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Imperatrix v. Dongaji Andaji

Bombay High Court
Apr 29, 1878
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Structured Summary of the Provided Opinion

Factual and Procedural Background

An appeal was preferred by a convicted person against the finding and sentence of the Sessions Court of Puna. While the appeal proceedings were pending, the convict died in jail. The sentence included a fine of one thousand rupees. Under Section 70 of the Penal Code the estate of the deceased convict remained liable for the fine. Mr. Vinayak Pandit applied to be heard against the conviction: he produced a power of attorney from the deceased (which terminated on the principal's death) and offered a vakalatnama signed by the convict's representative. The representative's right to prosecute the appeal was questioned. The Court considered whether, given the appellant's death, the appeal could be proceeded with or whether it abated.

Legal Issues Presented

  1. Whether the representatives or other persons may prosecute or continue a criminal appeal after the appellant (convict) has died.
  2. Whether, after the death of the appellant, the Appellate Court should proceed to consider and decide the appeal on its merits.
  3. If the appeal cannot be continued by representatives, whether the High Court may nevertheless call for the record and exercise its powers of revision to correct any error in law or excessive sentence.

Arguments of the Parties

Mr. Vinayak Pandit's Position

  • Mr. Vinayak Pandit sought to be heard against the conviction on behalf of the deceased convict's interests because the estate remained liable for the fine under Section 70 of the Penal Code.
  • He relied on a power of attorney granted by the deceased convict; however, the opinion notes that the power of attorney terminated on the death of the principal.
  • He offered to produce a vakalatnama signed by the convict's representative to prosecute the appeal on the convict's behalf.

The opinion records the Court's conclusion that the representative so offering a vakalatnama had no locus standi to continue the appeal under the criminal procedure as framed by the statutes and that the power of attorney had terminated on death. No other party arguments were detailed in the provided opinion.

Table of Precedents Cited

Precedent Rule or Principle Cited For Application by the Court
Reg v. Lalla Karwar (5 Bom. H.C. Rep., 63 Cr. Ca.) Cited in relation to the levy of fines out of the convict's movable property (and reference to Criminal Procedure Code, Section 307 on levy). Used to illustrate that a fine is leviable out of movable property and continues to be leviable after death, establishing the interest of representatives in overturning a wrongful fine.
Reg v. Roberts (2 Strange's Rep. 937) Shortly reported precedent where a certiorari was awarded and the convicted defendant died before argument, but the Court proceeded and affirmed the conviction. Relied upon to show an English precedent where supervisory jurisdiction (certiorari) was exercised notwithstanding the death of the convicted person; used by the Chief Justice to analogize supervisory power available to the High Court.
The King v. Berkley (1 Kenyon, 81) Quoted for the doctrinal principle that the Crown, through the Court of Queen's Bench, exercises supervisory control over inferior jurisdictions (basis for certiorari supervision). Invoked to support the proposition that a supervisory remedy (like certiorari / revision) operates to keep inferior tribunals within bounds and may justify the High Court calling for records ex mero motu, even when no appeal survives.

Court's Reasoning and Analysis

Opinion A (initial opinion preceding Kemball, J.)

The opinion begins by identifying the procedural difficulty: the appellant died during the pendency of his appeal. It reasons from the text of Section 280 of the Criminal Procedure Code, which empowers the Appellate Court, after perusing the lower court proceedings and after hearing the appellant, his counsel, or agent (if they appear), to alter or reverse findings or sentences, enhance punishments or order retrial. The Court reasoned that many functions conferred by Section 280 require an existing appellant (for example, hearing the appellant, enhancing imprisonment, or ordering a retrial). With the appellant dead, those functions cannot be exercised fairly: the Court cannot hear the appellant, cannot enhance imprisonment (and could only enhance a fine at the risk of penalizing an innocent person who had no opportunity to be heard), and cannot order a retrial. Given these constraints, the opinion holds that it would be improper to "peruse the proceedings" merely in the hope of finding grounds to relieve the convict's representative; consequently, the appeal should not be considered on its merits and has abated.

