First Appellate Court to Independently Assess the Evidence, Even If No Ground is Taken in Appeal Memorandum

Saji Koduvath, Advocate, Kottayam.

Abstract

  • The first appeal court must address itself to all the issues of law and fact and decide it by giving reasons in support of the findings.
  • First appeal is a valuable right of the parties and unless restricted by law, the whole case is therein open for rehearing both on questions of fact and law.
  • The first appellate court must, being the final court of fact, give reasons for its decision on each point independently to that of the trial court.
  • The first appellate court must consider, and discuss the entire evidence in detail.
  • The first appeal is a valuable right of the parties and unless restricted by law.
  • In the first appeal, the parties have a right to be heard both on questions of law and on facts and the judgment.

CIVIL CASES: First Appellate Court To Independently Assess The Evidence

In B.V. Nagesh v. H.V. Sreenivasa Murthy, (2010) 10 SCC 551, the Supreme Court of India held as under:

  • “The appellate Court has jurisdiction to reverse or affirm the findings of the trial Court. The first appeal is a valuable right of the parties and unless restricted by law, the whole case therein is open for re-hearing both on questions of fact and law. The judgment of the appellate Court must, therefore, reflect its conscious application of mind and record findings supported by reasons, on all the issues arising along with the contentions put- forth and pressed by the parties for decision of the appellate Court. Sitting as a court of appeal, it was the duty of the High Court to deal with all the issues and the evidence led by the parties before recording its findings. The first appeal is a valuable right and the parties have a right to be heard both on questions of law and on facts and the judgment in the first appeal must address itself to all the issues of law and fact and decide it by giving reasons in support of the findings. [Vide Santosh Hazari vs. Purushottam Tiwari, (2001) 3 SCC 179 and Madhukar and Others vs. Sangram and Others, (2001) 4 SCC 756].” (Quoted in: H. Siddiqui v. A. Ramalingam, AIR 2011 SC 1492; 2011-4 SCC 240)

In H. Siddiqui v. A. Ramalingam, AIR 2011 SC 1492; 2011-4 SCC 240, it is held as under:

  • “18. The said provisions provide guidelines for the appellate court as to how the court has to proceed and decide the case. The provisions should be read in such a way as to require that the various particulars mentioned therein should be taken into consideration. Thus, it must be evidence from the judgment of the appellate court that the court has properly appreciated the facts/evidence, applied its mind and decided the case considering the material on record. It would amount to substantial compliance with the said provisions if the appellate courts judgment is based on the independent assessment of the relevant evidence on all important aspects of the matter and the findings of the appellate court are well founded and quite convincing.  It is mandatory for the appellate court to independently assess the evidence of the parties and consider the relevant points which arise for adjudication and the bearing of the evidence on those points. Being the final court of fact, the first appellate court must not record mere general expression of concurrence with the trial court judgment rather it must give reasons for its decision on each point independently to that of the trial court. Thus, the entire evidence must be considered and discussed in detail. Such exercise should be done after formulating the points for consideration in terms of the said provisions and the court must proceed in adherence to the requirements of the said statutory provisions.
    • (Vide: Thakur Sukhpal Singh v. Thakur Kalyan Singh, AIR 1963 SC 146;
    • Girijanandini Devi v. Bijendra Narain Choudhary, AIR 1967 SC 1124;
    • G. Amalorpavam  v. R.C. Diocese of Madurai, (2006) 3 SCC 224;
    • Shiv Kumar Sharma v. Santosh Kumari, (2007) 8 SCC 600; and
    • Gannmani Anasuya & Ors. v. Parvatini Amarendra Chowdhary, AIR 2007 SC 2380)

CRIMINAL CASES: First Court of Appeal Must Re-Appreciated The Entire Evidence

In State of Punjab v. Bhag Singh, AIR 2004 SC 1203; 2004-1 SCC 547  (Doraiswamy Raju, Dr. Arijit Pasayat, JJ.), it is held as under:

  • “5. The trial Court was required to carefully appraise the entire evidence and then come to a conclusion. If the trial Court was at lapse in this regard the High Court was obliged to undertake such an exercise by entertaining the appeal. The trial Court on the facts of this case did not perform its duties, as was enjoined on it by law. The High Court ought to have in such circumstances granted leave and thereafter as a first court of appeal, re-appreciated the entire evidence on the record independently and returned its findings objectively as regards guilt or otherwise of the accused. It has failed to do so. The questions involved were not trivial. The requirement of independent witness and discarding testimony of official witnesses even if it was reliable, cogent or trustworthy needed adjudication in appeal. The High Court has not given any reasons for refusing to grant leave to file appeal against acquittal, and seems to have been completely oblivious to the fact that by such refusal, a close scrutiny of the order of acquittal, by the appellate forum, has been lost once and for all. The manner in which appeal against acquittal has been dealt with by the High Court leaves much to be desired. Reasons introduce clarity in an order. On plainest consideration of justice, the High Court ought to have set forth its reasons, howsoever brief, in its order indicative of an application of its mind, all the more when its order is amenable to further avenue of challenge. The absence of reasons has rendered the High Court order not sustainable.” (Also See: State of Orissa v. Dhaniram Luhar, AIR 2004 SC 1794; 2004-5 SCC 568, Doraiswamy Raju, Dr. Arijit Pasayat, JJ.)

In Ghurey Lal v. State of U.P., (2008) 10 SCC 450, as follows:

  • “1. The appellate court may review the evidence in appeals against acquittal under Sections 378 and 386 of the Criminal Procedure Code, 1973. Its power of reviewing evidence is wide and the appellate court can reappreciate the entire evidence on record. It can review the trial court’s conclusion with respect to both facts and law.
  • 2. The accused is presumed innocent until proven guilty. The accused possessed this presumption when he was before the trial court. The trial court’s acquittal bolsters the presumption that he is innocent.
  • 3. Due or proper weight and consideration must be given to the trial court’s decision. This is especially true when a witness’ credibility is at issue. It is not enough for the High Court to take a different view of the evidence. There must also be substantial and compelling reasons for holding that the trial court was wrong.
  • In light of the above, the High Court and other appellate courts should follow the well-settled principles crystallised by number of judgments if it is going to overrule or otherwise disturb the trial court’s acquittal:
  • The appellate court may only overrule or otherwise disturb the trial court’s acquittal if it has “very substantial and compelling reasons” for doing so.
  • A number of instances arise in which the appellate court would have “very substantial and compelling reasons” to discard the trial court’s decision. “Very substantial and compelling reasons” exist when:
    • The trial court’s conclusion with regard to the facts is palpably wrong;The trial court’s decision was based on an erroneous view of law;The trial court’s judgment is likely to result in “grave miscarriage of justice”;The entire approach of the trial court in dealing with the evidence was patently illegal;The trial court’s judgment was manifestly unjust and unreasonable; The trial court has ignored the evidence or misread the material evidence or has ignored material documents like dying declarations/report of the ballistic expert, etc.
    • This list is intended to be illustrative, not exhaustive.”

Reasons For Interference Against Trial Court’s Acquittal

In S. Anil Kumar v. State of Karnataka, (2013) 7 SCC 219, it is held as under:

  • “Only in exceptional cases where there are compelling circumstances and where the judgment in appeal is found to be perverse, can the High Court interfere with the order of acquittal.”

In Rohtash v. State of Haryana, (2012) 6 SCC 589: AIR 2012 SC 2297, it was observed as under:

  • “The appellate court should bear in mind the presumption of innocence of the accused and further that the trial court’s acquittal bolsters the presumption of innocence. Interference in a routine manner where the other view is possible should be avoided, unless there are good reasons for interference.
  • (Vide State of Rajasthan v. Talevar, (2011) 11 SCC 666 : AIR 2011 SC 2271 : 2011 AIR SCW 3889
  • Govindaraju v. State, (2012) 4 SCC 722 : AIR 2012 SC 1292 : 2012 AIR SCW 1994).”

If two views possible, one favourable to accused not be disturbed

In Ramaiah @ Rama v. State of Karnataka, 2014 (9) SCC 365, it has been held by Hon’ble Apex Court that if two views are possible on the evidence adduced and the one favourable to the accused has been taken by the trial court, it should not be disturbed.

  • “30. This very principle of law was formulated by the Court in M. Madhusudhan Rao (supra) in the following manner:
  • “13. There is no embargo on the appellate court to review, reappreciate or reconsider the evidence upon which the order of acquittal is founded. Yet, generally, the order of acquittal is not interfered with because the presumption of innocence, which is otherwise available to an accused under the fundamental principles of criminal jurisprudence that every person shall be presumed to be innocent unless he is proved guilty by a court of law, gets further reinforced and strengthened by his acquittal. It is also trite that if two views are possible on the evidence adduced in the case and the one favourable to the accused has been taken by the trial court, it should not be disturbed. Nevertheless, where the approach of the lower court in considering the evidence in the case is vitiated by some manifest illegality or the conclusion recorded by the court below is such which by some manifest illegality or the conclusion recorded by the court below is such which could not have been possibly arrived at by any court acting reasonably and judiciously and is, therefore, liable to the characterised as perverse, then, to prevent miscarriage of justice, the appellate court is obliged to interfere.
  • 14. All these principles have been succinctly culled out by one of us (C.K. Thakker, J.) in Chandrappa and Ors. v. State of Karnataka, (2007) 4 SCC 415 : AIR 2007 SC (Supp) 111 : 2007 AIR SCW 1850″.
  • 31. In Chandrappa (supra), which was followed in the aforesaid case, the Court had observed:
  • “44. In our view, if in the light of above circumstances, the trial court felt that the accused could get benefit of doubt, the said view cannot be held to be illegal, improper or contrary to law. Hence, even though we are of the opinion that in an appeal against acquittal, powers of the appellate court are as wide as that of the trial court and it can review, reappreciate and reconsider the entire evidence brought on record by the parties and can come to its own conclusion on fact as well as on law, in the present case, the view taken by the trial court for acquitting the accused was possible and plausible. On the basis of evidence, therefore, at the most, it can be said that the other view was equally possible. But it is well established that if two views are possible on the basis of evidence on record and one favourable to the accused has been taken by the trial court, it ought not to be disturbed by the appellate court. In this case, a possible view on the evidence of prosecution had been taken by the trial court which ought not to have been disturbed by the appellate court. The decision of the appellate court (the High Court), therefore, is liable to be set aside.”

 In State of Rajasthan v. Raja Ram, (2003) 8 SCC 180 : AIR 2003 SC 3601, Court observed thus:

  • “7. Generally the order of acquittal shall not be interfered with because the presumption of innocence of the accused is further strengthened by acquittal. The golden thread which runs through the web of administration of justice in criminal cases is that if two views are possible on the evidence adduced in the case, one pointing to the guilt of the accused and the other to his innocence, the view which is favourable to the accused should be adopted. The paramount consideration of the Court is to ensure that miscarriage of justice is prevented. A miscarriage of justice which may arise from acquittal of the guilty is no less than from the conviction of an innocent. In a case where admissible evidence is ignored, a duty is cast upon the appellate court to reappreciate the evidence in a case where the accused has been acquitted, or the purpose of ascertaining as to whether any of the accused committed any offence or not. (see Bhagwan Singh v. State of M.P.) The principle to be followed by the appellate court considering the appeal against the judgment of acquittal is to interfere only when there are compelling and substantial reasons for doing so. If the impugned judgment is clearly unreasonable, it is a compelling reason for interference.” (Emphasis Supplied).
  • 16. Therefore, the argument of the learned counsel for the appellant that the High Court has erred in reversing the acquittal of accused appellant, stands good. The Additional Sessions Judge was right in granting him benefit of doubt. The view which favours the accused/appellant has to be considered and we discard the opposite view which indicates his guilt.
  • 17. We are also of the view that the High Court should not have interfered with the decision taken by the Additional Session Judge, as the judgment passed was not manifestly illegal, perverse, and did not cause miscarriage of justice. On the scope of High Court’s revisional jurisdiction, this Court has held in Bindeshwari Prasad Singh v. State of Bihar, (2002) 6 SCC 650 : AIR 2002 SC 2907, “that in absence of any manifest illegality, perversity and miscarriage of justice, High Court would not be justified interfering with the concurrent finding of acquittal of the accused merely because on re-appreciation of evidence it found the testimony of PWs. to be reliable whereas the trial Court had taken an opposite view.” This happens to be the situation in the matter before us and we are of the view that the High Court was wrong in interfering with the order of acquittal of Upendra Pradhan passed by the Additional Sessions Judge.
  • 18. The Second ground pleaded before us by the counsel for the accused appellant, that the testimonies of P.W. 1 and P.W. 7 should not have been considered, as they were interested witnesses, holds no teeth. We are of the opinion that the testimonies of interested witnesses are of great importance and weightage. No man would be willing to spare the real culprit and frame an innocent person. This view has been supplemented by the decision of this Court in Mohd. Ishaque v. State of West Bengal, (2013) 14 SCC 581.
  • * *
  • 22. Therefore, in the light of the above discussion, we allow this appeal and set aside the impugned judgment and order passed by the High Court. The appellant has been released on bail vide this Court’s order dated 15.04.2014. His bail bonds are discharged.”

In V. Sejappa Vs. State AIR 2016 SC 2045, our Apex Court observed as under”:

  • “21. If the evaluation of the evidence and the findings recorded by the trial court does not suffer from any illegality or perversity and the grounds on which the trial court has based its conclusion are reasonable and plausible, the High Court should not disturb the order of acquittal if another view is possible. Merely because the appellate court on re-appreciation and re-evaluation of the evidence is inclined to take a different view, interference with the judgment of acquittal is not justified if the view taken by the trial court is a possible view. In State through Inspector of Police, A.P. v. K. Narasimhachary, (2005) 8 SCC 364, this Court reiterated the well settled principle that if two views are possible, the appellate court should not interfere with the acquittal by the lower court and that only where the material on record leads to an inescapable conclusion of guilt of the accused, the judgment of acquittal will call for interference by the appellate court. The same view was reiterated in T. Subramanian v. State of T.N., (2006) 1 SCC 401.
  • 22. In Muralidhar alias Gidda and Anr. v. State of Karnataka, (2014) 5 SCC 730, this Court noted the principles which are required to be followed by the appellate court in case of appeal against order of acquittal and in paragraph (12) held as under:-
  • .”12. The approach of the appellate court in the appeal against acquittal has been dealt with by this Court in
    • Tulsiram Kanu, AIR 1954 SC 1,
    • Madan Mohan Singh, AIR 1954 SC 637,
    • Atley, AIR 1955 SC 807,
    • Aher Raja Khima, AIR 1956 SC 217,
    • Balbir Singh, AIR 1957 SC 216,
    • M.G. Agarwal, AIR 1963 SC 200,
    • Noor Khan, AIR 1964 SC 286,
    • Khedu Mohton, (1970) 2 SCC 450,
    • Shivaji Sahabrao Bobade, (1973) 2 SCC 793,
    • Lekha Yadav, (1973) 2 SCC 424,
    • Khem Karan, (1974) 4 SCC 603,
    • Bishan Singh, (1974) 3 SCC 288,
    • Umedbhai Jadavbhai, (1978) 1 SCC 228,
    • K. Gopal Reddy, (1979) 1 SCC 355,
    • Tota Singh, (1987) 2 SCC 529,
    • Ram Kumar, (1995) Supp 1 SCC 248,
    • Madan Lal, (1997) 7 SCC 677,
    • Sambasivan, (1998) 5 SCC 412,
    • Bhagwan Singh, (2002) 4 SCC 85,
    • Harijana Thirupala, (2002) 6 SCC 470,
    • C. Antony, (2003) 1 SCC 1,
    • K. Gopalakrishna, (2005) 9 SCC 291,
    • Sanjay Thakran, (2007) 3 SCC 755 and
    • Chandrappa, (2007) 4 SCC 415.
  • It is not necessary to deal with these cases individually. Suffice it to say that this Court has consistently held that in dealing with appeals against acquittal, the appellate court must bear in mind the following:
  • .(i) There is presumption of innocence in favour of an accused person and such presumption is strengthened by the order of acquittal passed in his favour by the trial court;
  • (ii) The accused person is entitled to the benefit of reasonable doubt when it deals with the merit of the appeal against acquittal;
  • (iii) Though, the powers of the appellate court in considering the appeals against acquittal are as extensive as its powers in appeals against convictions but the appellate court is generally loath in disturbing the finding of fact recorded by the trial court. It is so because the trial court had an advantage of seeing the demeanour of the witnesses. If the trial court takes a reasonable view of the facts of the case, interference by the appellate court with the judgment of acquittal is not justified. Unless, the conclusions reached by the trial court are palpably wrong or based on erroneous view of the law or if such conclusions are allowed to stand, they are likely to result in grave injustice, the reluctance on the part of the appellate court in interfering with such conclusions is fully justified; and
  • (iv) Merely because the appellate court on reappreciation and re-evaluation of the evidence is inclined to take a different view, interference with the judgment of acquittal is not justified if the view taken by the trial court is a possible view. The evenly balanced views of the evidence must not result in the interference by the appellate court in the judgment of the trial court.”

