurisdiction and therefore barred further prosecution.

During the earlier stages of the second trial, counsel for the prosecution (Mr. Khandalawalla) informed the Magistrate, referring to a High Court decision in Emperor v. Purshottam Harjivan, that the Court was not competent to try the offence and declined to tender further witness evidence. This appeal arises from the Government's challenge to the acquittal entered by the learned Magistrate in that second trial.

Legal Issues Presented

  1. Whether the previous trial (case No. 284.S of 1945) was a valid trial within the meaning of section 403 of the Criminal Procedure Code, given that the sanction relied upon under clause 14 of the Ordinance has been held invalid;
  2. Whether an invalid or defective sanction obtained and produced in an earlier prosecution renders the earlier proceedings "completely null and void" so as to prevent the application of the bar in section 403 against a subsequent prosecution on the same facts;
  3. Whether principles from prior authorities (including Basdeo Agarwalla v. Emperor and cases dealing with section 195 and section 403 analogies) require that a prosecution instituted without prior valid sanction be treated as void ab initio, and hence not constitute a prior proceeding barring retrial.

Arguments of the Parties

Government's (Appellant's) Arguments

  • The learned Government Pleader contended that the earlier trial (No. 284.S of 1945) was not a valid trial within the meaning of section 403 of the Criminal Procedure Code because the sanction relied upon was invalid.
  • He relied principally on the Federal Court decision in Basdeo Agarwalla v. Emperor, which held that prosecutions initiated without the required prior sanction are null and void and must be regarded as such.

Counsel for the Accused (Respondent) and the Learned Magistrate

  • Mr. Vimadalal (for the accused) sought to distinguish Basdeo Agarwalla on the ground that in the present matter a document purporting to be the requisite sanction had been obtained before proceedings in Court were commenced (even though the Court later held that sanction to be invalid).
  • Mr. Vimadalal also relied on Emperor v. Pandu Kusha and Emperor v. Vithal Tukaram to argue that expressions such as "nullity" used in prior cases had been interpreted not to mean an absence of jurisdiction ab initio, implying that the earlier trial should be treated as one by a competent court even if there were serious irregularities.
  • Mr. Vimadalal additionally relied on The Emperor v. Anant Narayan to argue, by analogy, that the accused should be protected from retrial in the interests of justice where the earlier proceedings had proceeded substantially to the end and the accused was not responsible for the technical defect.
  • The learned Magistrate (in the second trial) took the view that the previous trial was by a Court of competent jurisdiction and that the bar in s.403 applied; he emphasized that the bar is to prevent frivolous prosecutions and is not concerned with the character or status of the Court which tried the earlier case.

Table of Precedents Cited

Precedent Rule or Principle Cited For Application by the Court
Basdeo Agarwalla v. Emperor (Federal Court) Clause requiring prior sanction for prosecution must be observed strictly; prosecutions initiated without requisite prior sanction are "completely null and void" and new proceedings must be commenced ab initio if sanction is subsequently given. The Court treated the principle as directly applicable: if the sanction produced in the earlier trial was invalid, the prosecution in that earlier trial was not validly instituted and must be regarded as null and void for the purposes of s.403.
Emperor v. Pandu Kusha Used in that case the expression "necessarily a nullity" where a jury trial had an illegal number; previously interpreted by this Court as not meaning ad initio absence of jurisdiction. The Court distinguished this authority: it held that Pandu Kusha's phraseology was interpreted by this Court in a limited way and could not be extended to override the Federal Court's clearer phrase "completely null and void" in Basdeo Agarwalla.
Emperor v. Vithal Tukaram Arising from Pandu Kusha; dealt with plea of bar under s.403(1) after earlier acquittals in circumstances of jury irregularity. The Court referred to it together with Pandu Kusha to explain a prior interpretation but rejected that line of distinction as inapplicable where an earlier prosecution lacked requisite sanction and was declared null and void.
Emperor v. Jivram Dankarji Analogy concerning s.195: where no proper complaint or requisite sanction existed, the Court which tried the earlier case had not been competent to try a later, distinct offence; fell under s.403(4). The Court used this as a useful analogy to support the proposition that absence of a required sanction/complaint can render earlier proceedings not competent for the purposes of s.403.
Emperor v. Ambaji Dhakya Katkari Followed Jivram Dankarji; words "not competent to try" in s.403(4) include "not having jurisdiction to try" where requisite procedural prerequisites (like complaint/sanction) were absent. The Court cited this case to show the High Court's tendency not to distinguish between competency/jurisdiction and validity of trial under s.403.
In re Ganapathi Bhatta (Madras High Court) Contrasting view: a sanction under s.195 is a condition precedent for institution of proceedings rather than a condition of the competency of the tribunal. The Court noted this contrasting view but observed that their High Court has not been inclined to draw a material distinction between competency/jurisdiction and validity of trial under s.403.
The Emperor v. Anant Narayan Principle applied to prevent retrial in the interests of justice where the accused had already undergone a lengthy and complete trial and an autrefois acquit plea, though technically unavailable, was treated as available in the circumstances. The Court considered and rejected application of that principle to the present case, finding the facts materially different (no prior lengthy and complete trial here and the defect was quickly repaired by obtaining a fresh sanction).
Emperor v. Chinna Kalliappa Gounden Principle (as enunciated by Subrahmania Ayyar J.) relied on in Anant Narayan regarding interests of justice in preventing retrial. The Court referred to the principle but concluded it was inapplicable on the facts of the present case for the reasons explained in its analysis.
Emperor v. Purshottam Harjivan High Court decision referenced by prosecution counsel as indicating the Court was not competent to try the offence (specific holding not reproduced in full in this opinion). The Court noted that prosecution counsel referred to that decision during the earlier stages of the second trial; the opinion does not record the full judgment but acknowledges the reference.