The initial opinion does note a distinction between appellate jurisdiction and the Court's revisional (supervisory) jurisdiction under Section 297: as a Court of Revision, the High Court could call for proceedings and intervene ex mero motu to correct legal errors or excessive sentences, even if no person has a right to be heard. But, in the view recorded, no error of law or excessive sentence existed on the facts found by the Sessions Court, so there was no basis to exercise revision. Therefore, the appeal as an appeal abated on the appellant's death.

Kemball, J. (Dissenting in Part)

Kemball, J. agreed that the representatives of the deceased cannot themselves prosecute the appeal. However, he dissented as to the conclusion that the appeal abated. He held that the hearing of the appellant, his counsel or agent, is not an indispensable precondition for the Court to consider an appeal. Because all necessary preliminary steps enabling the Court to hear the appeal had been completed before the appellant's death and the record and proceedings were before the Court, Kemball, J. considered the Court bound to dispose of the case on its merits.

He rejected the argument that the inability to exercise certain discretionary powers (for example, enhancing imprisonment or ordering retrial) should prevent the Court from deciding the appeal at all. He observed that considering the appeal could be in the interest of the convict's representative (for example, if the fine remained unpaid and the estate was liable), and noted that many appeals are disposed of without the personal attendance of appellants. He concluded the Court should decide the matter as a Court of Appeal, not merely as a revisional authority.

Michael Westropp, C.J. (Concluding Opinion)

The Chief Justice agreed with the conclusion that the appeal had abated. He acknowledged the representatives' interest in overturning a wrongful fine (since fines leviable out of the convict's movable property continue to be so leviable after death), but stressed that the Criminal Procedure Code did not confer any authority on heirs, legatees, or executors to continue an appeal on behalf of a deceased convict. The High Court cannot assume the appellant's position nor appoint another person to prosecute the appeal.

The Chief Justice relied on the statutory scheme: appeals exist only where a statute provides (Section 286 prohibits appeals except as provided by the Code or any law in force). The High Court's power of revision (Sections 294 and 297) is, however, broad and may be exercised ex mero motu; representatives without the right to appeal may still present grievances to the High Court, which may call for the record under revisional powers if a prima facie case for interference is shown. He invoked English authorities on certiorari and supervision to illustrate that supervisory jurisdiction can operate notwithstanding the death of a party (citing Reg v. Roberts and the authority of The King v. Berkley), and concluded that the appeal itself abated, though the High Court retained the right to call for the record and make such orders as justice required under its revisional jurisdiction.

Holding and Implications

Core Ruling: APPEAL ABATED

Direct consequences (as stated in the opinion):

  • The criminal appeal cannot be continued by the deceased appellant's representatives; the appeal abates on the appellant's death.
  • The representatives (heir, legatee, executor or other) have no statutory authority to prosecute or continue the appeal under the Criminal Procedure Code as it stands.
  • The High Court retains the power to call for the lower court record and to exercise its revisional (supervisory) jurisdiction under Sections 294 and 297 of the Criminal Procedure Code to correct errors in law or excessive sentences, and representatives may bring grievances to the High Court for that purpose.
  • The estate of the deceased remains potentially liable for any fine imposed (reference made to the statutory position and to Reg v. Lalla Karwar), and that gives the representatives an interest, though it does not confer the right of appeal.

Broader implications and judicial division: The opinion records two differing views among the judges: one judge (Kemball, J.) would have the Appellate Court decide the appeal on its merits where all necessary steps to enable hearing had been completed before death; the other(s) (including the Chief Justice) concluded the appeal itself abated while recognizing the High Court's revisional supervisory powers. The final declared result in the provided opinion is that the appeal abates. The opinion also clarifies the procedural path for redress available to representatives—reliance on the High Court's revisional jurisdiction—rather than continuation of the appeal by private representatives.

Show all summary ...

1. The proceedings in this case have been called for with the view of hearing an appeal preferred by the convict against the finding and sentence of the Sessions Court of Puna. In the meantime the convict has died in Jail.

2. The sentence included a fine of one thousand rupees; and as, under Section 70 of the Penal Code, the estate of the deceased convict is still liable for the discharge of this fine, Mr. Vinayak Pandit asks that he may be heard against the conviction.