Raghunath Laxman Makadwada v. State of Maharashtra, AIR 1986 SC 1070; 1986-2 SCC 90, observed as under:

  • “In Shivaji Narayan Bachhav v. State of Maharashtra, (1983) 4 SCC 129, we had referred to several of the earlier cases and stated :
  • “The appeal of the accused of the High Court was dismissed summarily with the one word dismissed, placing this Court in a most embarrassing position in dealing with the special leave petition under Article 136 of the Constitution. Such summary rejection of appeals by the High Court has been disapproved by this Court more than thirty years ago in Mushtak Hussein v. State of Bombay (AIR 1953 SC 282) and thereafter, over the years, in a series of cases from the same High Court :
    • Shreekantiah Ramayya v. State of Bombay, (AIR 1955 SC 287),
    • Vishwanath Shankar Beldar v. State of Maharashtra, (1969 (3) SCC 883),
    • Siddanna Apparao Patil v. State of Maharashtra, (AM 1970 SC 977),
    • Narayan Nathu Naik v. State of Maharashtra, (AIR 1971 SC 1656),
    • Govinda Kadtuji Kadam v. State of Maharashtra, (AIR 1970 SC 1033),
    • Shaikh Mohd. Ali v. State of Maharashtra, (AIR 1973 SC 43),
    • Kapurchand Kesrimal Jain v. State of Maharashtra, (AIR 1973 SC 243),
    • Jeewan Prakash v. State of Maharashtra (AIR 1973 SC 278),
    • Mushtaq Ahmed v. State of Gujarat, (AIR 1973 SC 1222),
    • Krishna Vithu Suroshe v. State of Maharashtra, (AIR 1974 SC 274),
    • Sampat Tatyada Shinde v. State of Maharashtra, (AIR 1974 SC 791),
    • Dagadu v. State of Maharashtra, (AIR 1981 SC 1218).
  • We are pained and not a little perturbed, that despite the long series of judgments all arising from cases from the same High Court has not chosen to correct itself and continues in the error of its ways. Except in certain cases when an accused person has pleaded guilty and in petty cases, every person convicted of an offence has a right of appeal under the Criminal Procedure Code. An appeal may be both against conviction and sentence and on facts and law. A convicted person is entitled to ask an appellate Court to reappraise the evidence and come to its own conclusion. An appellate Court has the undoubted power to dismiss an appeal in limine. Section 384 of the Criminal Procedure Code provides for it. But, it is a power which must be exercised sparingly and with great circumspection. One would think a conviction for murder and a sentence of imprisonment for life, as in the case before us, were serious enough matters for the High Court to warrant admission of the appeal and fair and independent consideration of the evidence by the High Court. Summary rejection of the appeal with the laconic expression dismissed seems to be a drastic step in such cases. To so reject an appeal is to practically deny the right of appeal. We cannot also over-emphasise the importance of the High Court making a speaking order when dismissing a criminal appeal in limine.
  • “The requirement of recording reasons for summary dismissal, however concise, serves to ensure proper functioning of the judicial process.” There must be some indication that the High Court addressed itself to the questions at issue and had the record before it. In the present case there is not even an indication whether the record had been called for and whether it was before the Court. We have little option but to set aside the order of the High Court. The High Court may now admit the appeal and deal with it according to law.”

In Santosh Hazari v. Purushottam Tiwari, AIR 2001 SC 965, 2001 (3) SCC 179 (CJ, R.C. Lahoti, Briijesh Kumar), it is held as under:

  • “The Appellate Court has jurisdiction to reverse or affirm the findings of the trial court. First appeal is a valuable right of the parties and unless restricted by law, the whole case is therein open for rehearing both on questions of fact and law. The judgment of the appellate Court must, therefore, reflect its conscious application of mind, and record findings supported by reasons, on all the issues arising along with the contentions put forth, and pressed by the parties for decision of the appellate Court. The task of an appellate Court affirming the findings of the trial Court is an easier one. The appellate Court agreeing with the view of the trial Court need not restate the effect of the evidence or reiterate the reasons given by the trial Court; expression of general agreement with reasons given by the Court, decision of which is under appeal, would ordinarily suffice (See Girijanandini Devi & Ors. Vs. Bijendra Narain Choudhary, AIR 1967 SC 1124). We would, however, like to sound a note of caution. Expression of general agreement with the findings recorded in the judgment under appeal should not be a device or camouflage adopted by the appellate Court for shirking the duty cast on it.” (Quoted in: Madhukar v. Sangram, AIR 2001 SC 2171, 2001 (4) SCC 756)

Duty on the First Appellate Court

In L.N. Aswathama v. P. Prakash, (2009) 13 SCC 229 (Harjit Singh Bedi, R. V. Raveendran, JJ.), the duty of first Appellate court was quoted in para 8 of the judgment as follows:-

  • “The first appellate court can re-appreciate evidence and record findings different from those recorded by the trial court. It is well settled that if the appraisal of evidence by the trial court suffers from material irregularity, as for example when its decision is based on mere conjectures and surmises, or when its decision relies upon inadmissible evidence or ignores material evidence or when it draws inferences and conclusions which do not naturally or logically flow from the proved facts, the appellate court is bound to interfere with the findings of the trial court. It is equally well settled that where the trial court has considered the entire evidence and recorded several material findings, the first appellate court would not reverse them on the basis of conjectures and surmises or without analysing the relevant evidence in entirety. As the final court of facts, if the first appellate court is reversing the judgment of the trial court, it is bound to independently consider the entire evidence.”

Eschewing Relevant Evidence – Appeal Court Can Consider, Even If No Ground

In the decision in Retnamma v, Mehaboob, ILR 2013-2 Ker 613; 2013-2 KHC 670; 2013-2 KLT 648, the appellants had not challenged the commission report as per appeal memo in this second appeal and no ground was also raised regarding the validity of commission report. It was argued on the basis, Boodireddy Chandraiah v. Arigela Laxmi, 2007 (8) SCC 155, that in the absence of any ground being raised in the appeal memo and also in the absence of framing of an issue by this Court relating to commission report, it would be illegal to consider the same in the second appeal. The High Court said as under:

  • “75. The above question is a substantial question of law because to resolve the dispute between the parties, it would be essential to consider the same and the factual findings on the dispute will depend upon the answer to the above question. It will be inevitable to consider the question, even to resolve the question of identity of the property, which is crucial. Therefore, the above substantial question of law is involved in this appeal and hence, both sides are heard on the same, as permitted by Section 100, C.P.C.
  • 78. In this context, it is also relevant to make a reference to Rule 109 (4) of the Civil Rules of Practice. The said provision lay down that “no question regarding the admissibility of evidence shall be made the subject of an issue“. Therefore, such an issue may not arise before the trial court.”

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Handwriting Expert Evidence: Relevant, But Merely an Opinion

Saji Koduvath, Advocate, Kottayam.

Abstrract

  • Evidence of Handwriting Expert is not a substantial piece of evidence.
  • Admissibility and reliability are different aspects.
  • It can be relied upon when supported by other evidence.
    • However, it is also important to note that there is no rule of law requiring corroboration.
    • It is also not impermissible to base a finding solely on the opinion of a handwriting expert.
  • Expert opinion is a weak type of evidence.
  • The court is not bound by the opinion of the expert; an expert deposes and does not decide.
  • The court has to satisfy ‘on its own observation’.
  • It is open to the Court to apply its own observation by comparison.
  • It may be the plain duty of the court to compare the handwriting with or without an expert, with or without other evidence.
  • Under S. 293 of the CrPC, the report of a Government-scientific-expert will be admissible, even if the expert is not examined.

Introduction

Evidence of a Handwriting Expert is not a substantial piece of evidence. It can be relied upon when supported by other items of internal and external evidence (Alamgir v. State (N.C.T. Delhi), AIR 2003 SC 282: 2003 Cr LJ 456).

Weak Evidence

The expert opinion is a weak type of evidence. In S. Gopal Reddy v. State of Andhra Pradesh, AIR 1996 SC 2184, our Apex Court held as under:

  • “27….. The evidence of an expert is rather weak type of evidence and the courts do not generally consider it as offering ‘conclusive’ proof and therefore safe to rely upon the same without seeking, independent and reliable corroboration.
  • In Magan Bihari Lal Vs. State of Punjab (AIR 1977 SC 1091), while dealing with evidence of a handwriting expert, this Court opined:
  • “We think it would be extremely hazardous to condemn the appellant merely on the strength of opinion evidence of a handwriting expert. It is now well settled that expert opinion must always be received with great caution and perhaps none so with mare caution than the opinion of a handwriting expert. There is a profusion of precedential authority which holds that it is unsafe to base a conviction solely on expert opinion without substantial corroboration. This rule has been universally acted upon and it has almost become a rule of law.
  • It was held by this Court in Ram Chandra v. State of U.P., AIR 1957 SC 381 that it is unsafe to treat expert handwriting opinion as sufficient basis for conviction, but it may be relied upon when supported by other items of internal and external evidence.
  • This Court again pointed out in Ishwari Prasad v. Md. Isa, AIR 1963 SC 1728 that expert evidence of handwriting can never be conclusive because it is, after all, opinion evidence, and this view was reiterated in Shashi Kumar Vs. Subodh Kumar, AIR 1964 SC 529, where it was pointed out by this Court that expert’s evidence as to handwriting being opinion evidence can rarely, if ever, take the place of substantive evidence and before acting on such evidence, it would be desirable to consider whether it is corroborated either by clear direct evidence or by circumstantial evidence.
  • This Court had again occasion to consider the evidentiary value of expert opinion in regard to handwriting in Fakhruddin v. State of M.P. AIR 1967 SC 1326 and it uttered a note of caution pointing out that it would be risky to found a conviction solely on the evidence of a handwriting expert before acting upon such evidence, the court must always try to see whether it is corroborated by other evidence, direct or circumstantial.”

Also Read: Expert Evidence and Appreciation of Evidence

S. 293 CrPC:  Admissible Even If Expert is Not Examined

According to Section 293 of the CrPC, the report of a Government-scientific-expert will be admissible as evidence, even if the expert is not examined, if the court can summon or examine the experts. When the court summons such an expert and that expert is not able to attend personally, such expert can send his responsible working officer on his behalf who is well versed with the examination done by such expert.

Proof-value of Expert Opinion Considerations

While appreciating an expert-evidence, the Court has to consider –

  • .(i) Danger of error or deliberate falsehood (Haryana Seeds Development Corporation Ltd. v. Sadhu,  AIR 2005 SC 2023: (2005) 3 SCC 198.
  • (ii) It is only an opinion; there is a chance of error. (Mohd. Zahid v. State of Tamil Nadu, AIR 1999 SC 2416: (1999) 6 SCC 120).
  • (iii) There is a likelihood of being unconsciously prejudiced in favour of the side that calls him. (Gulzar Ali v. State of Himachal Pradesh,  (1998) 2 SCC 192.)

No rule of law – Corroboration Necessary

In Murari Lal v. State of Andhra Pradesh, AIR 1980 SC 531: (1980) 1 SCC 704O (Chinnappa Reddy, Ranjit Singh Sarkaria,JJ.) the Supreme Court laid down the following rules –

  • “We begin with observation that the expert is no accomplice. There is no justification for condemning his opinion-evidence to the same class of evidence as that of an accomplice and insist upon corroboration.
  • 4. True, it has occasionally been said on very high authority that it would be hazardous to base a conviction solely on the opinion of a handwriting expert. But, the hazard in accepting the opinion of any expert, handwriting expert or any other kind of expert, is not because experts, in general, are unreliable witnesses-the quality of credibility or incredibility being one which an expert shares with all other witnesses-, but because all human judgment is fallible and an expert may go wrong because of some defect of observation, some error of premises or honest mistake of conclusion.
  • The more developed and the more perfect a science, the less the chance of an incorrect opinion and the converse if the science is less developed and imperfect.
  • The science of identification of finger-prints has attained near perfection and the risk of an incorrect opinion is practically non-existent.
  • On the other hand, the science of identification of handwriting is not nearly so perfect and the risk is, therefore, higher.
  • But that is a far cry from doubting the opinion of a handwriting expert as an invariable rule and insisting upon substantial corroboration in every case, howsoever the opinion may be backed by the soundest of reasons.
  • It is hardly fair to an expert to view his opinion with an initial suspicion and to treat him as an inferior sort of witness.
  • His opinion has to be tested by the acceptability of the reasons given by him.
  • An expert deposes and not decides. His duty ‘is to furnish the judge with the necessary scientific criteria for testing the accuracy of his conclusion, so as to enable the judge to form his own independent judgment by the application of these criteria to the facts proved in evidence’. (vide Lord President Cooper in Dacie v. Edinbeagh Magistrate : 1953 S. C. 34 quoted by Professor Cross in his Evidence).
  • From the earliest times, courts have received the opinionof experts. As long ago as 1553 it was said in Buckley v. Rice-Thomas(1) :
    • “If matters arise in our law which concern other sciences or faculties, we commonly apply for the aid of that science or faculty which it concerns. This is a commendable thing in our law. For thereby it appears that we do not dismiss all other sciences but our own, but we approve of them and encourage them as things worthy of commendation.”
  • 6. Expert testimony is made relevant by s. 45 of the Evidence Act and where the Court has to form an opinion upon a point as to identity of handwriting, the opinion of a person ‘specially skilled’ ‘in questions as to identity of handwriting’ is expressly made a relevant fact.
  • There is nothing in the Evidence Act, as for example like illustration (b) to s. 114 which entitles the Court to presume that an accomplice is unworthy of credit, unless he is corroborated in material particulars which justifies the court in assuming that a handwriting expert’s opinion is unworthy of credit unless corroborated. 
  • The Evidence Act itself (s. 3) tells us that ‘a fact is said to be proved when, after considering the matters before it, the Court either believes it to exist or considers its existence so probable that a prudent man ought, under the circumstances of the particular case, to act upon the supposition that it exists’.
  • It is necessary to occasionally remind ourselves of this interpretation clause in the Evidence Act lest we set an artificial standard of proof not warranted by the provisions of the Act.
  • Further, under s. 114 of the Evidence Act, the Court may presume the existence of any fact which it thinks likely to have happened, regard being had to the common course of natural events, human conduct, and public and private business, in their relation to facts of the particular case.
  • It is also to be noticed that s. 46 of the Evidence Act makes facts, not otherwise relevant, relevant if they support or are inconsistent with the opinions of experts, when such opinions are relevant.
  • So, corroboration may not invariably be insisted upon before acting on the opinion of handwriting expert and there need be no initial suspicion. But, on the facts of a particular case, a court may require corroboration of a varying degree.
  • There can be no hard and fast rule, but nothing will justify the rejection of the opinion of an expert supported by unchallenged reasons on the sole ground that it is not corroborated.
  • The approach of a court while dealing with the opinion of a handwriting expert should be to proceed cautiously, probe the reasons for the opinion, consider all other relevant evidence and decide finally to accept or reject it.”
  • xxxx
  • “…. There is no rule of law, nor any rule of prudence which has crystallized into a rule of law, that opinion evidence of a handwriting expert must never be acted upon, unless substantially corroborated.
  • But, having due regard to the imperfect nature of the science of identification of handwriting, the approach, as we indicated earlier, should be one of caution.
  • Reasons for the opinion must be carefully probed and examined. All other relevant evidence must be considered.
  • In appropriate cases, corroboration may be sought. In cases where the reasons for the opinion are convincing and there is no reliable evidence throwing a doubt, the uncorroborated testimony of an handwriting expert may be accepted.
  • There cannot be any inflexible rule on a matter which, in the ultimate analysis, is no more than a question of testimonial weight.
  • We have said so much because this is an argument frequently met with in subordinate courts and sentences torn out of context from the judgments of this Court are often flaunted.
  • The argument that the court should not venture to compare writings itself, as it would thereby assume to itself the role of an expert is entirely without force
  • Section 73 of the Evidence Act expressly enables the Court to compare disputed writings with admitted or proved writings to ascertain whether a writing is that of the person by whom it purports to have been written.
  • If it is hazardous to do so, as sometimes said, we are afraid it is one of the hazards to which judge and litigant must expose themselves whenever it becomes necessary.
  • There may be cases where both sides call experts and two voices of science are heard. There may be cases where neither side calls an expert, being ill able to afford him. In all such cases, it becomes the plain duty of the Court to compare the writings and come to its own conclusion.
  • The duty cannot be avoided by recourse to the statement that the court is no expert
  • Where there are expert opinions they will aid the Court.
  • Where there is none, the Court will have to seek guidance from some authoritative textbook and the Court’s own experience and knowledge.
  • But discharge it must, its plain duty, with or without expert, with or without other evidence. We may mention that Shashi Kumar v. Subodh Kumar (AIR 1964 SC 529) and Fakhruddin v. State of Madhya Pradesh ( AIR 1967 SC 1326) were cases where the Court itself compared the writings.”