Court's Reasoning and Analysis

The Court proceeded by addressing the central contention: whether the earlier trial (No. 284.S of 1945) amounted to a valid trial within section 403 of the Criminal Procedure Code.

1. The Court began by identifying the Federal Court's decision in Basdeo Agarwalla v. Emperor, which held that where a statutory provision mandates prior sanction for prosecution, that requirement must be observed strictly and prosecutions initiated without such prior sanction are "completely null and void." The Court treated the wording and declared effect in Basdeo as plain and imperative.

2. The Court rejected the distinction pressed by Mr. Vimadalal that Basdeo differed because in the present case a document purporting to be the requisite sanction had been obtained before proceedings commenced. The Court reasoned that if the produced sanction in the earlier case was invalid, then in principle the earlier prosecution was not instituted with the requisite sanction and must be treated as not validly instituted—i.e., null and void in the same sense as in Basdeo.

3. The Court considered authorities (Emperor v. Pandu Kusha and Emperor v. Vithal Tukaram) relied upon by Mr. Vimadalal which used the phrase "necessarily a nullity" in the context of a jury irregularity. The Court explained that earlier interpretations of that phrase did not mean the earlier court lacked jurisdiction ab initio, but the Court found it impossible to apply that narrower interpretation to the Federal Court's explicit finding of "completely null and void" where the requisite sanction was absent. Thus, Pandu Kusha was distinguished.

4. The Court drew analogies from cases decided with reference to section 195 of the Criminal Procedure Code (Emperor v. Jivram Dankarji and Emperor v. Ambaji Dhakya Katkari). Those cases demonstrated that absence of required procedural prerequisites (such as sanction or complaint) could render earlier proceedings not competent for the purposes of section 403, and the Court found these analogies useful to the present case.

5. The Court noted that while the Madras High Court (In re Ganapathi Bhatta) had taken a different view—that a sanction is merely a condition precedent to institution and not a condition of competency—this Court (and the authorities it relied upon) have not been inclined to draw such a distinction in applying section 403.

6. The Court also addressed the equitable principle relied upon from The Emperor v. Anant Narayan (that repeated trials in the interests of justice may be prevented where an accused has already undergone a complete and lengthy trial). The Court held that the facts necessary to invoke that principle (a prior lengthy complete trial and risk of different jury view on retrial) were absent in the present case: the first trial had a technical defect which the prosecution quickly remedied by obtaining fresh sanction and prosecuting without undue delay. For these factual reasons the Anant Narayan principle was inapplicable.

7. On the combined analysis, the Court concluded that the sanction produced in the earlier case was invalid; consequently that earlier prosecution was not validly instituted and could not be regarded as a valid trial within the meaning of section 403. Therefore the learned Magistrate's application of s.403 to acquit the accused in the second trial was incorrect.

Holding and Implications

Holding: The appeal is allowed. The order of the learned Magistrate acquitting the accused under section 403 of the Criminal Procedure Code is set aside, and the case is directed to be sent to the Chief Presidency Magistrate who shall refer it to any Magistrate other than Mr. Vyas for disposal according to law.