3. Mr. Vinayak holds a power of attorney from the deceased convict, but this power was terminated by the death of the principal. He offers to produce a vakalatnama signed by the convict's representative; but it is clear that such representative has no locus standi in the case. In criminal cases, in which the sentence involves a fine or forfeiture of property, the representative of a deceased convict is, no doubt, interested in procuring a reversal of such sentence, and the Legislature might, if it had seen fit, have given to such representative the right of prosecuting an appeal. But it has not seen fit to do so. That right is given to the convict only; and, when he dies, no one can be heard in support of the appeal.

4. The question remains--whether, after the death of the appellant, we ought, as an Appellate Court, to consider the propriety of the conviction and sentence, notwithstanding that there is no longer any person in existence who can prosecute the appeal. I think that we ought not. Section 280 of the Criminal Procedure Code says that "the Appellate Court, after perusing the proceedings of the lower Court, and after hearing the appellant, his counsel, or agent, if they appear may alter or reverse the finding and sentence or order of such Court, and may, if it see reason to do so, enhance any punishment that has been awarded, or order the appellant to be re-tried." It is manifest that, when the appellant is dead, we are unable to exercise most of the functions assigned by this section to a Court of Appeal. We cannot hear the appellant. We cannot enhance any sentence of imprisonment. We might enhance a fine; but, by so doing, we should only be punishing an innocent person, who has had no opportunity of being heard. We cannot order the appellant to be re-tried. It being, therefore, impossible for us to deal with the appeal thoroughly, I do not think that we ought to "peruse the proceedings" for the purpose of forming an opinion on the facts, and on the chance that we may thereupon find some ground for interfering on behalf of the convict, or rather of his representative.

5. In a recent case the Chief Justice and myself did consider the proceedings in a criminal case after the death of the convict. But the proceedings in that case had been called for under Section 297, and we were sitting as a Court of Revision. No person has any right to be heard before the High Court in the exercise of its powers of revision. The Court is not supposed to be acting on the application of the convict, but in the exercise of its power of supervision over subordinate Courts, and with a view to correcting their errors. I think that we should have power to interfere in the present case, as a Court of Revision, if we saw any error in law, invalidating the conviction, or if the sentence were too severe for the offence which has been held by the Sessions Court to be proved. But I can see no error in law, nor is the sentence excessive, if, the facts be as the Sessions Court has found them. We cannot, therefore, exercise our powers of revision; and, considering the case before us solely as an appeal, I am of opinion that the appeal abated on the death of the appellant, and that our functions as an Appellate Court ceased.

Kemball, J.

6. I agree in thinking that the representatives of the deceased convict cannot prosecute this appeal. But I am unable to concur in the view that the appeal abated, and our functions as an Appellate Court ceased upon the death of the appellant.

7. The question is not without its difficulties; but my opinion is that, as the hearing of the appellant, his counsel, or agent, is not an indispensable condition to considering an appeal, and as everything that was necessary to be done to enable us to hear this appeal was done before the death of the appellant, we are bound, having the record and proceedings before us, to dispose of the case on its merits.

8. Assuming that the law imposes no obstacle, I do not think the question of our ability to proceed ought to be affected by the consideration that we are unable to exercise some of the discretionary powers vested in us as a Court of Appeal, or able to exercise others to the detriment of an innocent man unheard. It may or may not be to the interest of the representative to clear the memory of the deceased appellant; but, irrespective of that question, I think the balance of advantages to such representative is in favour of the appeal being considered. Supposing the fine not to have been paid at the time of his death, the property of a deceased convict is, as we know, answerable in the hands of his legal representative for such fine, provided that the period limited for its levy has not expired. And there is this further to be considered, that the Appellate Court, in consenting to call for the papers, has so far pronounced in the convict's favour.

9. It is an undoubted fact that a great number of appeals are disposed of by this Court without the appellants being heard in person or by counsel; probably because the appellants are in jail, and are too poor or too ignorant to employ counsel. No doubt the proviso as to appearance in Section 280 of the Criminal Procedure Code applies to such cases, but whatever may have been the intention of the Legislature, it would also literally apply to the case now under consideration. I have no doubt that, as a Court of Revision, we could dispose of this case, but I think we are bound to decide it as a Court of Appeal.

[The learned Judges, having differed in opinion, as appears from the above minutes, the case was laid before the Honourable the Chief Justice under the provisions of Section 271 of the Code of Criminal Procedure.] Michael Westropp, C.J.