Murari Lal v. State of Andhra Pradesh, AIR 1980 SC 531: (1980) 1 SCC 704O, is referred to in the following decisions:

  • Yogarani VS State by the Inspector of Police, AIR 2024 SC 4641,
  • Basheera Begam v. Mohammed Ibrahim, 2020-11 SCC 174
  • Padum Kumar v. State of Uttar Pradesh, AIR 2020 SC 447; 2020-3 SCC 35,
  • M. Siddiq v. Mahant Suresh Das, 2020-1 SCC 1,
  • B.  Raghuvir Acharya v. Central Bureau of Investigation, 2014-14 SCC 693,
  • Ravichandran v. State by Dy. Supdt. of Police, Madras, AIR 2010 SC 1922; 2010 – 11 SCC 120
  • Alamgir v. State (NCT, Delhi), AIR 2003 SC 282; 2003-1 SCC 21,
  • State of Maharashtra v. Sukhdev Singh, AIR 1992 SC 2100; 1992-3 SCC 700.

Science of Identification of Handwriting Not Infallible

In State of Maharashtra v. Sukhdev Singh & Another, (1992) 3 SCC 700, this Court observed as under:

  • “29. It is well settled that evidence regarding the identity of the author of any document can be tendered
  • (i) by examining the person who is conversant and familiar with the handwriting of such person or
  • (ii) through the testimony of an expert who is qualified and competent to make a comparison of the disputed writing and the admitted writing on a scientific basis and
  • (iii) by the court comparing the disputed document with the admitted one. …
  • But since the science of identification of handwriting by comparison is not an infallible one, prudence demands that before acting on such opinion the court should be fully satisfied about the authorship of the admitted writings which is made the sole basis for comparison and the court should also be fully satisfied about the competence and credibility of the hand writing expert. It is indeed true that by nature and habit, over a period of time, each individual develops certain traits which give a distinct character to his writings making it possible to identify the author but it must at the same time be realised that since handwriting experts are generally engaged by one of the contesting parties they, consciously or unconsciously, tend to lean in favour of an opinion which is helpful to the party engaging him. That is why we come across cases of conflicting opinions given by two handwriting experts engaged by opposite parties. It is, therefore, necessary to exercise extra care and caution in evaluating their opinion before accepting the same. So courts have as a rule of prudence refused to place implicit faith on the opinion evidence of a handwriting expert. Normally courts have considered it dangerous to base a conviction solely on the testimony of a handwriting expert because such evidence is not regarded as conclusive. Since such opinion evidence cannot take the place of substantive evidence, courts have, as a rule of prudence, looked for corroboration before acting on such evidence. True it is, there is no rule of law that the evidence of a handwriting expert cannot be acted upon unless substantially corroborated but courts have been slow in placing implicit reliance on such opinion evidence, without more, because of the imperfect nature of the science of identification of handwriting and its accepted fallibility. …”(Quoted in Santosh @ Bhure v. State (G.N.C.T.) of Delhi, 2023 INSC 443; 2023-4 MLJ(Cri) 1)

Court has to Satisfy On Its Own Observation’

In Ram Narain v. State of Uttar Pradesh, AIR 1973 SC 2200: (1973) 2 SCC 86, a child was kidnapped; the parent received post-card and an inland letter demanding money, as ransom; a handwriting expert testified the writings in the letters to be in the handwriting of the accused. Solely on the basis of this evidence the accused was convicted. The Supreme Court upholding  the conviction observed as under:

  • “Both under section 45 and section 47 the evidence is an opinion, in the former by a scientific comparison and in the latter on the basis of familiarity resulting from frequent observations and experience. In either case, the Court must satisfy itself by such means as are open that the opinion may be acted upon. One such means is to apply its own observation verify the opinion of the witness. This is not to say that the Court may play the role of an expert, but to say that Court may accept the fact only when it has satisfied itself on its own observation that it is safe to accept the opinion of the expert or the other witness.”

In Ram Narain v. State of U.P., (1973) 2 SCC 86, our Apex Court also observed as under:

  • “6. … Now it is no doubt true that the opinion of a handwriting expert given in evidence is no less fallible than any other expert opinion adduced in evidence with the result that such evidence has to be received with great caution. But this opinion evidence, which is relevant, may be worthy of acceptance if there is internal or external evidence relating to the document in question supporting the view expressed by the expert. …” (Quoted in Santosh @ Bhure v. State (G.N.C.T.) of Delhi, 2023 INSC 443; 2023-4 MLJ(Cri) 1)

In Fakhruddin v. State of Madhya Pradesh, AIR 1967 SC 1326, our Apex Court observed as under:

  • “Both under Section 45 and Section 47 the evidence is an opinion, in the former by a scientific comparison and in the latter on the basis of familiarity resulting from frequent observations and experience. In either case the Court must satisfy itself by such means as are open that the opinion may be acted upon. One such means open to the Court is to apply its own observation to the admitted or proved writings and to compare them with the disputed one, not to become a handwriting expert but to verify the premises of the expert in the one case and to appraise the value of the opinion in the other case. This comparison depends on an analysis of the characteristics in the admitted or proved writings and in finding of the same characteristics in large measure in the disputed writing. In this way the opinion of the deponent whether expert or other is subjected to scrutiny and although relevant to start with becomes probative. Where an expert’s opinion is given, the court must see for itself and with the assistance of the expert come to its own conclusion whether it can safely be held that the two writings are by the same person. This is not to say that the court must play the role of an expert but to say that the court may accept the fact proved only when it has satisfied itself on its own observation that it is safe to accept the opinion whether of the expert or other witness.” (Quoted in Santosh @ Bhure v. State (G.N.C.T.) of Delhi, 2023 INSC 443; 2023-4 MLJ(Cri) 1)

Admissibility & Reliability – Different Aspects

In Malay Kumar Ganguly Vs. Sukumar Mukherjee. AIR 2010 SC 1162, it is pointed out that the evidence of an expert should be interpreted like any other evidence.

In Santosh @ Bhure v. State (G.N.C.T.) of Delhi, 2023 INSC 443; 2023-4 MLJ(Cri) 1, it is observed as under:

  • “Whether the FSL Report on its own was sufficient to hold that the suicide letter was written by Neeraj.
  • 60. However, the mere fact that the expert report was admissible in evidence does not mean that it should on its own form the basis of conclusion that the suicide letter was written by Neeraj. Admissibility and reliability/credit worthiness of a piece of evidence are entirely different aspects. An inadmissible piece of evidence is to be eschewed. But when a piece of evidence is admissible, as to what weight it would carry for determining a fact in issue would depend on the proven facts and circumstances of the case.

Court Not To Base Finding Solely On Opinion Of Expert

In Santosh @ Bhure v. State (G.N.C.T.) of Delhi, 2023 INSC 443; 2023-4 MLJ(Cri) 1, our Apex Court continued after referring its various previous decisions as under:

  • “65. The underlying principle deducible from the observations extracted above is that though it is not impermissible to base a finding with regard to authorship of a document solely on the opinion of a handwriting expert but, as a rule of prudence, because of imperfect nature of the science of identification of handwriting and its accepted fallibility, such opinion has to be relied with caution and may be accepted if, on its own assessment, the Court is satisfied that the internal and external evidence relating to the document in question supports the opinion of the expert and it is safe to accept his opinion.
  • 66. In the instant case, with regard to authorship of the suicide letter, the Trial Court though returned a finding in favour of the prosecution by relying solely on the expert report but did not record its satisfaction having regard to its own observations with respect to the admitted and disputed writings. It also did not examine whether in the proven facts and circumstances of the case it would be safe to rely on the expert report. It be noted that section 73 of the IEA, 1872 enables a Court to compare the words or figures written by a person present in Court with any words or figures alleged to have been written by such person. The Trial Court therefore could have undertaken such an exercise. But, in the instant case, there appears no such exercise undertaken by the Trial Court. What is important is that in the instant case there is no witness statement identifying the handwriting of Neeraj or disclosing that Neeraj wrote the suicide letter in his presence. There is also no evidence to explain the relevance of the contents of the suicide letter. Interestingly, the suicide letter indicts one Chhote Porwal. As to why such indictment was made; whether it was with reference to some other event contemplated, the prosecution evidence is silent. Besides that, there is no evidence to show that the investigating officer queried person(s) conversant with the handwriting of the deceased to rule out possibility of the suicide letter being in the writing of the deceased himself. In our view, such an exercise was necessary to lend assurance to the prosecution story of the suicide letter being written by Neeraj to mask the murder, because, firstly, the death on its face was not suicidal, and, secondly, it could have ruled out possibility of it being written in contemplation of some other event. Seen in that light, barring the expert report, there exists no internal or external evidence to lend assurance to the prosecution story that the suicide letter was written by Neeraj.
  • xxxxxx
  • 68. A glance at those injuries would reflect that five of them were perforating or penetrating wounds cavity deep. Out of those, two were on chest and three on abdomen. Such injuries are clearly homicidal therefore, masking this homicidal event as a suicide does not appeal to logic. Further, the injuries are not of same dimension. In these circumstances, a question would arise as to why would Neeraj who has no proven connection with the deceased or the co accused Santosh, or for that matter the apartment where the dead body was found, make a futile effort to mask the event of murder and thereby leave a trace of his own culpability. To answer that, the prosecution has led no admissible evidence. Thus, even if we assume that a suicide letter was found, at what stage it was written — prior to, or post the murder, or in connection with some other event which the deceased contemplated — is anybody’s guess.
  • 69. In light of the discussion above, taking into account that Neeraj has denied the incriminating circumstance of writing the suicide letter and no internal or external evidence, save the expert report, supports the writing of suicide letter by Neeraj, we are of the considered view that though the expert evidence was admissible as an opinion on the writing in the suicide letter but, on overall assessment of the evidence led by the prosecution, solely on its basis, it would be extremely unsafe to hold that the suicide letter retrieved from the trouser of the deceased was written by Neeraj.”

Evidence of a handwriting expert is unlike that of a fingerprint expert

In Bhagwan Kaur v. Maharaj Krishan Sharma, AIR 1973 SC 1346: (1973) 4 SCC 46, it was observed as under::

  • “The evidence of a handwriting expert, unlike that of a fingerprint expert, is generally of a frail character and its fallibilities have been quite often noticed. The courts should, therefore, be wary to give too much weight to the evidence of a handwriting expert.”

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Divergent Views – Whether S. 43, Evidence Act Includes S. 13; Whether Judgment not Inter Parties is Admissible under S. 13  

Taken from: Relevance of a Civil Case Judgment in Criminal Cases: Does a Civil Court Judgment Bind a Criminal Court?

Saji Koduvath, Advocate, Kottayam.

Abstract

  • The relevancy of a previous judgment (in a subsequent case) is governed by Sections 40 to 43 of the Indian Evidence Act, 1872.
  • Section 43, inter alia, permits the production of earlier judgments that are deemed “relevant under other provisions of this Act.”
  • There are divergent views on the applicability of Sections 5, 8, 11 and 13, Evidence Act, under this clause in Section 43.
    • First view—Sections 5, 8, 11 and 13 being delineate the general provisions, and the relevance of prior judgments is primarily governed by Sections 40 to 43, the previous judgments will not be liberally permitted (invoking the clause “relevant under some other provisions of this Act”).
    • Second view—The phrase “relevant under some other provisions of this Act” as stated in Section 43, must be interpreted to encompass its complete and comprehensive significance.
  • Differences of opinion also exist as to the admissibility of a judgment not inter parties, under Section 13.
  • The legitimate view, it appears, is the following –
    • (i) Previous judgments can be admitted in evidence (invoking the clause “relevant under some other provisions of this Act”) if they fall under Sections 5, 8, 11 and 13. Nevertheless, the admissibility of the previous judgments being essentially governed by Sections 40 to 43, they cannot be allowed to be freely imported, invoking the general provisions.
    • (ii) The probative value of the previous judgment has to be determined by the court, even if such a previous judgment is marked in evidence as ‘relevant’.
    • (iii) In any case, the use of the previous judgment is definitely relevant in certain contexts. For instance:
      • To show motive for an offence (Section 8) – i.e., to find whether the judgment provoked anger in the accused.
      • To determine the sentence or damages to be imposed – i.e., to see whether there would be double jeopardy.

First View: Other Provisions of this Act” in S. 43 Will Not Cover S. 13

A three-Judge Bench, in State of Bihar v. Radha Krishna Singh, AIR 1983 SC 684 (Syed Murtaza Fazalali, A. Varadarajan, V. Balakrishna Eradi, JJ.) held as under:

  • “We are, however, of the opinion that where there is a specific provision covering the admissibility of a document, it is not open to the court to call into aid other general provisions to make a particular document admissible. In other words, if a judgment is not admissible as not falling within the ambit of sections 40 to 42, it must fulfil the conditions of s. 43. Otherwise, it cannot be relevant under s. 13 of the Evidence Act. The words “other provisions of this Act” cannot cover s. 13 because this section does not deal with judgments at all.”