Implications:

  • The direct effect is that the acquittal entered by the Magistrate in the second trial is vacated and the prosecution may proceed by direction of the Chief Presidency Magistrate to another Magistrate (subject to law and any further procedural requirements).
  • The Court applied existing authorities (notably Basdeo Agarwalla v. Emperor and analogies from s.195 cases) to hold that a prosecution instituted without requisite valid sanction is to be treated as null and void for the purposes of s.403; thus an earlier trial relying on an invalid sanction does not constitute a valid earlier trial barring a subsequent prosecution under s.403.
  • The opinion does not state that it is laying down a novel principle beyond application of the cited authorities; the decision is grounded on the precedents and analogies discussed rather than on creating new legal doctrine. No broader precedent-creating language beyond the reasoning cited is explicitly stated in the opinion.

Appeal allowed. Order set aside and case remitted for further disposal as directed by the Court. (P.A.D.)

    Emperor v. Usofalli Mulla Noorbhai (Original Accused), .

    Sen, J.:—

    This is an appeal by the Government of the Province of Bombay against the acquittal of Yusofalli Mulla Noorbhai who was tried by the Presidency Magistrate, 6th Additional Court, Bombay, for contravention to the provisions of cl. 6 of the Hoarding and Profiteering Prevention Ordinance, an offence punishable under cl. 13(1) thereof. The accused was the sole proprietor of a firm named Alladin Dhanji, which dealt in crockery, and the case against him was that on or about May 26, 1945, he offered for sale a number of articles at prices which were higher than those allowed by the Hoarding and Profiteering Prevention Ordinance, such conduct on his part amounting to contravention of the provisions prescribed in cl. 6. The accused had previously been tried in case No. 284.S of 1945 on the same facts by the same Magistrate, but he was acquitted on the ground that the sanction required under cl. 14 of the Ordinance, which purported to have been given by the Controller-General of Civil Supplies, was invalid in law. In the present case the learned Magistrate has purported to act under s. 403 of the Criminal Procedure Code in acquitting the accused. Some time after the hearing had commenced learned counsel for the accused raised a preliminary objection against the present trial under s. 403, and on December 17, 1945, Mr. Khandalawalla, who appeared for the prosecution, made a statement that in view of the High Court's decision in Emperor v. Purshottam Harjivan, as the Court was not competent to try the offence he did not wish to tender the witnesses already examined for further cross-examination nor to lead further evidence. On November 20, 1945, this Court had decided that a notification issued under cl. 14 of the Hoarding and Profiteering Prevention Ordinance empowering the Controller-General of Civil Supplies to grant sanction for prosecution under the said Ordinance was invalid and ultra vires in the absence of proof that the officer so empowered was not below the rank of a District Magistrate. This was the decision referred to by Mr. Khandalawalla on December 17, 1945, though it does not appear that he produced the judgment of this Court at the time. It seems to us, however, clear in view of that decision that the sanction which was produced in case No. 284.S of 1945 cannot be regarded as a good sanction and that the learned Magistrate was right in following that decision. He held that “the filing of the charge sheet by the prosecution in that case (that is, case No. 284.S of 1945) was invalid in law because the sanction was signed by the Controller-General under notification of the Government of India and as such notification did not state that various officers therein mentioned were not above the rank of a District Magistrate” and that the invalidity of the sanction invalidated the prosecution in Court. The learned Magistrate in this case, however, has come to the conclusion that the Court was competent to try case No. 284.S of 1945, that “the bar is against the prosecution indulging in frivolous prosecution of and in protection of the accused” and that “this bar has no reference to the character and status of the Court of law, and has nothing to do with the competency of the jurisdiction of a Court law.” Holding, therefore, that the previous trial was by a Court of competent jurisdiction, he has held that the bar of s. 403 of the Criminal Procedure Code applies to the facts of this case and has accordingly acquitted the accused.

    The learned Government Pleader has contended that the trial in case No. 284.S of 1945 was not a valid trial within the meaning of s. 403 and that, therefore, the present trial is not barred under that section. He has relied mainly on a decision of the Federal court in Basdeo Agarwalla v. Emperor. There the Court was concerned with a case under the Drugs Control Order, 1943, cl. 16 of which provided that “no prosecution for any contravention of the provisions of this Order shall be instituted without the previous sanction of the Provincial Government……” This clause is very similar to cl. 14 of the Ordinance under consideration, which reads:

    “No prosecution for any offence punishable under this Ordinance shall be instituted except with the previous sanction of the Central or the Provincial Government or of an officer not below the rank (in a Presidency-town a Deputy Commissioner of Police, or elsewhere) of a District Magistrate empowered by the Central or the Provincial Government to grant such sanction.”

