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Smart Summary

Factual and Procedural Background

On 21 November 1979 at about 16:45 near village Sonvadi on National Highway No. 8, police intercepted an Ambassador car No. MRC-9894 coming from Bombay. The respondent-accused, Uttam Bhikhu Prajapati, was driving and another accused, Chunilal Durlabhji Thakkar, was a passenger. The police recovered 313 bottles of foreign liquor (various brands) valued at Rs. 13,932 and cash amounting to approximately Rs. 2,826 from the car. The vehicle and the seized articles were taken into custody and the two accused were chargesheeted under the Bombay Prohibition Act, 1949.

At the start of the summary trial, the respondent-accused submitted a written purshis (Ex. 11) pleading guilty and seeking mercy on grounds including: it was his first offence; he would not re-offend; the offence resulted from ignorance of law; desire for an opportunity to improve; and that he was poor with many children to maintain. The trial Court accepted the guilty plea, convicted him under Sections 65(a) & (e), 66(1)(b) and 81 of the Bombay Prohibition Act, 1949 and sentenced him to rigorous imprisonment for 15 days and a fine of Rs. 40/-, default further R.I. for 10 days; substantive sentences to run concurrently.

The other accused, Chunilal Durlabhji Thakkar, refused to plead guilty; his trial was separated and remains pending. The State of Gujarat appealed against the sentence seeking enhancement.

Legal Issues Presented

  1. Whether the sentence imposed by the trial Court was illegal because it was below the minimum sentence prescribed by Section 66(1) of the Bombay Prohibition Act, 1949.
  2. Whether the grounds advanced by the respondent-accused (first offence, poverty, family responsibilities, ignorance of law, promise to reform) constitute "special and adequate" reasons to justify sentencing below the statutory minimum.
  3. Whether an appellate court may enhance the sentence where the conviction and sentence resulted from plea bargaining (i.e., where the accused pleaded guilty in the expectation of leniency), in view of Article 21 of the Constitution.
  4. Whether, given the circumstances (including a separate pending trial of a co-accused and apparent prosecutorial/trial negligence), the proper remedy is enhancement of sentence or remand for fresh trial/decision on merits.

Arguments of the Parties

Appellant's (State) Arguments — Mr. D. K. Trivedi, A.P.P.

  • The impugned sentence is illegal because it is contrary to the minimum sentence prescribed under Section 66(1) of the Bombay Prohibition Act.
  • The respondent was transporting illicit liquor; Section 66(1) provides a minimum sentence which should have been imposed.
  • The grounds advanced by the respondent for leniency are not "special and adequate": being a first offender and being poor with dependants are common and cannot be termed special.
  • If poverty and family responsibilities are treated as special reasons, the proviso to the statute permitting departure from the minimum would be rendered nugatory.
  • Relied on Meet Singh v. State of Punjab (AIR 1980 SC 1141 / 1980 Cri LJ 802) to support the proposition that "special reasons" must be special to the accused and not general.
  • Produced an affidavit and related documents to show that the respondent was implicated in another similar case (C.R. No. 38/80) involving the same car and similar offences, arguing that the sentence should be enhanced to meet the ends of justice and noting negligence by the investigating agency.

Respondent's Arguments — Mr. S. D. Patel (appointed counsel)

  • The case appears to involve plea bargaining: the accused pleaded guilty because he was induced to expect leniency; had he known a minimum statutory sentence would be imposed, he would not have pleaded guilty.
  • Plea bargaining under such circumstances is illegal and unconstitutional; it would be unfair to enhance the sentence after inducing a guilty plea.
  • Enhancing the sentence on the basis of a plea of guilty obtained by plea bargaining would violate Article 21 of the Constitution. The appropriate course is to set aside conviction and sentence and remand for trial so the accused can defend himself.
  • Relied on Thippeswamy v. State of Karnataka (AIR 1983 SC 747 / 1983 Cri LJ 1271) for the proposition that where plea bargaining induces a guilty plea, appellate enhancement is unfair and Article 21 must be respected; the correct remedy is remand to trial court.
  • If the court thinks enhancement is warranted, the respondent submitted that remand is the proper legal order to allow a fair opportunity to defend the charge.