Second View: Judgment not Inter Parties is Admissible under Section 13

But, a contra-view is taken in a Two-Judge Bench in Tirumala Tirupati Devsthanam v. K. M. Krishnaiah, AIR 1998 SC 1132; 1998-3 SCC 331 (S.P. Bharucha & M. Jagannadha Rao, JJ.), which reads as under:

  • “9. In our view, this contention is clearly contrary to the rulings of this Court as well as those of the Privy Council. In Srinivas Krishna Rao Kango v. Narayan Devji Kango & Ors., AIR 1954 SC 379, speaking on behalf of a Bench of three learned Judges of this Court, Venkatarama Ayyar, J. held that a judgment not inter parties is admissible in evidence under Section 13 of the Evidence Act as evidence of an assertion of a right to property in dispute. A contention that judgments other than those falling under Sections 40 to 44 of the Evidence Act were not admissible in evidence was expressly rejected.
  • Again B.K. Mukherjee, J. (as he then was) speaking on behalf of a Bench of four learned Judges in Sital Das v. Sant Ram & Ors., AIR 1954 SC 606, held that a previous judgment not inter partieswas admissible in evidence under Section 13 of the Evidence Act as a ‘transaction’ in which a right to property was ‘asserted’ and ‘recognised’.
  • In fact, much earlier, Lord Lindley held in the Privy Council in Dinamoni v. Brajmohini, (1902) ILR 29 Cal. 190 (PC), that a previous judgment, not inter partes** was admissible in evidence under Section 13 to show who the parties were, what the lands in dispute were and who was declared entitled to retain them. The criticism of the judgment in Dinamoni v. Brajmohini and Ram Ranjan Chakerbati v. Ram Narain Singh, 1895 ILR 22 Cal. 533 (PC), by Sir John Woodroffe in his commentary on the Evidence Act (1931, P 181) was not accepted by Lord Blanesburgh in Collector of Gorakhpur v. Ram Sunder, AIR 1934 PC 157.”
  • **inter partes‘: meaning – between the parties

This view (Judgment not Inter Parties is Admissible under Section 13) is also in:

  • Ahale Sunnathwal Jamath Jogi Madam, Majid v. Haji Syed Irfan Hussain Sahib, 2024-2 CTC 27; 2023-5 LW 775; 2024-1 MLJ 202
  • Tiruvannamalai Karuneekar Sangam v. Saradambal Ammal 2023-5 CTC 138; 2023-3 LW 289,
  • S. Govindarasu Udayar v. Pattu, 1999 – 2 – L.W. 184,
  • Daular Ram v. Keshav Smarak Samiti, 2011 SCC Online Del 4472,
  • Raman Pillai Krishna Pillai v. Kumaran Parameshwaran, AIR 2002 Ker 133
  • Andhra Pradesh Waqf Board v. Syedm Jalaluddin Sha, AIR 2005 AP 54.
  • Dinamoni v. Brajmohini, (1992) ILR 29 Cal 190 (PC – Lord Lindley)
  • Lord Blanesburgh in Collector of Gorakhpur v. Ram Sunder, AIR 1934 PC 157: 61 IA 286.

Also see:

  • Madhukar D. Shende v. Tarabai Aba Shedage (2002-2 SCC 85),
  • Ram Bhool and Another v. Bhudev Prasad and Another (2013-11 ADJ 276) &
  • Nisar Husain & Another v. Board of Revenue Uttar Pradesh at Allahabad & Others (2016 -34 LCD 2672).
  • Collector of Gorakhpur vs. Ram Sundar Mal, AIR 1934 PC 157
  • Maharaja Sir Kesho Prasad Singh vs. Bahurin Musammat Bhagjogna Juer, AIR 1937 PC 69.

Conclusion

  • 1. Even though State of Bihar v. Radha Krishna Singh, AIR 1983 SC 684, is rendered by the larger bench, it is seen that the High Courts preferred to follow Tirumala Tirupati Devsthanam v. K. M. Krishnaiah, AIR 1998 SC 1132, as shown above.
  • 2. The apparent inconsistency between State of Bihar v. Radha Krishna Singh, AIR 1983 SC 684, and Tirumala Tirupati Devsthanam v. K. M. Krishnaiah, AIR 1998 SC 1132, is not yet resolved by the Supreme Court.

End Notes:

What are “Relevant Under Some Other Provisions of this Act” in Sec. 43

Following provisions are pointed out frequently, in this regard –

  • Sec. 5 (Facts in issue);
  • Sec. 8 (which refers to motive, preparation and previous or subsequent conduct);
  • Sec. 11 (which says when facts not otherwise relevant become relevant);
  • Sec. 13 (when existence of right or custom is in question then any transaction or particular instances where the right or custom is claimed, recognized etc. become relevant),
  • Sec. 54 Explanation (2), when a previous conviction is relevant as evidence of bad character), etc.
  • Sec. 58 (Admitted Facts)

Judicial Discipline & Application of Per Incuriam Rule

Propositions:

  • 1. Decision of a Bench of larger number of Judges prevails over the decision of a smaller number of Judges – Union of India v. Raghubir Singh, AIR 1989 SC 1933.
  • 2. If a Bench of the same number of Judges disagrees with a decision of the same number of Judges, then the matter has to be referred for decision to a larger Bench of the Supreme Court.  Even if a later decision is given without referring to the earlier decision, yet it is the earlier decision which will hold the field – Union of India v. S.K. Kapoor (2011) 4 SCC 589

Relevancy of a Civil Case Judgment in a Criminal Case – Abstract Propositions

1. Independent evidence/finding needed.

  • M.S. Sheriff v. State of Madras, AIR 1954 SC 397 (Vivian Bose, J.)
  • State of Rajasthan v. Kalyan Sundaram Cement Industries, AIR 1996 SC 2823,
  • K.G. Premshanker v. Inspector of Police, (2002) 8 SCC 87 (MB Shah, J.)
  • Iqbal Singh Marwah v. Meenakshi Marwah, (2005) 4 SCC 370  (G.P. Mathur, J.)
  • P. Swaroopa Rani v. M. Hari Narayana, (2008) 5 SCC 765,
  • Seth Ramdayal Jat v. Laxmi Prasad, (2009) 11 SCC 545 (SB Sinha, J.)
  • Radheshyam Kejriwal v. State of West Bengal, (2011) 3 SCC 581.

2. It is not correct to say – a judgment of a civil court shall be binding on the criminal court.

  • K.G. Premshanker v. Inspector of Police, (2002) 8 SCC 87
  • Seth Ramdayal Jat v. Laxmi Prasad, (2009) 11 SCC 545 (SB Sinha, J.)

3. There is neither any statutory nor any legal principle that findings recorded by the court, either in civil or criminal proceedings, shall be binding between the same parties (even) while dealing with the same subject-matter.

  • Iqbal Singh Marwah v. Meenakshi Marwah, (2005) 4 SCC 370,
  • Avitel Post Studioz Limited v. HSBC PI Holdings (Mauritius) Limited, 2021-4 SCC 713 (R.F. Nariman, J.)

4. Sections 41 to 43 of the Evidence Act deal with relevancy alone (Not conclusive except as provided in Section 41).

  • K.G. Premshanker v. Inspector of Police, (2002) 8 SCC 87
  • Avitel Post Studioz Limited v. HSBC PI Holdings (Mauritius) Limited, 2021-4 SCC 713

5. Criminal liability must be proved beyond reasonable doubt, while civil liability is based on preponderance of probabilities; different principles and different standards of proof.

  • Iqbal Singh Marwah v. Meenakshi Marwah, (2005) 4 SCC 370
  • P. Swaroopa Rani v. M. Hari Narayana, (2008) 5 SCC 765
  • Radheshyam Kejriwal v. State of West Bengal, (2011) 3 SCC 581.

Also Read:

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Admission, Relevancy and Proof

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Judicial Precedent and Res Judicata – a Couplet

Taken from: Relevancy of a Civil Case Judgment in Criminal Cases: Does a Civil Court Judgment Bind a Criminal Court?
Also Read:  Ratio Decidendi (alone) Forms a Precedent; Not the Final Order or Conclusion.

Saji Koduvath, Advocate, Kottayam

Preface

No Binding Precedent if relevant statutory provision was Not considered; It Must be Ratio Decidendi’ also.

Ratio Decidendi Is Binding Precedent: Mere Casual Expressions – Not of Much Avail.

  • Binding Judicial Precedent refers to a judicial rule or principle established in an earlier binding decision that must be followed in subsequent similar cases. Ratio Decidendi is the binding precedent; Not  findings on facts or issues
  • Res Judicata applies to findings of both law and fact. It bars the same parties from re-litigating issues that have already been heard and finally decided. If only a finding is “Necessary”, then only it is “Directly and Substantially” in issue

Binding precedent pertains strictly to legal principles and technically binds courtsnot parties. In any event, there will be no ‘binding precedent’ if the earlier decision was –

  • without taking into account the statutory provision or factual situation
  • wrong in law.

Ratio Decidendi is the binding precedent; Not  Findings on Facts or Issues

In Jagdish Prasad v. State of MP, 2004(4) MPLJ 537, it was held by the Supreme Court as under:

  • “Any observation made or relief given by a Court, out of sympathy, compassion, sentiments and not based on any discernible principle of law or de hors the merits of the case, cannot be a binding precedent. A judgment of a Court contains three parts :
  • (i) finding of facts;
  • (ii) statement of principle of law applicable to the legal problem raised on the facts, based on which the case is decided; and
  • (iii) decision which is based on the finding of fact, applicable principles of law, and in some cases, discretion and the need to mould the relief in a particular manner.
  • Out of the three parts, it is only the second part, that is ratio decidendi or statement of law applied and acted upon by the Court, that is a binding precedentNeither the findings on facts nor the ultimate decision, that is, the relief given or the manner adopted to dispose of the case, is a precedent.” (Quoted in: Satpura Narmada Kshetriya Gramin Bank, Chhindwara v. A. K.  Chaturvedi, 2012-1 JLJ 78; 2012-1 MPLJ 282)

In A-One Granites v. State of U.P. [(2001)3 SCC 537], the Supreme Court observed that where no consideration was given to the question, the decision cannot be said to be binding and precedents sub silentio and without arguments are of no moment. (Referred to in: Satpura Narmada Kshetriya Gramin Bank, Chhindwara v. A. K.  Chaturvedi, 2012-1 JLJ 78; 2012-1 MPLJ 282)

Binding Precedent- In Nutshell

No Binding Precedent if relevant STATUTORY PROVISION was Not considered. [Union of India v. Maniklal Banerjee, AIR 2006 SC 2844] 

Where no consideration was given to the question, the decision cannot be said to be binding; and precedents SUB SILENTIO – Without Arguments – are of NO MOMENT. [A-One Granites v. State of U.P., 2001-3 SCC 537] 
 
A decision is available as a precedent only if it DECIDES a QUESTION OF LAW. [State of Punjab v. Surinder Kumar, AIR 1992 SC 1593: 1992-1 SCC 489]. Not facts. [Prakash Chandra Pathak v. State of Uttar Pradesh, AIR 1960 SC 195] 

RATIO DECIDENDI is Binding Precedent: Mere Casual Expressions – Not of Much Avail.[ Girnar Traders v. State of Maharashtra, (2007) 7 SCC 555; State of Maharashtra v. Bhakti Vedanta Book Trust, AIR 2013 SC 1667; 2013-4 SCC 676; Shrirampur Municipal Council v. Satyabhamabai Bhimaji Dawkher, AIR 2013 SC 3757; 2013 5 SCC 627; Arun Kumar Aggarwal v. State of Madhya Pradesh, AIR 2011 SC 3056; 2014-13 SCC 707). 

For Binding Precedent, finding  must be ‘RATIO DECIDENDI’ (necessary to the decision); and  Not obiter dicta. [Allen in ‘Law in the Making’; Quoted in: Chandrapal Singh v. State of U. P. (All), 2023-11 ADJ 543; Chandrapal Singh v. State of U. P. (All), 2023-11 ADJ 543)]

Court’s order is binding on the parties under res judicata; the RATIO DECIDENDI is binding on other Courts as binding precedent. [The Modern English Legal System (4th Edition) by Smith, Bailey and Gunn (Sweet & Maxwell, 2002), pages 518-519] 
 
What is of the essence in a decision is its ratio and not every observation found therein. [State of Orissa v. Sudhansu Sekhar Misra, AIR 1968 SC 647; Union of India v. Dhanwanti Devi, 1996-6 SCC 44; Secunderabad Club v. CIT, 2023 SCC OnLine SC 1004, 2023-457 ITR 263 (SC) 

The doctrine of precedent mandates that an exposition of law must be followed and applied. [State of U.P. v. Ajay Kumar Sharma, 2016-15 SCC 289]. 

Res judicata bars raising the same issue. Judicial precedent is not concerned with issues between parties. (Spencer Bower, Turner and Handley’s Commentary on the Doctrine of Res Judicata (Butterworths: London, Edinburgh, Dublin – 1996, pages 8 and 9)

Res judicata pertains to the parties;  precedent refers to a binding declaration of law that applies to courts or authorities. [Indian Broadcasting and Digital Foundation v. Telecom Regulatory Authority of India, 01 Nov 2024, 2024 KER 80988]. 

A decision on the ‘construction of that document’ can operates as a judicial precedent against one though he was not a party to that litigation (Sahu Madho Dass v. Mukand Ram, 1955 AIR SC 481).

Res Judicata Binds Parties; Ratio Decidendi (as binding precedent) Binds Courts

The Supreme Court, in Eminent Colonizers Private Limited v. Rajasthan Housing Board, 2026 INSC 116, held with repect to the the distinction as to  Precedent and Res Judicata as under:

  • “24. There is a clear conceptual distinction between precedent and res judicata. Salmond on Jurisprudence P.J. Fitzgerald (12th Edition) page 141 states
    • “a judicial precedent speaks in England with authority; it is not merely evidence of the law but a source of it, and the courts are bound to follow the law that is so established”.
  •  A decision between two parties which sets out a principle of law will operate as a precedent for disputes between two other parties too. A precedent operates in rem. In contrast, a res judicata operates in personam between the same parties either in the later stage of the same litigation between them or in a different litigation between them. That is the essential distinction between the two.
  • 25. This Court in State of Rajasthan vs. Nemi Chand Mahela and Others, (2019) 14 SCC 179  , held as under:-
    • “11. The learned counsel for the petitioners had drawn our attention to para 22 of the decision in Manmohan Sharma case [Manmohan Sharma v. State of Rajasthan, (2014) 5 SCC 782 which refers to the case of one Danveer Singh whose writ petition had been allowed [Danveer Singh v. Rural Development & Panchyati Raj Deptt., WP (C) No. 2200 of 2000 sub nom Jayanti Sharma v. Rural Development & Panchyati Raj Deptt., WP (C) No. 1646 of 2000, order dated 26-2-2001 (Raj)] and the order had attained finality as it was not challenged before the Division Bench or before the Supreme Court. Termination of services in the case of Danveer Singh, it was accordingly held, was not justified and in accordance with law. The reasoning given in paras 22 and 23 in Manmohan Sharma case [Manmohan Sharma v. State of Rajasthan, (2014) 5 SCC 782 relating to the case of Danveer Singh would reflect the difference between the doctrine of res judicata and law of precedent. Res judicata operates in personam i.e. the matter in issue between the same parties in the former litigation, while law of precedent operates in rem i.e. the law once settled is binding on all under the jurisdiction of the High Court and the Supreme Court. Res judicata binds the parties to the proceedings for the reason that there should be an end to the litigation and therefore, subsequent proceeding inter se parties to the litigation is barred. Therefore, law of res judicata concerns the same matter, while law of precedent concerns application of law in a similar issue. In res judicata, the correctness of the decision is normally immaterial and it does not matter whether the previous decision was right or wrong, unless the erroneous determination relates to the jurisdictional matter of that body. [See Makhija Construction & Engg. (P) Ltd. v. Indore Development Authority, (2005) 6 SCC 304] ]”

In The Modern English Legal System (4th Edition) by Smith, Bailey and Gunn (Sweet & Maxwell, 2002), pages 518-519, says as under:

  • “…. Thus the Court’s order is binding on the parties under the res judicata doctrine; the ratio decidendi is binding on other Courts in accordance with the principles outlined above under the doctrine of binding precedent. A startling illustration of the distinction was provided by the following series of cases. A testator, John Arkle Waring, left annuities to Mr. Howard and Mrs. Louie Burton-Butler ‘free of income tax’. In 1942 the Court of Appeal in Re warning, Westminster Bank Ltd. v. Awdry : (1942) Ch. 426 on an appeal in which Howard was a party, held that income tax had to be deducted. Louie was not a party as she was in an enemy occupied country. Leave to appeal to the House of Lords was refused. Four years later the House of Lords in Berke¬ley v. Berkeley : (1946) A.C. 555 overruled the Awdry case. Subsequently, Jenkins J. held that the Awdry case was res judica¬ta so far as Howard was concerned notwithstanding that its ratio had been overruled in Berkeley v. Berkeley and that Louie’s annuity would be dealt with in accordance with the later case. (See Re Warning, Westminster Bank v. Burton-Butler : (1948) Ch. 221).”
  • (Quoted in: Kalinga Mining Corporation v. Union of India (AK Ganguly, CJ, then) 2007-104 CLT 737, Ori)

Spencer Bower, Turner and Handley’s Commentary on the Doctrine of Res Judicata (Butterworths: London, Edinburgh, Dublin – 1996, pages 8 and 9), explains the concept of res judicata as under:

  • “There is an essential difference between res judicata estoppel and the doctrine of judicial precedent. Under the former a final decision in fact or law by any Court having jurisdiction precludes either party (except on appeal) from again raising the same issue against the other in any Court. The doctrine of judicial precedent, on the other hand, is not concerned with issues between parties. …
  • The difference is illustrated by the cases of Re Waring decided in 1942 and 1948. In the first Farwell J held that Section 25 of the Finance Act 1941 was not applicable (1942) Ch. 309 to an annuity; but the Court of Appeal reversed this decision. (1942) Ch. 426. The effect was two-fold; it decided as res judicata between the parties that Section 25 applied, and it bound Courts up to the Court of Appeal in other cases. In Berkeley v. Bekeley (1946) AC 555, the House of Lords overruled Re Waring. In 1948 the trustees sought a decision as between themselves and the annuitant who had not been joined in the first proceedings. (1948) Ch. 221. The other annuitant remained bound by the earlier decision, but the result (see Duke of Bedford v. Elliz : (1901) AC 1 at 8), was otherwise governed by Berkeley v. Berkeley: Gisborne Sheepfarmers’ Mercantile Co. Ltd. v. IRC : (1962) NZLR 810 at 814.” (Quoted in: Kalinga Mining Corporation v. Union of India (AK Ganguly, CJ, Ori) 2007-104 CLT 737)

In State of M.P. v. Mulam Chandi, AIR 1973 MP293, it has been held as under:

  • “As between a decision which operates as res judicata and a decision which is binding as a precedent but not res judicata, the former must prevail.”