10. It is true that the fine, which is leviable out of moveable property only of the convict (Criminal Procedure Code, Section 307, Reg v. Lalla Karwar, 5 Bom. H.C. Rep., 63 Cr. Ca.), continues to be so leviable after his death (Penal Code, Section 70*), and, therefore, his representatives or legatees, as the case may be, are, if the fine have been wrongfully imposed, injuriously affected after his death by the sentence which so imposed the fine, and have an interest in continuing the appeal which he had instituted in his life-time. There is not, however, so far as I can perceive, any authority given, either expressly or by direct implication, to them to continue such an appeal, or to bring a new appeal. The Criminal Procedure Code has not made any provision for the continuance of the appeal either by the heir, or devisee, or executor of the deceased convict, or by any other person. The High Court cannot itself assume the position of the appellant and conduct the appeal, and has not power conferred upon it to depute any other person to do so. It has been frequently held in England that an appeal lies only where it is given by statute, expressly or by inevitable implication, and in this respect differs from a certiorari, which is a common law right, and always lies, unless it be expressly taken away. (The cases are collected in 1 Burns' Justice, Titles 'Appeal,' p. 219, and 'Certiorari,' p. 617, 30th edn.). Section 286 of the Criminal Procedure Code prohibits appeals in any case except those provided for by the Code itself, or by any law for the time being in force. The power of revision in the High Court is not, indeed, a common law right like the writ of certiorari, but it is given by Sections 294, 297 of the Criminal Procedure Code (1872) in the widest terms, and is even more extensive than the proceedings by certiorari to which the Court of Queen's Bench resorts upon application only, whereas the High Court may and frequently does exercise its power of revision ex mero motu. Section 297 shows that the case may be either called for by the Court itself, or may be reported for orders, or brought to the knowledge of the Court in any way, so that, even though there may be no right in the next of kin, legatee, or other representative of the deceased convict to appeal or continue an appeal already lodged by the convict, such representatives are not without the means of attaining justice. They may bring their grievances to the knowledge of the Court, which will, if a prima facie case for interference be shown, call for the record with a view to revision and rectification. In the case of an appeal the appellant has the carriage of the proceedings, but in the exercise of its revising power the High Court conducts the proceeding. It is an important branch of its duty of supervision of the Courts subordinate to it. So in England "it is the undoubted prerogative of the Crown to see that all inferior jurisdictions are kept within their proper bounds, and on that principle the whole doctrine of certiorari proceeds,' {per Foster, J., in the case of the King v. Berkley, 1 Kenyon, 81 at p. 103), and, therefore, the Court of Queen's Bench, the medium through which the Crown exercises that prerogative, having a general superintendency over all Courts of inferior jurisdiction, may award a writ of certiorari to remove the proceedings from any of them, unless some particular statute or charter invests them with absolute judicature (1 Burns' Justice of the Peace, tit. 'Certiorari,' pp. 616, 617). The circumstance that the jurisdiction under that writ is one of supervision and not of appeal, may account for the decision Reg. v. Roberts (2 Strange's Rep. 937), which is shortly reported thus: "The defendant, being a bricklayer, was convicted, for not building party walls according to the statute, and having brought a certiorari died before argument, notwithstanding which the Court would go on and affirm the conviction."

11. If I am right in supposing that the determination of the Court of King's Bench in that case proceeded upon the principle of supervision, it is an a fortiori precedent for the High Court, which, in the exercise of its duty of superintendence, ma y and, perhaps, most frequently does act ex mero motu. I have not been able to find any instance of the Court allowing an appeal from a conviction or a writ of error in a criminal case to proceed where the appellant or plaintiff in error had died. I infer from this that the Court of Queen's Bench would regard the proceedings in such cases as having finally abated, and would, in a manner, apply to such proceedings the maxim which Courts do apply to civil actions, and more especially to such actions when in form ex delicto--"actio personalis moritur cum persona." I do not, however, know any criminal case in which the English: Courts have expressly resorted to that maxim.

12. My opinion is, that the appeal in the present case has abated, and cannot be permitted to proceed further. I think that the High Court has, however, this right to call for the record, and make such order thereon as it may deem t;o be due to justice. I do not understand that my opinion is required by my brothers Melvill and Kemball on the question whether such a case has been made as to render it desirable that the record should be brought up.

13. The appeal abates.