Table of Precedents Cited

Precedent Rule or Principle Cited For Application by the Court
Meet Singh v. The State of Punjab, AIR 1980 SC 1141 (1980 Cri LJ 802) The phrase "special reasons" means reasons that are special to the individual accused or to the specific facts and circumstances of the case; common grounds (e.g., loss of job, being married with children) applicable to many cannot be treated as special and adequate to justify sentencing below statutory minimum. The court accepted the principle that the respondent's grounds (first offence; poverty; family responsibilities) were not "special and adequate" in the light of this precedent and thus did not justify a sentence below the statutory minimum.
Thippeswamy v. State of Karnataka, AIR 1983 SC 747 (1983 Cri LJ 1271) Where plea bargaining induces an accused to plead guilty and the Magistrate convicts and sentences on that plea, it would be violative of Article 21 to enhance the sentence on appeal or revision without giving the accused a fair opportunity to defend; the proper remedy is to set aside conviction and remand for trial. The court applied this principle to conclude that it could not fairly enhance the sentence imposed after a guilty plea induced by plea bargaining; consequently the court remanded the matter to the trial court rather than enhancing the sentence in appeal.

Court's Reasoning and Analysis

The court proceeded in the following analytical steps, based strictly on the material before it:

  1. Found that the trial Court's sentence was plainly less than the statutory minimum prescribed by Section 66(1) of the Bombay Prohibition Act for the offence of transporting illicit liquor.
  2. Examined the grounds advanced by the respondent for leniency (first offence, poverty and children to maintain, ignorance of law, promise to reform) against the Supreme Court's test in Meet Singh that "special reasons" must be special to the accused and not generic. The court concluded these grounds were not "special and adequate" to justify departure from the minimum sentence.
  3. Faced with the consequence that the sentence was below the minimum, the court considered whether it could enhance the sentence on appeal. It noted the respondent's plea had been entered after what appears to be plea bargaining and relied on Thippeswamy establishing that enhancement in such circumstances would violate Article 21 because the accused was induced to plead guilty by a promise of leniency.
  4. Because of the plea-bargaining context, the court held that enhancement by the appellate court would be unfair and unconstitutional; the correct course under the precedent was to quash the conviction and sentence and remand the matter to the trial court so the accused can, if he wishes, defend himself and the trial Court may decide the matter on merits.
  5. The court additionally addressed procedural and prosecutorial shortcomings: it observed that a separate criminal case (C.R. No. 38/80) involving the same accused, same car and similar offences existed, and that the investigating agency and trial court had been negligent in failing to coordinate and expedite trials. The court directed administrative attention to these procedural failings.

Holding and Implications

Holding: The appeal is partly allowed: the impugned order of sentence is quashed and set aside, and the matter is remanded to the trial court with directions to decide the case on merits according to law and to expedite the trial.

Direct consequences and directions recorded by the court:

  • The impugned sentence (conviction and sentence passed on the basis of the guilty plea) was quashed and set aside.
  • The case was remanded to the trial Court with a direction to decide the matter on merits according to law and to expedite trial because the alleged offence is old.
  • The record (R & P) was ordered to be returned immediately to the trial court.
  • The office was directed to forward a copy of the judgment to (i) Secretary, Home Department, Gandhinagar, and (ii) D.S.P. Bulsar, inviting their attention to observations about prosecutorial and trial delays (para 7).

Implications beyond the parties: The opinion did not announce a new legal principle; rather it applied existing Supreme Court precedents (Meet Singh and Thippeswamy) to the facts before it. The practical effect is that an accused induced to plead guilty by plea bargaining should be afforded a fresh opportunity to defend and the trial court should determine sentence on proper consideration of law and facts.

    The State Of Gujarat v. Uttam Bhikhu Prajapati .