Res judicata Apply parties, Precedent is binding declaration of law

Not open to Ignore the Judgment (Ratio Decidendi) of the Supreme Court

Indian Broadcasting and Digital Foundation v. Telecom Regulatory Authority of India, 01 Nov 2024, 2024 KER 80988, it is held by the Kerala High Court as under:

  • Typically, a statutory regulation can be challenged on two grounds: first, for violating fundamental rights, and second, for being inconsistent with the parent Act. Once the Supreme Court has dismissed a challenge to the regulation, any court bound by the declaration of law under Article 141 of the Constitution cannot revisit a binding judgment of the Supreme Court on different grounds. It is important to differentiate between precedent and res judicata. Res judicata pertains to the parties involved in a particular case, while precedent refers to a binding declaration of law that applies to courts or authorities and is independent of the rights and obligations of the parties involved.
  • In other words, precedent falls within the category of case law in the hierarchical system of adjudication and serves as a source of law that binds inferior authorities to the legal declarations made by superior authorities. The binding nature of precedent brings in certainty of law to be followed by all courts and authorities. In contrast, res judicata pertains to procedural rules that bind litigating parties to previous judgments on the same issue.
  • It is the ratio decidendi that determines the binding nature of a precedent, not the cause of action. …. The cause of action refers to the bundle of facts that give rise to a legal action, which is crucial in determining the applicability of the principles of res judicata but not necessarily on binding nature of precedent. Only the Supreme Court has the authority to revisit its own declared law; no other court can do so. The Supreme Court addressed this issue in Palitana Sugar Mills (P) Ltd. and Another v. State of Gujarat and Others [(2004) 12 SCC 645], where it stated in paragraph 62:
    • “62. It is well settled that the judgments of this Court are binding on all the authorities under Article (142*) 141 of the Constitution and it is not open to any authority to ignore a binding judgment of this Court on the ground that the full facts had not been placed before this Court and/or the judgment of this Court in the earlier proceedings had only collaterally or incidentally decided the issues raised in the show-cause notices. Such an attempt to belittle the judgments and the orders of this Court, to say the least, is plainly perverse and amounts to gross contempt of this Court. We are pained to say that the then Deputy Collector has scant respect for the orders passed by the Apex Court. (sic) ”

Interpretation of a Document can Be a Binding Judicial Precedent

In Sahu Madho Dass v. Mukand Ram, 1955 AIR SC 481, it was observed out as under:

  • “Mukand Ram was not a party to that litigation and the decision does not bind him but it operates as a judicial precedent about the construction of that document, a precedent with which we respectfully agree.” (Referred to in: Syed Hafiz Mir v. Abdul Nayeemkhan, AIR 1960  MP 50; Potluri Saraswathi v. Vallabhaneni Veerabhadra Rao, 2004-7 ALT 120; Harabati v. Jasodhara Debi, AIR 1977  Ori  143; Ramachandra Bhat v. Srideviamma, AIR 1976 Kar 217; Katragadda China Anjaneyulu v. Kattragadda China Ramayya, 1965  AIR AP 177)

In R. V. Bhupal Prasad v. Saleha Begum, 2002 Supp2 ALD 735; 2001-5 ALT 770, it is pointed out that in Anjaneyulu v. Ramaiah, 1965-1 ALT 149, a Full Bench of the Andhra High Court held that interpretation of a material document in a prior proceeding between the same parties even if does not operate as res judicata would be a binding judicial precedent in a subsequent proceeding between the parties based on that document.

Even an erroneous decision operates as res judicata

In Bindeswari v. Bageshwari, AIR 1936 PC 46, it was held as under:

  • “Where the decision of the Court in a previous suit determined that the section had never applied to a transaction, a Court in a new suit between the same parties with regard to the same transaction cannot try a new the issue as to its applicability in face of the express prohibition in Section 11 of the Code. “

In Mohanlal Goenka v. Benoy Kishna, AIR 1953 SC 65 it was laid down  as under:

  • “(23) There is ample authority for the proposition that even an erroneous decision on a question of law operates as res judicata between the parties to it. The correctness or otherwise of a judicial decision has no bearing upon the question whether or not it operates as res judicata. A decision in the previous execution case between the parties that the matter was not within the competence of the executing court even though erroneous is binding on the parties; see Abhoy Kanta Gohain v. Gopinath Deb Goswami AIR 1943 Cal. 460.”

No Binding precedent if relevant statutory provision was Not considered

A Full Bench of the Allahabad  HighmCourt, in  Indian Ceramic House, Langra-Ki-Chowki, Agra v. Sales Tax Officer, II Sector, Agra : 1970 SCC OnLine All 193, observed as under:

  • A Judgment is authoritative only as to that part of it which is considered to have been necessary to the decision of the case, and not that part which was not necessary to its decision. The first is called ‘ratio decidendi’. Which is binding as a precedent. The other called ‘obiter dicta’ cannot be treated as a binding precedent though the opinion so expressed is entitled to respect.” (Quoted in Chandrapal Singh v. State of U. P. (All), 2023-11 ADJ 543)

Allen in ‘Law in the Making’ said as under:

  • “Any judgment of any Court is authoritative only as to that part of it, called the ‘ratio decidendi’, which is considered to have been necessary to the decision of the actual issue between the litigants. It is for the Court, of whatever degree, which is called upon to consider the precedent, to determine what the true ‘ratio decidendi’ was…………..Judicial opinions upon such matters, whether they be merely casual, or wholly gratuitous or (as is far more usual) of what may be called collateral relevance, are known as ‘obiter dicta or simply ‘dicta’, and it is extremely difficult to establish any standard of their relative weight.” (Quoted in : Chandrapal Singh v. State of U. P. (All), 2023-11 ADJ 543). (Quoted in : Chandrapal Singh v. State of U. P. (All), 2023-11 ADJ 543).

The Supreme Court in Jayant Verma v. Union of India, (2018) 4 SCC 743, quoted the dissenting judgement of A.P. Sen, J. in Dalbir Singh v. State of Punjab, (1979) 3 SCC 745, with approval :

  • “54. This question is answered by referring to authoritative works and judgments of this Court. In Precedent in English Law by Cross and Harris (4th edn.), ‘ratio decidendi’ is described as follows: “The ratio decidendi of a case is any rule of law expressly or impliedly treated by the judge as a necessary step in reaching his conclusion, having regard to the line of reasoning adopted by him, or a necessary part of his direction to the jury.”

In Union of India v. Maniklal Banerjee, AIR 2006 SC 2844, the Apex Court has held as under:

  • “It is now well-settled that if a decision has been rendered without taking into account the statutory provision, the same cannot be considered to be a binding precedent. This Court, in Pritam Singh, while exercising its discretionary jurisdiction, might have refused to interfere with the decision. The same, therefore, did not constitute any binding precedent.” (Referred to in: Hameeda Begum v. Champa Bai Jain (Arun Misra, J.), ILR 2009 MP 2328; 2009-3 MPLJ 472)

Arun Misra, J., referred to the House of Lords’ decision in Hameeda Begum v. Champa Bai Jain, ILR 2009 MP 2328; 2009-3 MPLJ 472, and said as under:

  • “(35) Another decision relied upon is rendered by the House of Lords in Watt vs. Ahsan (2007) UKHL 51. In the aforesaid case, question arose on Section 12 of the Race Relations Act, 1976. The submission was made that they were party and that All vs. Mcdonagh (2002) ICR 1026 was wrongly decided. In any case, the interpretation given to Section 12 by the EAT in Sawyer v. Ahsan (2000) ICR 1 is res judicata between him and the Labour Party, not only for the purposes of his first complaint but for the other two as well. It was opined that the EAT was wrong in Sawyer vs. Ahsan (2000) ICR 1 to hold that the Labour Party was a qualifying body, but there was no appeal against the decision of EAT; it was held that decision was binding upon the parties, though wrong in law. When the Tribunal was-having the jurisdiction to decide the question, it is binding upon the parties though erroneous.
  • There is no dispute with the aforesaid proposition, but here we are concerned with the fresh cause of action on which suit is based and previously relevant statutory provision of Section 111 (d) of TP Act was not taken into consideration, question of determination of tenancy was also not decided.”

Ratio Decidendi (alone) Forms a Precedent; Not the Final Order or Conclusion.

Ratio decidendi literally means “reason for deciding”.

In B. Shama Rao v. Union Territory of Pondicherry, AIR 1967 SC 1480, it was observed that a decision is binding not because of its (final) conclusion but with regard to its ratio and the principle laid down therein.  (Referred to in: Secunderabad Club v. CIT, 2023 SCC OnLine SC 1004, 2023-457 ITR 263 (SC).

A Case is only an Authority for what it Actually Decides

In State of Orissa v. Sudhansu Sekhar Misra, AIR 1968 SC 647, wherein after relying on British authorities it was held:

  • “13….A decision is only an authority for what it actually decides. What is of the essence in a decision is its ratio and not every observation found therein, nor what logically follows from the various observations made in it. On this topic, this is what Earl of Halsbury L.C. said in Quinn v. Leathem [[1901] AC 495]:
  • “Now before discussing the case of Allen v. Flood, [1898] AC 1 and what was decided therein, there are two observations of a general character which I wish to make, and one is to repeat what I have very often said before, that every judgment must be read as applicable to the particular facts proved, or assumed to be proved, since the generality of the expressions which may be found there are not intended to be expositions of the whole law, but governed and qualified by the particular facts of the case in which such expressions are to be found. The other is that a case is only an authority for what it actually decides. I entirely deny that it can be quoted for a proposition that may seem to follow logically from it. Such a mode of reasoning assumes that the law is necessarily a logical code, whereas every lawyer must acknowledge that the law is not always logical at all. It is not a profitable task to extract a sentence here and there from a judgment and to build upon it.”

Questions which are Essentially Questions of Fact, Cannot be Cited as Precedents

In State of Punjab v. Surinder Kumar, AIR 1992 SC 1593: 1992-1 SCC 489, it is laid down as under:

  • “A decision is available as a precedent only if it decides a question of law.”

In Prakash Chandra Pathak v. State of Uttar Pradesh, AIR 1960 SC 195, it is held as under:

  • “Learned counsel for the appellant cited before us a number of reported decisions of this Court bearing on the appreciation of circumstantial evidence. We need not refer to those authorities. It is enough to say that decisions even of the highest court on questions which are essentially questions of fact, cannot be cited as precedents governing the decision of other cases which must rest in the ultimate analysis upon their own particular facts.” 

The Supreme Court (B.V. Nagarathna, J.)observed in Secunderabad Club v. CIT, 2023 SCC OnLine SC 1004, 2023-457 ITR 263 (SC), as under:

  • “22. Further, the precedential value of an order of the Supreme Court which is not preceded by a detailed judgment would be lacking inasmuch as an issue would not have been categorically dealt with. What is of essence in a decision is its ratio and not every observation found therein, nor what logically follows from the various observations made therein.”

A case is only an authority for what it decides, and not from what logically follows from it (Ram Krishan Ram Nath v. Janpad Sabha, AIR 1967 SC 1073)

Ratio Decidendi – Basis of Reasons and Principles Underlying a Decision

It is the discernable ratio decidendi which forms a precedent and not the final order in the judgment (Sanjay Singh v. Uttar Pradesh PSC, Allahabad, 2007-3 SCC 720).

The Supreme Court, in Krishena Kumar v. Union of India, 1990 (4) SCC 207, said as under::

  • “19. The doctrine of precedent, that is being bound by a previous decision, is limited to the decision itself and as to what is necessarily involved in it. It does not mean that this Court is bound by the various reasons given in support of it, especially when they contain “propositions wider than the case itself required”. This was what Lord Selborne said in Caledonian Railway Co. v. Walker’s Trustees [(1882) 7 App Cas 259 : 46 LT 826 (HL)] and Lord Halsbury in Quinn v. Leathem [1901 AC 495, 502 : 17 TLR 749 (HL)]. Sir Frederick Pollock has also said :
  • “Judicial authority belongs not to the exact words used in this or that judgment, nor even to all the reasons given, but only to the principles accepted and applied as necessary grounds of the decision.”

Decision Applicable Only to Facts Cannot be a Binding Precedent

The basis of reasons and principles underlying a decision is ratio decidendi. It is distinct from the ultimate relief granted in a given case. Therefore, the decision applicable only to the facts of the case cannot be treated as a binding precedent.

Ratio Decidendi Is Binding Precedent: Casual Words, Not of Much Avail

In Girnar Traders v. State of Maharashtra, (2007) 7 SCC 555, it is pointed out as under:

  • “Hence, in light of the aforementioned judicial pronouncements, which have well settled the proposition that only the ratio decidendi can act as the binding or authoritative precedent, it is clear that the reliance placed on mere general observations or casual expressions of the Court, is not of much avail to the respondents.”
  • (Quoted in: State of Maharashtra v. Bhakti Vedanta Book Trust, AIR 2013 SC 1667; 2013-4 SCC 676;
  • Shrirampur Municipal Council v. Satyabhamabai Bhimaji Dawkher, AIR 2013 SC 3757; 2013 5 SCC 627;
  • Arun Kumar Aggarwal v. State of Madhya Pradesh, AIR 2011 SC 3056; 2014-13 SCC 707)

A deliberate decision after hearing on a question constitute a precedent

A three Judge Bench of our Apex Court, in Union of India v. Dhanawanti Devi, (1996) 6 SCC 44. held as under:

  • “9. It is not everything said by a Judge while giving judgment that constitutes a precedent. The only thing in a judge’s decision binding a party is the principle upon which the case is decided and for this reason it is important to analyse a decision and isolate from it the ratio decidendi. According to the well-settled theory of precedents, every decision contains three basic postulates
  • (i) findings of material facts, direct and inferential. An inferential finding of facts is the inference which the Judge draws from the direct, or perceptible facts;
  • (ii) statements of the principles of law applicable to the legal problems disclosed by the facts; and
  • (iii) judgment based on the combined effect of the above.
  • A decision is only an authority for what it actually decides. What is of the essence in a decision is its ratio and not every observation found therein nor what logically follows from the various observations made in the judgment. Every judgment must be read as applicable to the particular facts proved, or assumed to be proved, since the generality of the expressions which may be found there is not intended to be exposition of the whole law, but governed and qualified by the particular facts of the case in which such expressions are to be found. It would, therefore, be not profitable to extract a sentence here and there from the judgment and to build upon it because the essence of the decision is its ratio and not every observation found therein. The enunciation of the reason or principle on which a question before a court has been decided is alone binding as a precedent. The concrete decision alone is binding between the parties to it, but it is the abstract ratio decidendi, ascertained on a consideration of the judgment in relation to the subject matter of the decision, which alone has the force of law and which, when it is clear what it was, is binding. It is only the principle laid down in the judgment that is binding law under Article 141 of the Constitution. A deliberate judicial decision arrived at after hearing an argument on a question which arises in the case or is put in issue may constitute a precedent, no matter for what reason, and the precedent by long recognition may mature into rule of stare decisis. It is the rule deductible from the application of law to the facts and circumstances of the case which constitutes its ratio decidendi.
  • 10. Therefore, in order to understand and appreciate the binding force of a decision it is always necessary to see what were the facts in the case in which the decision was given and what was the point which had to be decided. No judgment can be read as if it is a statute. A word or a clause or a sentence in the judgment cannot be regarded as a full exposition of law. Law cannot afford to be static and therefore, Judges are to employ an intelligent technique in the use of precedents……” (Quoted in: Vishal N.  Kalsaria v. Bank of India, 2016-3 SCC 762)

Law laid down by SC – if only there is a Speaking Order;  Not by Dismissal In Limine

It was added, in Secundrabad Club v. CIT – V, 17-08- 2023; 2023-457 ITR 263 (SC), as under:

  • “23. Another important principle to be borne in mind is that declaration of the law by the Supreme Court can be said to have been made only when it is contained in a speaking order, either expressly or by necessary implication and not by dismissal in limine.”

