The Doctrine of ‘Prima Facie Case’ in Criminal Cases

Jojy George Koduvath.

Preface

The term prima facie has been authoritatively explained by the Supreme Court in Balvir Singh v. State of Uttarakhand, AIR 2023 SC 5551, wherein the Court laid down the meaning and scope of the words as under:

  • “The Latin expression prima facie means “at first sight”, “at first view”, or “based on first impression”. According, to Webster’s Third International Dictionary (1961 Edn.), “prima facie case” means a case established by “prima facie evidence” which in turn means “evidence sufficient in law to raise a presumption of fact or establish the fact in question unless rebutted”.
  • In both civil and criminal law, the term is used to denote that, upon initial examination, a legal claim has sufficient evidence to proceed to trial or judgment. In most legal proceedings, one party (typically, the plaintiff or the prosecutor) has a burden of proof, which requires them to present prima facie evidence for each element of the charges against the defendant. If they cannot present prima facie evidence, or if an opposing party introduces contradictory evidence, the initial claim may be dismissed without any need for a response by other parties.”

Introduction:

The doctrine of prima facie Case’ arises for consideration in various stages of criminal proceedings, as under:

  1. For Ordering Investigation under [Section 156(3), CrPC ] and Taking Cognizance & Issuing Process [Sections 190 & 204 CrPC]:
    What is required is the Prima Facie existence of sufficient ground to proceed. At this stage, the Magistrate needs only to be satisfied that the complaint discloses a cognizable offence warranting investigation.
  2. For Quashing of FIR [Section 482, CrPC ] :
    The test is whether the allegations in the FIR Prima Facie disclose the commission of a cognizable offence. The Court, while exercising jurisdiction under Section 482 of the Code or Article 226 of the Constitution, is not required to assess the merits of the allegations or examine the probability of conviction.
  3. For Framing of Charge / Discharge [Sections 227 to 239 CrPC]:
    The Court must examine whether the materials in the charge sheet and accompanying documents Prima Facie disclose sufficient grounds for proceeding against the accused. At this stage, the standard of proof required for conviction is not applicable—what is required is only a Prima Facie, not proof beyond reasonable doubt.
  4. Grant or Refusal of Bail:
    While deciding bail applications, courts examine whether a Prima Facie case exists against the accused.

1. S. 156(3) – Prima Facie ‘EXISTENCE OF SUFFICIENT GROUND TO PROCEED’

It is held in Sadiq B. Hanchinmani v. The State of Karnataka as under:

  • “38. In the background of the factual position, the JMFC’s Order dated 18.01.2018 cannot be faulted. Enough material is available to justify a full-fledged investigation by the police. The JMFC, to our mind, had rightly referred the matter for investigation to the police since a prima facie case stood made out against the accused, in view of the material that was available with the JMFC.
  • xxx
  • 40. The … JMFC had referred the matter to police under Section 156(3) of the Code, and the usage of ‘further’ was not in the context of Section 173(8) of the Code, which fine distinction the First Impugned Order has glossed over. The case(s) at hand, in our considered view, demonstrate material showing the commission of cognizable offence(s), on the face of itwhich would merit police investigation. Therefore, interdiction of the Impugned Orders is necessitated.”

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In Delhi Race Club (1940) Ltd. v. State of Uttar Pradesh, AIR 2024 SC 4531, it is held as under:

  • “If at the stage of pre-cognizance, the Magistrate is expected to be careful or to put it in other words, the Magistrate is obliged to look into the complaint threadbare so as to reach to a prima facie conclusion whether the offence is disclosed or not, then he is expected to be more careful when he is actually taking cognizance upon a private complaint and ordering issue of process.”

In Vinubhai Haribhai Malaviya v. State of Gujarat, AIR 2019 SC 5233; 2019-17 SCC 1 (R.F. Nariman, Surya Kant, V. Ramasubramanian, JJ.) it is held as under:

  • “42. … To say that a fair and just investigation would lead to the conclusion that the police retain the power, subject, of course, to the Magistrate’s nod under Section 173(8) to further investigate an offence till charges are framed, but that the supervisory jurisdiction of the Magistrate suddenly ceases midway through the pre-trial proceedings, would amount to a travesty of justice, as certain cases may cry out for further investigation so that an innocent person is not wrongly arraigned as an accused or that a prima facie guilty person is not so left out.”