    Vaidya, J.

    1. This appeal for the enhancement of the sentence arises out of the judgment and order dated 27th April, 1981, rendered in Summary Case No. 4295/80 passed by the learned J.M.F.C. Bulsar, wherein the respondent-accused Uttam Bhi-khu Prajapati, who on pleading guilty to the charge for offences under Sections 65(a) and (e), 66(1)(b) and 81 of the Bombay Prohibition Act, 1949, came to be convicted for the same and was ordered to suffer for each of the offence, R. I. for 15 days and to pay a fine of Rs. 40/- and in default, further R. I. for 10 days. The substantive sentences were ordered to run concurrently.

    2. Briefly, according to the prosecution, the alleged offence took place on 21st November, 1979, at 16.45 hours near village Sonvadi on National Highway No, 8. On the basis of the secret tip-off, P.S.I. B. P. Sarvaiya along with Panchas and another P.S.I. Thakore intercepted and searched one ambassador car bearing No. MRC-9894 coming from Bombay. It was found that the respondent-accused herein was driving the said car while another accused Chunilal Darlabhji Thakkar was travelling with him. On making further search, 313 bottles of foreign liquor of various brands valuing at Rs. 13,932/- and some amount to the tune of Rs. 2826/- in cash were recovered from the said car. P.S.I. Sarvaiya thereafter in presence of Panchas, seized the said car and muddamal articles recovered therefrom. On the basis of these facts, after the investigation was over, the two accused viz. (i) Uttam Bhikhu Prajapati and (ii) Chunilal Durlabhji Thakkar came to be chargesheeted to stand trial before the learned Magistrate for the alleged offences under the Bombay Prohibition Act, 1949 (for short the Act).

    3. That at the very commencement of the trial, out of the two accused, the respondent accused herein, submitted a written purshis Ex. 11 pleading guilty and praying for mercy in the matter of sentence mainly on the grounds viz. (i) that it was his first offence; (ii) that he will not commit the said offence in future; (iii) that the said offence has taken place due to ignorance of law; (iv) that he should be given ah opportunity to improve; and (v) that he is poor, having many children and burden of maintaining family upon him. As stated in earlier para 1 of this judgment, the trial Court accepting the plea of guilty convicted and sentenced the respondent-accused for the alleged offences. Since the another accused viz. Chanilal Durlabhji Thakkar refused to plead guilty, his trial was separated and as the record speaks, the said trial has not yet taken place.

    4. Hence, feeling aggrieved by the lenient sentence, the State of Gujarat has preferred this appeal for enhancement of the sentence.

    5. Mr. D. K. Trivedi, the learned A.P.P. appearing for the State submitted that the impugned order of sentence is on the face of it illegal being contrary to the minimum sentence prescribed under the Act. Mr. Trivedi further submitted that the respondent is alleged to have been found to be transporting the illicit liquor and the minimum sentence for the same is provided in Section 66(1) of the Act. Section 66(1) of the Act reads as under:

    Section 66(1). Whoever in contravention of the provisions of this Act, or of any rule, regulation or order made, or of any licence, permit, pass or authorisation issued, thereunder--

    Mr. Trivedi further submitted that by no stretch of imagination it can ever be said that any of the grounds advanced by the respondent-accused for taking a lenient view of the sentence, are in any way 'special and adequate'. He further submitted that the ground namely it was his first offence is of no consequence because even for the first offence, the minimum sentence has been provided in the Act. He further submitted that another ground namely that he was poor, having children and burden of maintaining his entire family was on him, is also of no consequence because if the same is taken as a special and adequate reason for awarding less than the minimum sentence, then the proviso would be rendered nugatory as in our country this can be a general ground. In support of his contention, Mr. Trivedi, invited my attention to the case reported in AIR 1980 SC 1141 : (1980 Cri LJ 802), in the case of Meet Singh v. The State of Punjab. The extract of its head-note reads as under:--

    The words 'special reasons' in the context in which they are used could only mean special to the accused on whom sentence is being imposed. The court has to weigh reasons advanced in respect of each individual accused whose case is taken up for awarding sentence. The word 'special' has to be understood in contradistinction to word 'general' or 'ordinary'. Thus anything which is common to a large class governed by the same statute cannot be said to be special to each of them. It would thus unquestionably appear that 'special reasons' in the contex of sentencing process must be special to the accused in the case of special to the facts and the circumstances of the case in which the sentence is being awarded.