Law ‘Declared’, and ‘found or made’

While speaking about judicial precedents, in DTC v. DTC Mazdoor Congress Union, AIR 1991 SC 101, Mukherji, CJ., laid down that the expression ‘declared’ is wider than the words ‘found or made’. The latter expression involves the process, while the former expresses the result. (Referred to in: Secunderabad Club v. CIT, 2023 SCC OnLine SC 1004, 2023-457 ITR 263 (SC).

Ratio Decidendi alone is Binding Precedent; It is statements of principles of law

The Supreme Court observed further in Secundrabad Club v. CIT, 2023 SCC OnLine SC 1004, 2023-457 ITR 263 (SC), as under

  • “13. It is a settled position of law that only the ratio decidendi of a judgment is binding as a precedent.”

B.V. Nagarathna, J. held (in Secundrabad Club v. CIT, 2023 SCC OnLine SC 1004, 2023-457 ITR 263 (SC) as under:

  • “According to the well-settled theory of precedents, every decision contains three basic ingredients:
  • .(i) findings of material facts, direct and inferential. An inferential finding of fact is the inference which the Judge draws from the direct or perceptible facts;
  • (ii) statements of the principles of law applicable to the legal problems disclosed by the facts; and
  • (iii) judgment based on the combined effect of (i) and (ii) above.
  • For the purposes of the parties themselves and their privies, ingredient (iii) is the material element in the decision, for, it determines finally their rights and liabilities in relation to the subject-matter of the action. It is the judgment that estops the parties from reopening the dispute. However, for the purpose of the doctrine of precedent, ingredient (ii) is the vital element in the decision. This is the ratio decidendi. It is not everything said by a judge when giving a judgment that constitutes a precedent. The only thing in a judge’s decision binding a party is the principle upon which the case is decided and for this reason it is important to analyse a decision and isolate from it the ratio decidendi.”

A “collateral or incidental” finding would not ordinarily be res judicata.

If only finding is “Necessary”, then only it is “Directly and Substantially” in issue

In Sajjadanashin Sayed v. Musa Dadabhai Ummer, (2000) 3 SCC 350 the Supreme Court held that to attract res judicata on an earlier finding, the matter must have been directly and substantially in issue and that the finding on an issue came “collaterally or incidentally” would not ordinarily be res judicata. It was pointed out that if only the issue was “necessary” to be decided for adjudicating on the principal issue and had actually been decided, then only it would have to be treated as “directly and substantially” in issue; and that it is also necessary that the judgment was in fact based upon that decision.

For Res Judicata – Adjudication of the Issue Material and Essential

In Sajjadanashin it is pointed out as under:

  • “Where title to property is the basis of the right of possession, a decision on the question of possession is res judicata on the question of title to the extent that adjudication of title was essential to the judgment; but where the question of the right to possession was the only issue actually or necessary involved, the judgment is not conclusive on the question of ownership or title.”

Referring to Sajjadanashin Sayed, it is observed in Nand Ram v. Jagdish Prasad: AIR  2020 SC 1884 that a material test to be applied is whether the court considered the adjudication of the issue material and essential for its decision.

  • (Sajjadanashin Sayed v. Musa Dadabhai Ummer, (2000) 3 SCC 350, is quoted and followed in: M.S. Ananthamurthy v. J. Manjula (Neutral Citation: 2025 INSC 273.)

Referring to Sajjadanashin Sayed it is observed in Union of India Vs. Vijay Krishna Uniyal, 2017-12 SCALE 704, that one has to examine the plaint, the written statement, the issues and the judgment to find out if the matter was directly and substantially in issue.

In Sajjadanashin Sayed v. Musa Dadabhai Ummer, AIR 2000 SC 1238, observed as under:

  • “Point No. 1:
  • 11. The words “collaterally” or “incidentally in issue” have come up for interpretation in several common law jurisdictions in the context of the principle of res judicata. While the principle has been accepted that matters collaterally or incidentally in issue are not ordinarily res judicata, it has however been accepted that there are exceptions to this rule. The English, American, Australian and Indian Courts and Jurists have therefore proceeded to lay down certain tests to find out if even an earlier finding on such an issue can be res judicata in a later proceedings. There appears to be a common thread in the tests laid down in all these countries. We shall therefore refer to these developments.
  • 12. Matters Collaterally or incidentally in issue:
  • It will be noticed that the words used in Section 11 CPC are “directly and substantially in issue.” If the matter was in issue directly and substantially in a prior litigation and decided against a party then the decision would be res judicata in a subsequent proceeding. Judicial decisions have however held that if a matter was only `collaterally or incidentally in issue and decided in an earlier proceeding, the finding therein would not ordinarily be res judicata in a latter proceeding where the matter is directly and substantially in issue.
  • 13. As pointed out in Halsbury’s Laws of England (Vol. 16, Para 1538) (4th Ed.), the fundamental rule is that a judgment is not conclusive if any matter came collaterally in question [R. vs. Knaptoft Inhabitants, Heptulla Bros vs. Thakore; or if any matter was incidentally cognizable Sanders (otherwise Saunders) vs. Sanders (otherwise Saunders)].
  • 14. A collateral or incidental issue is one that is ancillary to a direct and substantive issue; the former is an auxiliary issue and the latter the principal issue. The expression collaterally or incidentally in issue implies that there is another matter which is directly and substantially in issue (Mulla, CPC 15th Ed. p. 104).
  • 15. Difficulty in distinguishing whether a matter was directly in issue or collaterally or incidentally in issue and tests laid down in various Courts:
  • Difficulty in this area of law has been felt in various jurisdictions and therefore some tests have been evolved. Halsbury says (Vol. 16, Para 1538) (4th Ed.) that while the general principle is clear “difficulty arises in the application of the rule in determining in each case what was the point decided and what was the matter incidentally cognizable, and the opinion of Judges seems to have undergone some fluctuations.”
  • 16. Spencer Bower and Turner on The Doctrine of Res Judicata (2nd Ed, 1969) (p. 181) refer to the English and Australian experience and quota Dixon, J. of the Australian High Court in Blair v. Curran to say: “The difficulty in the actual application of these conceptions is to distinguish the matters fundamental or cardinal to the prior decision on judgment, or necessarily involved in it as its legal justification or foundation, from matters which, even though actually raised and decided as being in the circumstances of the case the determining considerations, yet are not in point of law the essential foundation of a groundwork of the judgment.” The authors say that in order to understand with essential distinction, one has always to inquire with unrelenting severity – is the determination upon which it is sought to find an estoppel so fundamental to the substantive decision that the latter cannot stand without the former. Nothing less than this will do. It is suggested by Dixon, J that even where this inquiry is answered satisfactorily, there is still another test to pass: viz. whether the determination is the immediate foundation” of the decision as opposed to merely “a proposition collateral or subsidiary only, i.e. not more than part of the reasoning supporting the conclusion.” It is well settled, say the above authors “that a mere step in reasoning is insufficient. What is required is no less than the determination of law, or fact or both, fundamental to the substantive decision.”

A Deliberate Judicial Decision Alone is Judicial Precedent

As regards binding precedent it is observed in Union of India v. Dhanwanti Devi, (1996) 6 SCC 44, as under:

  • “9…..It is not everything said by a Judge while giving judgment that constitutes a precedent. The only thing in a Judge’s decision binding a party is the principle upon which the case is decided and for this reason it is important to analyse a decision and isolate from it the ratio decidendi. According to the well-settled theory of precedents, every decision contains three basic postulates-
    • (i) findings of material facts, direct and inferential. An inferential finding of facts is the inference which the Judge draws from the direct, or perceptible facts;
    • (ii) statements of the principles of law applicable to the legal problems disclosed by the facts; and
    • (iii) judgment based on the combined effect of the above. A decision is only an authority for what it actually decides.
  • What is of the essence in a decision is its ratio and not every observation found therein nor what logically follows from the various observations made in the judgment. Every judgment must be read as applicable to the particular facts proved, or assumed to be proved, since the generality of the expressions which may be found there is not intended to be exposition of the whole law, but governed and qualified by the particular facts of the case in which such expressions are to be found. It would, therefore, be not profitable to extract a sentence here and there from the judgment and to build upon it because the essence of the decision is its ratio and not every observation found therein. The enunciation of the reason or principle on which a question before a court has been decided is alone binding as a precedent. The concrete decision alone is binding between the parties to it, but it is the abstract ratio decidendi, ascertained on a consideration of the judgment in relation to the subject-matter of the decision, which alone has the force of law and which, when it is clear what it was, is binding. It is only the principle laid down in the judgment that is binding law under Article 141 of the Constitution. A deliberate judicial decision arrived at after hearing an argument on a question which arises in the case or is put in issue may constitute a precedent, no matter for what reason, and the precedent by long recognition may mature into rule of stare decisis. It is the rule deductible from the application of law to the facts and circumstances of the case which constitutes its ratio decidendi. “

Res Judicata: The Issue Should Have Been “Necessary to be Decided”

In PMA Metropolitan v. Moran Mar Marthoma, AIR 1995 SC 2001, it is held as under:

  • “57. It is fairly settled that the finding on an issue in the earlier suit to operate as res judicate should not have been only directly and substantially in issue but it should have been necessary to be decided as well.”

A Compromise Decree is not a decision by the Court; No Res Judicata

In Pulavarthi Venkata Subba Rao v. Valluri Jagannadha Rao, AIR 1967 SC 591, the Supreme Court has laid down as under :

  • “A compromise decree is not a decision by the Court, it is the acceptance by the Court of something to which the parties had agreed. It has been said that a compromise decree merely sets the seal of the Court on the agreement of the parties. The Court did not decide, anything. Nor can it be said that the decision of the Court was implicit in it.”
  • See also: Daryao v. State of UP, 1962- I SCR 574;
  • Vidya Sagar v. Sudesh Kumari, 1976-1 SCC 115;
  • Jamia Masjid v. K. V.  Rudrappa, AIR 2021 SC 4523; 2022-9 SCC 225.

In Baldevdas Shivlal and another v. Filmistan Distributors (India) Pvt. Ltd., AIR 1970 SC 406, it is held as under:

  • “A consent decree according to the decisions of this Court does not operate as res-judicata because a consent decree is merely the record of contract between the parties to a suit, to which is superadded the seal of the Court. A matter in contest in a suit may operate as res-judicata only if there is an adjudication by the Court; the terms of section 11 of the Code leave no scope for a contrary view.”

Cardinal feature of Common Law – Stand by Precedent

In State of U.P. v. Ajay Kumar Sharma, 2016-15 SCC 289, it is held as under:

  • 10. Time and again this Court has emphatically restated the essentials and principles of precedent’ and of Stare Decisis which are a cardinal feature of the hierarchical character of all Common Law judicial systems. The doctrine of precedent mandates that an exposition of law must be followed and applied even by coordinate or co-equal Benches and certainly by all smaller Benches and subordinate courts. That is to say that a smaller and a later Bench has no freedom other than to apply the law laid down by the earlier and larger Bench; that is the law which is said to hold the field. Apart from Article 141, it is a policy of the courts to stand by precedent and not to disturb a settled point. The purpose of precedents is to bestow predictability on judicial decisions and it is beyond cavil that certainty in law is an essential ingredient of rule of law. A departure may only be made when a coordinate or co-equal Bench finds the previous decision to be of doubtful logic or efficacy and consequentially, its judicial conscience is so perturbed and aroused that it finds it impossible to follow the existing ratio. The Bench must then comply with the discipline of requesting the Hon’ble Chief Justice to constitute a larger Bench.”

Modern English Practice

In Kesavananda Bharati v. State of Kerala, (1973) 4 SCC 225, it is pointed out as under:

  • “47. Though English Courts in the past accepted the Blackstonian theory and though the House of Lords strictly adhered to the doctrine of ‘precedent’ in the earlier years, both the doctrines were practically given up by the “Practice Statement (Judicial precedent)” issued by the House of Lords, recorded in (1966) 1 WLR 1234. Lord Gardiner L.C., speaking for the House of Lords made the following observations;
  • “Their Lordships nevertheless recognise that too rigid adherence to precedent may lead to injustice in a particular case and also unduly restrict the proper development of the law. They propose, therefore, to modify their present practice and, while treating former decisions of this House as normally binding, to depart from a previous decision when it appears right to do so.”

Article 141 in Constitution of India 141

Article 141 mandates the courts in India to follow the law declared by the Apex Court. It reads as under:

  • Law declared by Supreme Court to be binding on all courts: The law declared by the Supreme Court shall be binding on all courts within the territory of India.”

The enacted laws do not speak about binding judicial precedents. But, the common law expounds the principles thereon, following the principles adopted by English Courts. By virtue of this convention, the principle of law applied in an earlier case is followed in subsequent cases, and the decision of a larger bench is honoured by the smaller bench.

Article 141 declares that the law laid down by the Supreme Court of India will be a ‘Source of Law’.

Larger Bench Decision is binding on Bench of lesser strength

It is observed in Mary Pushpam v. Telvi Curusumary, AIR 2024 (SC) 714; 2024-3 SCC 224 (Vikram Nath, Rajesh Bindal, JJ.) as under:

  • “1. The rule of ‘Judicial Discipline and Propriety’ and the Doctrine of precedents has a merit of promoting certainty and consistency in judicial decisions providing assurance to individuals as to the consequences of their actions. The Constitution benches of this court have time and again reiterated the rules emerging from judicial Discipline. Accordingly, when a decision of a coordinate Bench of same High court is brought to the notice of the bench, it is to be respected and is binding subject to right of the bench of such co-equal quorum to take a different view and refer the question to a larger bench. It is the only course of action open to a bench of co-equal strength, when faced with the previous decision taken by a bench with same strength.”

The Apex Court referred the following decisions –

  • Kunhayammed v. State of Kerala, (2000) 6 SCC 359
  • Central Board of Dawoodi Bohra Community v. State of Maharashtra, (2005) 2 SCC 673
  • State of Punjab , v. Devans Modern Breweries Ltd., (2004) 11 SCC 26

In Sita Soren v. Union of India, AIR 2024 SC 1701; 2024-5 SCC 629, it is pointed out as under:

  • “24. A decision delivered by a Bench of larger strength is binding on any subsequent Bench of lesser or coequal strength. A Bench of lesser strength cannot disagree with or dissent from the view of the law taken by the bench of larger strength. However, a bench of the same strength can question the correctness of a decision rendered by a co-ordinate bench. In such situations, the case is placed before a bench of larger strength. [Central Board of Dawoodi Bohra Community vs. State of Maharashtra, (2005) 2 SCC 673, Para 12]”

Minority Decision may a binding precedent (when no disagreement by majority)

In Property Owners Association v. State of Maharashtra, 2024 INSC 835; 2024 KLT(Online) 2648; 2024 8 Supreme 387; 2024 0 Supreme(SC) 990, it is pointed out (in the Majority View: DY Chandrachud, CJI, Hrishikesh Roy, J.B. Pardiwala, Manoj Misra, Rajesh Bindal, Satish Chandra Sharma, Augustine George Masih, JJ.- Minority, B.V. Nagarathna, Sudhanshu Dhulia, JJ.) as under:

  • “102. It must be noted, however, that there is a difference between whether an observation is a binding precedent and whether it is a position of law that may have persuasive value on subsequent benches. In the absence of disagreement by a majority of judges (either express or implied), nothing precludes subsequent benches of this Court from relying on observations made in a concurring opinion (on behalf of the minority of judges) which are not discussed by the other judges at all. It is assumed in such cases, that all judges on the bench have read the opinions of one another, and did not deem it necessary to either state their express disagreement with the opinion or lay down a different understanding of the proposition of law (implied disagreement).”