    In Basdeo Ayarwalla's case the accused, who was charged with two offences under the Drugs Control Order, was produced before the Chief Presidency Magistrate on May 2, 1944, and a challan under rr. 81(4) and 121 of the Defence of India Rules was also filed on the same day. Thereafter it was only on May 24, 1944, that the sanction required by cl. 16 seems to have been filed, and their Lordships held that the absence of sanction prior to the institution of the prosecution could not be regarded as a mere technical defect, and that the decision (as indicated by the sanction) whether the accused should be prosecuted or not under the provisions of the Order must be made before the prosecution was actually initiated. Their Lordships observed (p. 398):

    “In our judgment the words of clause 16 of this Order are plain and imperative, and it is essential that the provisions should be observed with complete strictness and where prosecutions have been initiated without the requisite sanction, that they should be regarded as completely null and void, and if sanction is subsequently given, that new proceedings should be commenced ab initio. Only so can the protection intended for the citizen be assured.”

    Their Lordships found that in that case the prosecution had been clearly instituted without the previous sanction required under cl. 16 and accordingly held that the whole proceedings in the case were null and void. It is no doubt true that in that case when the proceedings were initiated there had been no sanction at all, and Mr. Vimadalal on behalf of the accused has sought to draw a distinction between that case and the present one on the ground that in this case the document purporting to be the requisite sanction had been obtained before the proceedings in Court were commenced. It does not seem to us, however, that there is any distinction in principle on this point between the case decided by the Federal Court and the present case. If it is held, as we think it must be held, that the sanction that was produced in the earlier case was an invalid sanction, it must follow that the prosecution in the earlier case, not having been instituted with the requisite sanction, was not validly instituted. If that was so, it cannot be said that there was in the earlier case any proper or legal trial, and the words used in the Federal Court's judgment that the proceedings were “completely null, and void” would apply with equal force to the proceedings in case No. 284.S of 1945.

    Mr. Vimadalal, however, has contended that those words should not be interpreted to mean that the trial in the earlier case has been ab initio invalid or void. He has referred in this connection to Emperor v. Pandu Kusha and Emperor v. Vithal Tukaram. In the earlier of these cases certain accused persons having been tried by a jury in excess of the legal number (that is, by a jury consisting of 9 persons where the proper jury should have been composed of 5) it was held that the trial was “necessarily a nullity” and the convictions of the Appellant-accused were set aside and they were acquitted. Certain of the accused persons who had been acquitted at the trial, not being interested in the validity of the convictions of their co-accused who appealed to the High Court, remained satisfied with their acquittals, but later on they were again prosecuted; and the case of Emperor v. Vithal Tukaram arose out of those subsequent proceedings. Those accused persons pleaded the bar of s. 403(1) of the Criminal Procedure Code and contended that their retrial was improper and barred. This Court came to the conclusion that the expression that the earlier trial was “necessarily a nullity”, which appears in Emperor v. Pandu Kusha, did not mean that there had been a nullity in the sense that the Court had ad initio no jurisdiction to try the case; and it was held that the Court which had tried the earlier case had jurisdiction to try it although the Court had been guilty of a serious irregularity which might be said, in somewhat loose phraseology, to have resulted in a trial which was void or was a nullity. That is the manner in which this Court found it necessary to interpret the expression “necessarily a nullity” used in Emperor v. Pandu Kusha, with the reference to the facts of that case. It seems to us, however, that it is impossible to adopt a similar interpretation with regard to the expression “completely null and void” used by the Federal court in Basdeo Agarwalla's case and that there can be no doubt that the Court meant exactly what the expression says, having held that the prosecution had not been initiated with the requisite sanction. We must, therefore, uphold the argument of the learned Government Pleader that in this case the sanction which was produced in the earlier case not having been a valid sanction there was no valid trial within the meaning of s. 403 of the Criminal Procedure Code of case No. 284.S of 1945.