    Where the only two reasons, special according to the High Court for awarding less than the minimum sentence where (i) appellant had lost his job and (ii) he was a married man with children.

    Held that the High Court exceeded its jurisdiction while interfering with the quantum of sentence.

    These two reasons would be common to ninety nine per cent of cases tried under Prevention of Corruption Act and if they can be styled as special reasons for awarding less than the minimum sentence the Proviso would be rendered wholly nugatory. The Court should not be oblivious to the fact that while conferring discretion in the matter of awarding adequate sentence within limits prescribed by the statute, the Legislature finding cases of misplaced sympathy in sentencing process fettered the courts discretion by prescribing a minimum sentence and making it obligatory to record special reasons for awarding less than the minimum.

    Mr. Trivedi in the course of his argument tendered an affidavit of Mr. D. D. Patil, P.B.I. along with a copy of the letter dated 20-9-1989 addressed to him by P.I Special Tank Force, Bulsar. Paragraph-2 of the said affidavit discloses that the respondent-accused was involved in yet one another offence vide C. R. No. 38/80 registered at Vasda Police Station for the alleged offences under Sections 66(1)(b), 65(a)(e) and 81 of the Bombay Prohibition Act. In the said case, it has been alleged by the prosecution that the respondent-accused was once again found transporting foreign made beer and brandy in Ambassador Car No. MRC-9894 on 2nd February, 1980 along with Chunilal Durlabhji Thakkar (who is accused No. 2 in this case) and Vithal Chana Kamadi of village Rinwad, Taluka-Daman, were arrested and chargesheeted on 10-7-1981 and the said case is pending in the court of the learned J.M.F.C. Vasda, District Valsad. In continuation of the above affidavit, the learned A. P. P. Mr. Trivedi has produced before this court a certified copy of judgment and order of acquittal dated 30th December, 1983 in Summary Case No. 207/87, which pertains to the above C. R. No. 38/80, a copy of which is ordered to be kept on record. On perusal of the said judgment, it appears that as per the instructions of the PSI Sarvaiya, PSI Vaidya intercepted and searched Ambassador Car No. MRC-9894 and recovered muddamal liquor bottles. It also appears that criminal case out of which the present appeal for enhancement of sentence arises as well as the Criminal Case No. 207/87 has taken place within the span of three to four months. Though, prima facie it appears that PSI Sarvaiya figures in investigation of both these cases, yet for whatever reasons the facts of the earlier case has not been brought on the record while trying the subsequent summary case No. 207/87. In both these cases, the accused persons, car number and the nature of offence committed, are practically the same. If that is so, this amounts to per se negligence of the investigating agency. The learned A.P.P. is directed to draw the attention of all the concerned departments regarding this fact. Such scant respect for the Prohibition Act is simply intolerable. In this view of the matter, according to Mr. Trivedi, the sentence should be suitably enhanced so as to meet with the ends of justice.

    6. As against the above, Mr. S. D. Patel, the learned advocate (appointed) appearing for the respondent-accused submitted that this apears to be a case of plea-bargaining. He submitted that if the accused were to know that he was to be imposed a minimum sentence prescribed under the Act, in that case he would not have pleaded guilty. Mr. Patel submitted that 'plea bargaining' is illegal and unconstitutional under the circumstances, submitted Mr. Patel, it would be unfair to enhance the sentence against the accused once having induced him to plead guilty. Mr. Patel further submitted that the impugned order of sentence apparently being as a result of plea bargaining, same was illegal and unconstitutional and deserves to be quashed and set aside. Mr. Patel submitted that if at all this court feels that the sentence passed by the trial court is inadequate, and that the same deserves to be enhanced to the extent of the minimum prescribed, then in that case, the order of remand can be the only legal order where the accused will have fair and reasonable opportunity to defend his case. In support of his submissions, Mr. Patel invited my attention to a decision reported in AIR 1983 SC 747 : (1983 Cri LJ 1271), in the case of Thippeswamy v. State of Karnataka, wherein it is held (at page 1272 of Cri LJ) --