Are the Trial Courts bound by its Previous Decisions

No.

  • A Munsiff or a Subordinate Judge is not bound to follow his previous decision as a judicial precedent. Such rulings are at best persuasive, not obligatory.

Certainty demands Consistency

Certainty and consistency in judicial decisions are necessary for providing assurance to individuals as to the consequences of their actions. Applying this principle, a Munsiff or Sub-judge is bound to follow the principles he (or his predecessor in office) had adopted in a previous decision. But it is not a constitutional mandate. No common-aw doctrines also direct so. Still, when such a precedent (judgment or order) is placed either by producing the same in evidence or by pointing out the same in the argument of the case, judicial courtesy and comity require the Munsiff or the judge to explain reasons if he deviates from the earlier stance.

In Land Acquisition cases it is common that earlier decisions are cited for showing the reasonable compensation.

Also Read

•➧ Ratio Decidendi (alone) Forms a Precedent; Not the Final Order or Conclusion.
             •➧ Relevancy of a Civil Case Judgment in Criminal Cases: Does a Civil Court Judgment Bind a Criminal Court?
             •➧ Prem Raj v.  Poonamma Menon (SC), April 2, 2024 – An Odd Decision on ‘Civil Court Judgment Does Not Bind Criminal Court’.
             •➧ Cheating and Breach of Contract: Distinction lies in Fraudulent Intention ‘at the time of Promise’.  No Criminal Case endures on a Dispute Essentially Civil in Nature.
             •➧ Res Judicata and Judicial Precedent
             •➧ No Res judicata on Finding on Title in an Injunction Suit
             •➧ What are “Relevant Under Some Other Provisions of this Act” in Sec. 43?
          •➧ Res Judicata and Constructive Res Judicata
            •➧ Alternative Pleadings on Title and Adverse Possession: Mutually Inconsistent or Mutually Destructive?
             •➧Res Judicata: ‘Same issue’ must have been ‘Adjudicated’ in the former suit

End Notes:

Sec. 11 Civil Procedure Code, 1908, reads as under:

  • Res Judicata -No Court shall try any suit or issue in which the matter directly and substantially in issue has been directly and substantially in issue in a former suit between the same parties, or between parties under whom they or any of them claim, litigating under the same title, in a Court competent to try such subsequent suit or the suit in which such issue has been subsequently raised, and has been heard and finally decided by such Court.
  • Explanation I– The expression “former suit” shall denote a suit which has been decided prior to the suit in question whether or not it was instituted prior thereto.
  • Explanation II.- For the purposes of this section, the competence of a Court shall be determined irrespective of any provisions as to a right of appeal from the decision of such Court.
  • Explanation III.- The matter above referred to must in the former suit have been alleged by one party and either denied or admitted, expressly or impliedly, by the other.
  • Explanation IV.- Any matter which might and ought to have been made ground of defence or attack in such former suit shall be deemed to have been a matter directly and substantially in issue in such suit.
  • Explanation V.- Any relief claimed in the plaint, which is not expressly granted by the decree, shall, for the purposes of this section, be deemed to have been refused.
  • Explanation VI– Where persons litigate bona fide in respect of public right or of a private right claimed in common for themselves and others, all persons interested in such right shall, for the purposes of this section, be deemed to claim under the persons so litigating.
  • Explanation VII.- The provisions of this section shall apply to a proceeding for the execution of a decree and reference in this section to any suit, issue or former suit shall be construed as references, respectively, to proceedings for the execution of the decree, question arising in such proceeding and a former proceeding for the execution of that decree.
  • Explanation VIII.-An issue heard and finally decided by a Court of limited jurisdiction, competent to decide such issue, shall operate as res judicata in as subsequent suit, notwithstanding that such Court of limited jurisdiction was not competent to try such subsequent suit or the suit in which such issue has been subsequently raised.

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Book No, 1 – Civil Procedure Code

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Evidence Act – General

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Book No. 2: A Handbook on Constitutional Issues

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Book No. 3: Common Law of CLUBS and SOCIETIES in India

Book No. 4: Common Law of TRUSTS in India

Relevance of a Civil Case Judgment in Criminal Cases: Does a Civil Court Judgment Bind a Criminal Court?

Saji Koduvath, Advocate, Kottayam.

The Answer is – No.

Abstract

  • The relevancy of a previous judgment (in a subsequent case) is governed by Sections 40 to 43 of the Indian Evidence Act, 1872.
  • Section 43, inter alia, permits the production of earlier judgments that are deemed “relevant under other provisions of this Act.”
  • There are divergent views on the applicability of Sections 5, 8, 11 and 13, Evidence Act, under this clause in Section 43.
    • First view—Sections 5, 8, 11 and 13 being delineate the general provisions, and the relevance of prior judgments is primarily governed by Sections 40 to 43, the previous judgments will not be liberally permitted (invoking the clause “relevant under some other provisions of this Act”).
    • Second view—The phrase “relevant under some other provisions of this Act” as stated in Section 43, must be interpreted to encompass its complete and comprehensive significance.
  • Differences of opinion also exist as to the admissibility of a judgment not inter parties, under Section 13.
  • The legitimate view, it appears, is the following –
    • (i) Previous judgments can be admitted in evidence (invoking the clause “relevant under some other provisions of this Act”) if they fall under Sections 5, 8, 11 and 13. Nevertheless, the admissibility of the previous judgments being essentially governed by Sections 40 to 43, they cannot be allowed to be freely imported, invoking the general provisions.
    • (ii) The probative value of the previous judgment has to be determined by the court, even if such a previous judgment is marked in evidence as ‘relevant’.
    • (iii) In any case, the use of the previous judgment is definitely relevant in certain contexts. For instance:
      • A motive for an offence (Section 8) – i.e., to see whether the judgment provoked anger in the accused.
      • The sentence or damages to be imposed – i.e., to see whether there would be double jeopardy.

Also Read

             •➧ Ratio Decidendi (alone) Forms a Precedent; Not the Final Order or Conclusion.
             •➧ Prem Raj v.  Poonamma Menon (SC), April 2, 2024 – An Odd Decision on ‘Civil Court Judgment Does Not Bind Criminal Court’.
             •➧ Cheating and Breach of Contract: Distinction lies in Fraudulent Intention ‘at the time of Promise’.  No Criminal Case endures on a Dispute Essentially Civil in Nature.
             •➧ No Res judicata on Finding on Title in an Injunction Suit
             •➧ Res Judicata and Judicial Precedent
             •➧ What are “Relevant Under Some Other Provisions of this Act” in Sec. 43?
             •➧ Judicial Precedent and Res Judicata – a Couplet
             •➧ Res Judicata and Constructive Res Judicata
             •➧Alternative Pleadings on Title and Adverse Possession: Mutually Inconsistent or Mutually Destructive?
             •➧Res Judicata: ‘Same issue’ must have been ‘Adjudicated’ in the former suit

PART I

Relevancy of a Civil Case Judgment in a Criminal Case – Abstract Propositions

1. Independent evidence/finding needed.

  • M.S. Sheriff v. State of Madras, AIR 1954 SC 397 (Vivian Bose, J.)
  • State of Rajasthan v. Kalyan Sundaram Cement Industries, AIR 1996 SC 2823,
  • K.G. Premshanker v. Inspector of Police, (2002) 8 SCC 87 (MB Shah, J.)
  • Iqbal Singh Marwah v. Meenakshi Marwah, (2005) 4 SCC 370  (G.P. Mathur, J.)
  • P. Swaroopa Rani v. M. Hari Narayana, (2008) 5 SCC 765,
  • Seth Ramdayal Jat v. Laxmi Prasad, (2009) 11 SCC 545 (SB Sinha, J.)
  • Radheshyam Kejriwal v. State of West Bengal, (2011) 3 SCC 581.

2. It is not correct to say – a judgment of a civil court shall be binding on the criminal court.

  • K.G. Premshanker v. Inspector of Police, (2002) 8 SCC 87
  • Seth Ramdayal Jat v. Laxmi Prasad, (2009) 11 SCC 545 (SB Sinha, J.)

3. There is neither any statutory nor any legal principle that findings recorded by the court, either in civil or criminal proceedings, shall be binding between the same parties (even) while dealing with the same subject-matter.

  • Iqbal Singh Marwah v. Meenakshi Marwah, (2005) 4 SCC 370,
  • Avitel Post Studioz Limited v. HSBC PI Holdings (Mauritius) Limited, 2021-4 SCC 713 (R.F. Nariman, J.)

4. Sections 41 to 43 of the Evidence Act deal with relevancy alone (Not conclusive except as provided in Section 41).

  • K.G. Premshanker v. Inspector of Police, (2002) 8 SCC 87
  • Avitel Post Studioz Limited v. HSBC PI Holdings (Mauritius) Limited, 2021-4 SCC 713

5. Criminal liability must be proved beyond reasonable doubt, while civil liability is based on preponderance of probabilities; different principles and different standards of proof.

  • Iqbal Singh Marwah v. Meenakshi Marwah, (2005) 4 SCC 370
  • P. Swaroopa Rani v. M. Hari Narayana, (2008) 5 SCC 765
  • Radheshyam Kejriwal v. State of West Bengal, (2011) 3 SCC 581.

Other Provisions of this Act” in S. 43 Will Not Cover S. 13

A three-Judge Bench, in State of Bihar v. Radha Krishna Singh, AIR 1983 SC 684 (Syed Murtaza Fazalali, A. Varadarajan, V. Balakrishna Eradi, JJ.) held as under:

  • “We are, however, of the opinion that where there is a specific provision covering the admissibility of a document, it is not open to the court to call into aid other general provisions to make a particular document admissible. In other words, if a judgment is not admissible as not falling within the ambit of sections 40 to 42, it must fulfil the conditions of s. 43. Otherwise, it cannot be relevant under s. 13 of the Evidence Act. The words “other provisions of this Act” cannot cover s. 13 because this section does not deal with judgments at all.

Judgment not Inter Parties is Admissible under Section 13

But, a contra-view is taken in a Two-Judge Bench in Tirumala Tirupati Devsthanam v. K. M. Krishnaiah, AIR 1998 SC 1132; 1998 3 SCC 331 (S.P. Bharucha & M. Jagannadha Rao, JJ.), which reads as under:

  • “9. In our view, this contention is clearly contrary to the rulings of this Court as well as those of the Privy Council. In Srinivas Krishna Rao Kango v. Narayan Devji Kango & Ors., AIR 1954 SC 379, speaking on behalf of a Bench of three learned Judges of this Court, Venkatarama Ayyar, J. held that a judgment not inter parties is admissible in evidence under Section 13 of the Evidence Act as evidence of an assertion of a right to property in dispute. A contention that judgments other than those falling under Sections 40 to 44 of the Evidence Act were not admissible in evidence was expressly rejected.
  • Again B.K. Mukherjee, J. (as he then was) speaking on behalf of a Bench of four learned Judges in Sital Das v. Sant Ram & Ors., AIR 1954 SC 606, held that a previous judgment not inter parties, was admissible in evidence under Section 13 of the Evidence Act as a ‘transaction’ in which a right to property was ‘asserted’ and ‘recognised’.
  • In fact, much earlier, Lord Lindley held in the Privy Council in Dinamoni v. Brajmohini, (1902) ILR 29 Cal. 190 (PC), that a previous judgment, not inter partes was admissible in evidence under Section 13 to show who the parties were, what the lands in dispute were and who was declared entitled to retain them. The criticism of the judgment in Dinamoni v. Brajmohini and Ram Ranjan Chakerbati v. Ram Narain Singh, 1895 ILR 22 Cal. 533 (PC), by Sir John Woodroffe in his commentary on the Evidence Act (1931, P 181) was not accepted by Lord Blanesburgh in Collector of Gorakhpur v. Ram Sunder, AIR 1934 PC 157.”

Note:

  • 1. The apparent inconsistency between the two views remains unresolved, as the Supreme Court has yet to offer a definitive clarification addressing both views.
  • 2. It is seen that it is legitimate to follow Tirumala Tirupati Devsthanam v. K. M. Krishnaiah, AIR 1998 SC 1132, in a limited sphere, such as (i) to prove motive for an offence (Section 8) and (ii) in consideration of the sentence or damages to be imposed – i.e., to see whether there would be double jeopardy.

It is Not Correct – Civil Decisions bind Criminal Courts (and Converse)

Our Apex Court had (earlier) observed in V. M. Shah v. State of Maharashtra, (1995) 5 SCC 767, that the finding recorded by the criminal court stands superseded by the finding recorded by the civil court. A two-judge bench, in KG Premshanker v. Inspector of Police, doubted the correctness of V. M. Shah case and required reconsideration by a larger Bench. Hence, in KG Premshanker v. Inspector of Police, (2002) 8 SCC 87, the Three-Judge Bench (M.B. Shah, Bisheshwar Prasad Singh, H.K. Sema, JJ.) overruled V. M. Shah v. State of Maharashtra, holding that the finding recorded by a criminal court stands superseded by the finding recorded by the civil court is not correct.

KG Premshanker v. Inspector of Police, (2002) 8 SCC 87, also considered Karam Chand Ganga Prasad v. Union of India, 1970-3 SCC 694, wherein it was observed that the decisions of civil courts will be binding on criminal courts, but the converse is not true. KG Premshanker v. Inspector of Police, (2002) 8 SCC 87, also overruled Karam Chand Ganga Prasad.

Referring KG Premshanker v. Inspector of Police (2002) 8 SCC 87, it is held in Syed Askari Hadi Ali Augustine Imam v. State (Delhi Admn.), 2009- 5 SCC 528 (Mukundakam Sharma, SB Sinha, JJ.) as under:

  • “It is, however, significant to notice a decision of this Court in M/s Karam Chand Ganga Prasad & Anr. etc. v. Union of India & Ors. [(1970) 3 SCC 694], wherein it was categorically held that the decisions of the civil court will be binding on the criminal courts but the converse is not true, was overruled, stating:
    • “33. Hence, the observation made by this Court in V.M. Shah case that the finding recorded by the criminal court stands superseded by the finding recorded by the civil court is not correct enunciation of law. Further, the general observations made in Karam Chand case are in context of the facts of the case stated above. The Court was not required to consider the earlier decision of the Constitution Bench in M.S. Sheriff case (M.S. Sheriff v. State of Madras, AIR 1954 SC 397) as well as Sections 40 to 43 of the Evidence Act.”
  • 11. Axiomatically, if judgment of a civil court is not binding on a criminal court, a judgment of a criminal court will certainly not be binding on a civil court. We have noticed hereinbefore that Section 43 of the Evidence Act categorically states that judgments, orders or decrees, other than those mentioned in sections 40, 41 and 42 are irrelevant, unless the existence of such judgment, order or decree, is a fact in issue, or is relevant under some other provisions of the Act. No other provision of the Evidence Act or for that matter any other statute has been brought to our notice.”

No Legal Principle – Findings of Civil Court bind  Cril. Court

Except as provided in Sections 41 to 43 of the Evidence Act, there is no general legal principle that findings of a civil court are binding on a criminal court, and vice versa.