    On this point it seems to us that certain cases decided with reference to s. 195 of the Criminal Procedure Code provide a useful analogy to the present case. In Emperor v. Jivram Dankarji* the accused was tried in a Court of Session for abetment of forgery under ss. 467 and 109 of the Indian Penal Code and was acquitted. He was again tried for using as genuine the same forged document under s. 471 of the Penal Code, when it was objected that the previous acquittal was a bar to the second trial under s. 403 of the Criminal Procedure Code. It appears that at the time of the earlier trial there had been no proper complaint lodged in respect of the offence under s. 471 as required under s. 195 of the Criminal Procedure Code and it was held inter alia that the case fell under sub-s. (4) of s. 403, because the Court which had acquitted the accused on the charge of abetment of forgery had not been competent to try the offence under s. 471 of the Indian Penal Code, inasmuch as at the time of such trial there had been no proper complaint in respect of the latter offence. This decision was followed in Emperor v. Ambaji Dhakya Katkari*, where two previous prosecutions had been instituted against the accused; the first under s. 173 of the Indian Penal Code and the second under s. 174. The first case had been withdrawn on the ground that the prosecution was instituted under a wrong section and the second had also been withdrawn on the ground that there was no proper complaint in accordance with s. 195 of the Criminal Procedure Code. There was a third complaint under s. 174, on the same facts, and the accused was convicted. Fawcett J., in applying s. 403(4), held that the words “not competent to try” therein included the meaning “not having jurisdiction to try”, and the conviction was upheld. He differed from the view taken by the Madras High Court which had held that sub-s. (4) of s. 403 referred to the character and status of the tribunal when it referred to the competency to try an offence, and that a sanction under s. 195 of the Criminal Procedure Code was not a condition of the competency of the tribunal but only a condition precedent for the institution of proceedings: In re Ganapathi Bhatta. It will be seen that our High Court has not been inclined to draw any material distinction between the question of competency or jurisdiction of the Court and the question of the validity of a trial so far as the provisions of s. 403 of the Criminal Procedure Code are concerned. The material part of s. 195 of the Criminal Procedure Code referred to in the two decisions cited above is that no Court “shall take cognizance” of the offence except with the previous sanction, or on the complaint, of such Court, clearly showing that the proceedings as such be initiated, only on such sanction or complaint being given or made. The learned Government Pleader, however, has not argued before us that the Court which tried the earlier case had jurisdiction to try it, and it is unnecessary, in view of the conclusion we have already reached, to decide specifically this question.

    Mr. Vimadalal has finally relied on the case of The Emperor v. Anant Narayan, and has contended that in this case the present trial of the accused ought to be prevented in view of the principle enunciated in that case. There the accused a kulkarni, who was found to have misappropriated a certain amount belonging to Government, was charged first under ss. 409 and 466 of the Indian Penal Code in respect of two items, and the result of the trial, which was by a jury, was that he was acquitted. Later on he was again put on his trial in respect of a certain amount which was a part of the total amount which at the investigation he had been found to have misappropriated; and it was held that even if the plea of autrefois acquit under s. 403 of the Criminal Procedure Code was not technically available to the accused, the principle of it was in the circumstances of the case available to him in the interests of justice and that he should not be tried again for the third offence. The basis of the decision was the principle enunciated by Subrahmania Ayyar J. in Emperor v. Chinna Kalliappa Gounden. Mr. Vimadalal has contended, in view of the fact that at the carlier trial the proceedings had gone on almost to the end and as the accused was not responsible for the technical defect that resulted in his acquittal at that trial, that his second trial on the same facts should be regarded as unduly burdensome and should be prevented. We do not think, however, that this is a case to which the principle enunciated in Anant Narayan Kulkarn's case should be applied. In that case the accused had undergone one complete and lengthy trial already before the second trial was instituted, and the jury had unanimously held the accused not guilty; and though it seemed probable that the prosecution of the accused in that case was spilt up owing to some technical considerations, at least two circumstances which existed in that case are wanting in the present case, namely, that the accused had already suffered one lengthy and complete trial and that it was undesirable that in the second trial there should be any risk of the jury's taking a view different from the one taken at the first trial. In this case there has been a technical defect in the first trial, which the prosecution speedily repaired, and having obtained a fresh sanction have initiated the second trial without undue delay. We, therefore, think that there is no ground for applying the principle relied upon, to the present trial. Accordingly, we set aside the order of the learned Magistrate acquitting the accused and direct that the case should be sent to the Chief Presidency Magistrate who should send the case to any Magistrate other than Mr. Vyas for disposal according to law.

    Appeal allowed.
    P.A.D
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    Comments

    Emperor v. Usofalli Mulla Noorbhai (Original Accused), .
    (Jun 17, 1947)