    Where by reason of plea bargaining the accused pleaded guilty and was convicted and sentenced by Magistrate acting upon his plea of guilty, the enhancement of sentence by the appellate or revisional court in appeal or revision by acting on plea of guilty would not be reasonable fair and just. It would be clearly violative of Article 21, of the Constitution to induce or lead an accused to plead guilty under a promise or assurance that he would be let off lightly and then in appeal or revision, to enhance the senntece. The court of appeal or revision should, in such a case, set aside the conviction and sentence of the accused and remand the case to the trial court so that the accused can, if he so wishes, defend himself against the charge and if he is found guilty, proper sentence can be passed against him.

    There is lot of substance in the aforesaid submissions made by Mr. Patel. It appears from the circumstances of the case that but for the plea-bargaining the accused would not have pleaded guilty. Once that is the position, it would be necessary to remand the matter to the trial court. It can not be gain-Said that the submissions made by Mr. Trivedi, the learned A.P.P. have no force. It is so very apparent that the sentence awarded by the trial court is less than the minimum. It is equally apparent that the grounds advanced by the respondent-accused for taking lenient view in the matter of sentence, as referred to above, cannot be said to be a special and adequate reason in the light of the Supreme Court decision (supra). Having gone thus far with the learned A.P.P. he has still to cross one more hurdle viz. that this court cannot enhance the sentence passed on the basis of plea bargaining as it would be straightway violative of Article 21 of the Constitution of India. Mr. Trivedi, the learned A.P.P. in view of the aforesaid Supreme Court decision, conceded that the matter deserves to be remanded.

    7. During the course of the hearing, it was pointed out to this court by the learned A.P.P. that the trial of the another accused viz. Chunilal Durlabhji Thakkar, who pleaded not guilty, is still pending. This indeed is both shocking and unfortunate. In such cases, where there are more accused and trial are separated and pending and against some off the accused some proceedings are taken ahead before the higher court, then in that case, it is a duty of the trial court to bring to the notice of the said higher court that the trial against the accused concerned is pending and therefore it be permitted to retain the record till the trial is over. After doing that the trial court ought to have seen that the trial is expedited and the record is sent back to the higher court. It is also the duty of the prosecuting agency to see that the trials are conducted as expeditiously as possible. In this case, the prosecuting agency is not less irresponsible in delaying the trial. But for the sheer negligence of all concerned both the trial court as well as prosecuting agency has displayed utter negligence, this trial would not have been unnecessarily protracted for such a long period. No court much less prosecuting agency can ever afford to forget that the time is vital factor in criminal trial. Once it starts running out and the trial gets protracted, it can become an enemy of the prosecution because in the meantime the witnesses may die, leave the place of ordinary residence, forget the incident, resulting into failure of a case. Such a thing should not have happened. It is hoped that in future proper care will be taken by all concerned in such types of matters--

    8. In the result, this appeal is partly allowed. The impugned order of sentence is quashed and set aside. The matter is remanded to the trial court with a direction to decide the same on merits according to law. In view of the fact that the alleged offence is an old one, the trial court is directed to expedite the trial. The office to return the R&P of the case immediately.

    The office is directed to forward a copy of this judgment to (i) Secretary, Home Department, Gandhinagar, and (ii) D.S.P. Bulsar, inviting their specific attention to observations made in para 7 of this judgment.

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    Comments

    The State Of Gujarat v. Uttam Bhikhu Prajapati .
    (Aug 10, 1990)