In Sudhir Bhaskarrao Tambe v. Hemant Yashwant Dhage, (2016) 6 SCC 277, it is observed as under:

  • “2. This Court has held in Sakiri Vasu v. State of U.P., that if a person has a grievance that his FIR has not been registered by the police, or having been registered, proper investigation is not being done, then the remedy of the aggrieved person is not to go to the High Court under Article 226 of the Constitution of India, but to approach the Magistrate concerned under Section 156(3) CrPC. If such an application under Section 156(3) CrPC is made and the Magistrate is, prima facie, satisfied, he can direct the FIR to be registered, or if it has already been registered, he can direct proper investigation to be done which includes in his discretion, if he deems it necessary, recommending change of the investigating officer, so that a proper investigation is done in the matter. We have said this in Sakiri Vasu case because what we have found in this country is that the High Courts have been flooded with writ petitions praying for registration of the first information report or praying for a proper investigation.
  • We are of the opinion that if the High Courts entertain such writ petitions, then they will be flooded with such writ petitions and will not be able to do any other work except dealing with such writ petitions. Hence, we have held that the complainant must avail of his alternate remedy to approach the Magistrate concerned under Section 156(3) CrPC and if he does so, the Magistrate will ensure, if prima facie he is satisfied, registration of the first information report and also ensure a proper investigation in the matter, and he can also monitor the investigation.”

In Mehmood Ul Rehman v. Khazir Mohammad Tunda, (2015) 12 SCC 420, it is said as under:

  • “22… The satisfaction on the ground for proceeding would mean that the facts alleged in the complaint would constitute an offence, and when considered along with the statements recorded, would, prima facie, make the accused answerable before the court…In other words, the Magistrate is not to act as a post office in taking cognizance of each and every complaint filed before him and issue process as a matter of course. There must be sufficient indication in the order passed by the Magistrate that he is satisfied that the allegations in the complaint constitute an offence and when considered along with the statements recorded and the result of inquiry or report of investigation under Section 202 of CrPC, if any, the accused is answerable before the criminal court, there is ground for proceeding against the accused under Section 204 of CrPC, by issuing process for appearance. Application of mind is best demonstrated by disclosure of mind on the satisfaction…To be called to appear before criminal court as an accused is serious matter affecting one’s dignity, self respect and image in society. Hence, the process of criminal court shall not be made a weapon of harassment.” (Quoted in: Delhi Race Club (1940) Ltd. v. State of Uttar Pradesh, AIR 2024 SC 4531)

In Sunil Bharti Mittal v. C.B.I., (2015) 4 SCC 609, it is held as under:

  • “53. However, the words “sufficient ground for proceeding” appearing in Section 204 are of immense importance. It is these words which amply suggest that an opinion is to be formed only after due application of mind that there is sufficient basis for proceeding against the said accused and formation of such an opinion is to be stated in the order itself. The order is liable to be set aside if no reason is given therein while coming to the conclusion that there is prima facie, case against the accused, though the order need not contain detailed reasons. A fortiori, the order would be bad in law if the reason given turns out to be ex facie incorrect.” (Quoted in: Delhi Race Club (1940) Ltd. v. State of Uttar Pradesh, AIR 2024 SC 4531)

2. Quashing FIR – Prima Facie ‘DISCLOSE COMMISSION OF AN OFFENCE’ Matters

It is pointed out by the three-judge bench in  Neeharika Infrastructure Pvt. Ltd. v State of Maharashtra (Dr. DY. Chandrachud, M.R. Shah,  Sanjiv Khanna, JJ.), (2021) 19 SCC 401, that the court has to exercise the powers for quashing the FIR in a very sparing manner. It is observed as under:

  • “33.15. When a prayer for quashing the FIR is made by the alleged accused and the court when it exercises the power under Section 482 CrPC, only has to consider whether the allegations in the FIR disclose the commission of a cognizable offence or not. The court is not required to consider on merits whether or not the merits of the allegations make out a cognizable offence and the court has to permit the investigating agency/police to investigate the allegations in the FIR.’

The Apex Court, while discussing the powers to quash the first information report under Section 482 Cr. P.C or under Article 226 of the Constitution of India, in Satvinder Kaur v. State (Govt. of NCT of Delhi), (1999) 8 SCC 728 (K.T. Thomas & M.B. Shah, JJ.), it was observed and held as under:

  • “14. Further, the legal position is well settled that if an offence is disclosed the court will not normally interfere with an investigation into the case and will permit investigation into the offence alleged to be completed. If the FIR, prima facie, discloses the commission of an offence, the court does not normally stop the investigation, for, to do so would be to trench upon the lawful power of the police to investigate into cognizable offences. [State of W.B. v. Swapan Kumar Guha, (1982) 1 SCC 561 : 1982 SCC (Cri) 283] It is also settled by a long course of decisions of this Court that for the purpose of exercising its power under Section 482 CrPC to quash an FIR or a complaint, the High Court would have to proceed entirely on the basis of the allegations made in the complaint or the documents accompanying the same per se; it has no jurisdiction to examine the correctness or otherwise of the allegations. [Pratibha Rani v. Suraj Kumar, (1985) 2 SCC 370, 395 : 1985 SCC (Cri) 180]”
  • (Quoted in  Neeharika Infrastructure Pvt. Ltd. v State of Maharashtra, (2021) 19 SCC 401)

3. Framing Charges – Only a Prima Facie Case for PROCEEDING be Satisfied

In Bhawna Bai v. Ghanshyam, AIR 2020 SC 554, 2020-2  SCC 217 (Hrishikesh Roy, A.S. Bopanna, R. Banumathi, JJ.), it is observed as under:

  • “12. Though the circumstances alleged in the charge sheet are to be established during the trial by adducing the evidence, the allegations in the charge sheet show a prima facie case against the accused-respondent Nos.1 and 2. The circumstances alleged by the prosecution indicate that there are  against the accused. At the time of framing the charges, only prima facie case is to be seen; whether case is beyond reasonable doubt, is not to be seen at this stage. At the stage of framing the charge, the court has to see if there is sufficient ground for proceeding against the accused. While evaluating the materials, strict standard of proof is not required; only prima facie case against the accused is to be seen.”

See also:

  • State of Gujarat v. Dilipsinh Kishorsinh Rao, 2023 SCC OnLine SC 1294
  • Bhawna Bai v. Ghanshyam, (2020) 2 SCC 217
  • Asim Shariff v. National Investigation Agency, (2019) 7 SCC 148
  • State of Rajasthan v. Fatehkaran Mehdu, AIR 2017 SC 796,
  • Amit Kapoor v. Ramesh Chander, (2012) 9 SCC 460
  • Dilawar Balu Kurane v. State of Maharashtra, (2002) 2 SCC 135
  • State of MP v. Mohan Lal Soni, (2000) 6 SCC 338
  • State of Maharashtra v. Som Nath Thapa, (1996) 4 SCC 659
  • Stree Atyachar Virodhi Parishad v. Dilip Nathumal Chordia, (1989) 1 SCC 715.
  • Union of India  v. Prafulla Kumar Samal, (1979) 3 SCC 4.

4. Grant or Refusal of Bail:
While deciding bail applications, courts examine whether a Prima Facie case exists against the accused.

In Jai Prakash Singh v. State of Bihar, (2012) 4 SCC 379, the Supreme Court held as under:

  • “19. Parameters for grant of anticipatory bail in a serious offence are required to be satisfied and further while granting such relief, the court must record the reasons therefor. Anticipatory bail can be granted only in exceptional circumstances where the court is prima facie of the view that the applicant has falsely been enroped in the crime and would not misuse his liberty. (See D.K. Ganesh Babu v. P.T. Manokaran (2007) 4 SCC 434, State of Maharashtra v. Mohd. Sajid Husain Mohd. S. Husain (2008) 1 SCC 213 and Union of India v. Padam Narain Aggarwal (2008) 13 SCC 305.)”
  • (Quoted in: P. Chidambaram v. Directorate of Enforcement, AIR 2019 SC  4198; (2019) 9 SCC 24.)

In P. Chidambaram v. Central Bureau Of Investigation, AIR 2019 SC 5272; 2020-13 SCC 337, it is observed as under:

  • “Expression of prima facie reasons for granting or refusing to grant bail is a requirement of law, especially where such bail orders are appealable so as to indicate application of mind to the matter under consideration and the reasons for conclusion. Recording of reasons is necessary since the accused/prosecution/victim has every right to know the reasons for grant or refusal to grant bail. This will also help the appellate court to appreciate and consider the reasonings for grant or refusal to grant bail. But giving reasons for exercise of discretion in granting or refusing to grant bail is different from discussing the merits or demerits of the case. At the stage of granting bail, an elaborate examination of evidence and detailed reasons touching upon the merit of the case, which may prejudice the accused, should be avoided. Observing that “at the stage of granting bail, detailed examination of evidence and elaborate documentation of the merits of the case should be avoided”, in Niranjan Singh, it was held as under:-
    • “3. ……Detailed examination of the evidence and elaborate documentation of the merits should be avoided while passing orders on bail applications. No party should have the impression that his case has been prejudiced. To be satisfied about a prima facie case is needed but it is not the same as an exhaustive exploration of the merits in the order itself.”

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