In Avitel Post Studioz Limited v. HSBC PI Holdings (Mauritius) Limited (Rohinton Fali Nariman, Navin Sinha, Indira Banerjee, JJ.) 2021-4 SCC 713, the principles in K.G. Premshanker v. Inspector of Police, (2002) 8 SCC 87: AIR 2002 SC 3372, are followed and held as under:

  • “18. Thus, in view of the above, the law on the issue stands crystallised to the effect that the findings of fact recorded by the civil court do not have any bearing so far as the criminal case is concerned and vice versa. Standard of proof is different in civil and criminal cases. In civil cases it is preponderance of probabilities while in criminal cases it is proof beyond reasonable doubt. There is neither any statutory nor any legal principle that findings recorded by the court either in civil or criminal proceedings shall be binding between the same parties while dealing with the same subject-matter and both the cases have to be decided on the basis of the evidence adduced therein. However, there may be cases where the provisions of Sections 41 to 43 of the Evidence Act, 1872, dealing with the relevance of previous judgments in subsequent cases may be taken into consideration.”

It is further pointed out in Avitel Post Studioz Limited v. HSBC PI Holdings (Mauritius) Limited, 2021-4 SCC 713 –

  • “Moreover, the judgment, order or decree passed in previous civil proceedings, if relevant, as provided under Sections 40 and 42 or other provisions of the Evidence Act then in each case the court has to decide to what extent it is binding or conclusive with regard to the matters decided therein. In each and every case the first question which would require consideration is, whether the judgment, order or decree is relevant; if relevant, its effect. This would depend upon the facts of each case.”

No Legal Principle – Previous Findings are treated as Final

Standards of proof required in civil and criminal proceedings are entirely different

Even if a document or fact is relevant under certain provisions of the Evidence Act, it doesn’t mean that it will be taken as a binding document or that it is substantive evidence, because its probative value may be less or nil.

In Iqbal Singh Marwah v. Meenakshi Marwah (R.C.Lahoti CJIB.N. Agrawal, Hotoi Khetoho Sema, G.P. Mathur & P.K. Balasubramanyan, JJ.), 2005-4 SCC 370, (relying inter alia on M.S. Sheriff v. State of Madras, AIR 1954 SC 397) it was held as under:

  • “32. Coming to the last contention that an effort should be made to avoid conflict of findings between the civil and criminal courts, it is necessary to point out that the standards of proof required in the two proceedings are entirely different. Civil cases are decided on the basis of preponderance of evidence while in a criminal case the entire burden lies on the prosecution and proof beyond reasonable doubt has to be given. There is neither any statutory provision nor any legal principle that the findings recorded in one proceeding may be treated as final or binding in the other, as both the cases have to be decided on the basis of the evidence adduced therein.”

Also Read:

Judgment of a Court is relevant if only conditions u/s 40 to 43 are satisfied

The position of law is laid down in K.G. Premshanker v. Inspector of Police, (2002) 8 SCC 87: AIR 2002 SC 3372, as under:

  • “30. What emerges from the aforesaid discussion is –
  • (1) the previous judgment which is final can be relied upon as provided under Sections 40 to 43 of the Evidence Act;
  • (2) in civil suits between the same parties, principle of res-judicata may apply;
  • (3) in a criminal case, Section 300 Cr.P.C. makes provision that once a person is convicted or acquitted, he may not be tried again for the same offence if the conditions mentioned therein are satisfied;
  • (4) if the criminal case and the civil proceedings are for the same cause, judgment of the civil Court would be relevant if conditions of any of the Sections 40 to 43 are satisfied, but it cannot be said that the same would be conclusive except as provided in Section 41. Section 41 provides which judgment would be conclusive proof of what is stated therein.”

Court has to Decide – To what Extent a Previous Judgment is binding

K.G. Premshanker v. Inspector of Police continued as under:

  • “31. Further, the judgment, order or decree passed in a previous civil proceeding, if relevant, as provided under Sections 40 and 42 or other provisions of the Evidence Act then in each case, Court has to decide to what extent it is binding or conclusive with regard to the matter(s) decided therein.
  • Take for illustration, in a case of alleged trespass by ‘A’ on ‘B’s property, ‘B’ filed a suit for declaration of its title and to recover possession from ‘A’ and suit is decreed. Thereafter, in a criminal prosecution by ‘B’ against ‘A’ for trespass, judgment passed between the parties in civil proceedings would be relevant and Court may hold that it conclusively establishes the title as well as possession of ‘B’ over the property. In such case, ‘A’ may be convicted for trespass. The illustration to Section 42** which is quoted above makes the position clear.
  • Hence, in each and every case, first question which would require consideration is whether judgment, order or decree is relevant?, if relevant its effect. It may be relevant for a limited purpose, such as, motive or as a fact in issue. This would depend upon facts of each case.
  • 32. In the present case, the decision rendered by the Constitution Bench in M.S. Sheriff case would be binding, wherein it has been specifically held that no hard-and-fast rule can be laid down and that possibility of conflicting decision in civil and criminal courts is not a relevant consideration. The law envisages “such an eventuality when it expressly refrains from making the decision of one court binding on the other, or even relevant, except for limited purpose such as sentence or damages”.
    • **Note: Section 42 Evidence Act pertains to public right. Illustration also makes it clear. It is obvious that the Apex Court referred to it only to show that the earlier decision may be relevant – to show “motive or as a fact in issue” (under Section 43).
    • That is, where the prosecution case is that ‘the civil court decree made the accused increase enmity towards the victim’, the previous civil court decision may be relevant under “some other provision” stated in Section 43 (as “motive or as a fact in issue“).
  • Section 42 Evidence Act reads as under:
    • “42. Relevancy and effect of judgments, orders or decrees, other than those mentioned in section 41. Judgments, orders or decrees other than those mentioned in section 41, are relevant if they relate to matters of a public nature relevant to the enquiry, but such judgments, orders or decrees are not conclusive proof of that which they state.
    • Illustration:
    • A sues B for trespass on his land. B alleges the existence of a public right of way over the land, which A denies.
    • The existence of a decree in favour of the defendant, in a suit by A against C for a trespass on the same land in which C alleged the existence of the same right of way, is relevant, but it is not conclusive proof that the right of way exists.”

Case to be determined on Evidence, not on Previous Judgment

In Seth Ramdayal Jat v. Laxmi Prasad, AIR 2009 SC 2463, 2009 (11) SCC 545, it is pointed out that the observation in Shanti Kumar Panda v. Shakuntala Devi [(2004) 1 SCC 438] that a judgment of a civil court shall be binding on the criminal court (but the converse is not true) may not be entirely correct being in conflict with a Three-Judge Bench decision of the Apex Court in K.G. Premshanker vs. Inspector of Police and anr. [(2002) 8 SCC 87]. It is observed in Seth Ramdayal Jat v. Laxmi Prasad as under:

  • “Mr. Sharma also relies upon a decision of this Court in Shanti Kumar Panda v. Shakuntala Devi [(2004) 1 SCC 438] to contend that a judgment of a civil court shall be binding on the criminal court but the converse is not true. Therein it was held:
    • “(3) A decision by a criminal court does not bind the civil court while a decision by the civil court binds the criminal court. An order passed by the Executive Magistrate in proceedings under Sections 145/146 of the Code is an order by a criminal court and that too based on a summary enquiry. The order is entitled to respect and wait before the competent court at the interlocutory stage. At the stage of final adjudication of rights, which would be on the evidence adduced before the court, the order of the Magistrate is only one out of several pieces of evidence.”
  • With respect, the ratio laid down therein may not be entirely correct being in conflict with a Three-Judge Bench decision of this Court in K.G. Premshanker vs. Inspector of Police and anr. [(2002) 8 SCC 87].”

A judgment in rem (Section 43is conclusive in criminal and civil proceedings

In Syed Askari Hadi Ali Augustine Imam v. State (Delhi Admn.), 2009- 5 SCC 528, it is held as under:

  • “Rendition of a final judgment which would be binding on the whole world being conclusive in nature shall take a long time. As and when a judgment is rendered in one proceeding subject to the admissibility thereof keeping in view Section 43 of the Evidence Act may be produced in another proceeding. It is, however, beyond any cavil that a judgment rendered by a probate court is a judgment in rem. It is binding on all courts and authorities. Being a judgment in rem it will have effect over other judgments. A judgment in rem indisputably is conclusive in a criminal as well as in a civil proceeding.” (Surinder Kumar v. Gian Chand, AIR 1957 SC 875, is relied on)

Civil or Criminal proceedings be stayed – Depends upon each case

In M.S. Sheriff v. State of Madras, AIR 1954 SC 397, the Constitution Bench considered whether a civil suit or a criminal case should be stayed in the event both are pending; and it was opined that the criminal matter should be given precedence.

 In P. Swaroopa Rani v. M. Hari Narayana @ Hari Babu, AIR 2008 SC 1884, it was held as under:

  • “13. It is, however, well-settled that in a given case, civil proceedings and criminal proceedings can proceed simultaneously. Whether civil proceedings or criminal proceedings shall be stayed depends upon the fact and circumstances of each case.” (Quoted in: Syed Askari Hadi Ali Augustine Imam v. State (Delhi Admn.), 2009- 5 SCC 528)

A Dissonant Note

The Kerala High Court, in Mathew Kunju Mathew v. K.V. Kuriakose, ILR 2024-1 (Ker) 721; 2024-1 KLT 588, proceeded to answer the following question in the affirmative.

  • “12. Here the interesting question is whether a criminal court is bound by the decree and judgment passed by a competent civil court taking shelter under Sections 11 and 43 of the Indian Evidence Act.”

In Mathew Kunju Mathew v.  K. V.  Kuriakose, High Court said –

  • ‘If the criminal case and the civil proceeding are for the same cause, judgment of the Civil Court would be relevant, if conditions stipulated in S.40 to 43 are satisfied.’

Inaccurate Reading of K.G. Premshanker by the Kerala High Court

K.G. Premshanker v. Inspector of Police, (2002) 8 SCC 87, is interpreted in (i) Mohandas  v. P Abdul Azeez, 2011 (3) KHC 41: 2011 (3) KLJ 142, and (ii) Mathew Kunju Mathew v.  K. V.  Kuriakose, ILR 2024-1 (Ker) 721; 2024-1 KLT 588, giving emphasis to the following observation in K.G. Premshanker v. Inspector of Police –

  • “Further, the judgment, order or decree passed in a previous civil proceeding, if relevant, as provided under Sections 40 and 42 or other provisions of the Evidence Act then in each case, Court has to decide to what extent it is binding or conclusive with regard to the matter(s) decided therein.
  • In other words, the Court laid down that the issue will depend upon facts of each case.”

In Mohandas  v. P Abdul Azeez (quoted and followed in Mathew Kunju Mathew v.  K. V.  Kuriakose) it is stated as under:

  • “It is trite that if the criminal case and the civil proceeding are for the same cause, judgment of the Civil Court would be relevant, if conditions stipulated in S.40 to 43 are satisfied. It has been so held by a three Judge Bench of the Apex Court in Prem Sankar v. I.G. of Police, 2002 KHC 792 : 2002 (3) KLT 389 (SC) : ILR 2003 (1) Ker. 153 : AIR 2002 SC 3372 : 2002 (8) SCC 87 : 2002 CriLJ 4343.”

Technically, the observation may be accurate; however, within the context in which it is employed (to determine whether civil court decision binds criminal case), it becomes unsuitable. These decisions seem to be in direct conflict with the principles laid down in –

  • the Five Judge Bench decision in Iqbal Singh Marwah v. Meenakshi Marwah (G.P. Mathur, J.), 2005-4 SCC 370
  • the Three Judge Bench decision in K.G. Premshanker v. Inspector of Police (2002) 8 SCC 87 (M.B. Shah, J.) and
  • Seth Ramdayal Jat v. Laxmi Prasad, AIR 2009 SC 2463, 2009 (11) SCC 545 (S.B. Sinha, J.).

Sections 11 and 13, Evidence Act

Sections 11 and 13 of the Evidence Act read as under:

  • “11. When facts not otherwise relevant become relevant :(1) if they are inconsistent with any fact in issue or relevant fact. (2) If by themselves or in connection with other facts they make the existence or non-existence of any fact in issue or relevant fact highly probable or improbable.”
  • 13. Facts relevant when right or custom is in question. Where the question is as to the existence of any right or custom, the following facts are relevant –
  • (a) Any transaction by which the right or custom, in question, was created, claimed, modified, recognised, asserted or denied, or which was inconsistent with its existence;
  • (b) Particular instances in which the right or custom was claimed, recognised or exercised, or in which its exercise was disputed, asserted or departed from.
  • Illustration
  • The question is whether A has a right to a fishery. A deed conferring the fishery on A’s ancestors, a mortgage of the fishery by A’s father, a subsequent grant of the fishery by A’s father, irreconcilable with the mortgage, particular instances in which A’s father exercised the right, or in which the exercise of right was stopped by A’s neighbours, are relevant facts.

Sections 41 – 43, Evidence Act

Section 40, Evidence Act reads as under:

  • “40. Previous judgments relevant to bar a second suit or trial. The existence of any judgment, order or decree which by law prevents any Courts from taking cognizance of a suit or holding a trial is a relevant fact when the question is whether such Court ought to take cognizance of such suit or to hold such trial.”

Section 41 reads thus:

  • “41. Relevancy of certain judgments in probate, etc., jurisdiction. A final judgment, order or decree of a competent Court, in the exercise of probate, matrimonial, admiralty or insolvency jurisdiction which confers upon or takes away from any person any legal character, or which declares any person to be entitled to any such character, or to be entitled to any specific thing, not as against any specified person but absolutely, is relevant when the existence of any such legal character, or the title of any such person to any such thing, is relevant.

Section 42 reads:

  • “42. Relevancy and effect of judgments, orders or decrees, other than those mentioned in section 41. Judgments, orders or decrees other than those mentioned in section 41, are relevant if they relate to matters of a public nature relevant to the enquiry, but such judgments, orders or decrees are not conclusive proof of that which they state.”
  • Illustration:
  • A sues B for trespass on his land. B alleges the existence of a public right of way over the land, which A denies.
  • The existence of a decree in favour of the defendant, in a suit by A against C for a trespass on the same land in which C alleged the existence of the same right of way, is relevant, but it is not conclusive proof that the right of way exists.

Section 43, Evidence Act reads as under:

  • 43. Judgments, etc., other than those mentioned in sections 40 to 42, when relevant. Judgments, orders or decrees, other than those mentioned in sections 40, 41 and 42, are irrelevant, unless the existence of such judgment, order or decree, is a fact in issue, or is relevant under some other provisions of this Act.
  • Illustrations
  • .(a) A and B separately sue C for a libel which reflects upon each of them. C in each case says, that the matter alleged to be libellous is true, and the circumstances are such that it is probably true in each case, or in neither. A obtains a decree against C for damages on the ground that C failed to make out his justification. The fact is irrelevant as between B and C.
  • (b) A prosecutes B for adultery with C, A’s wife. B denies that C is A’s wife, but the court convicts B of adultery. Afterwards, C is prosecuted for bigamy in marrying B during A’s lifetime. C says that she never was A’s wife. The judgment against B is irrelevant as against C.
  • (c) A prosecutes B for stealing a cow from him, B, is convicted. A afterwards sues C for the cow, which B had sold to him before his conviction. As between A and C, the judgment against B is irrelevant.
  • (d) A has obtained a decree for the possession of land against B, C, B’s son, murders A in consequence. The existence of the judgment is relevant, as showing motive for a crime. 1[(e) A is charged with theft and with having been previously convicted of theft. The previous conviction is relevant as a fact in issue.
  • (f) A is tried for the murder of B. The fact that B prosecuted A for libel and that A was convicted and sentenced is relevant under section 8 as showing the motive for the fact in issue because the existence of the earlier Judgment in the civil case showed that ‘motive’ under Section 8 from the latter crime; in (e), relevancy is accepted because it is a ‘fact in issue’ in the latter case; in (f) relevancy is accepted because the earlier judgment is evidence of motive under Section 8 in the latter case.

Conclusion

Section 43 of the Indian Evidence Act reflects the policy of law adopted by Indian courts. It mandates independent findings in civil and criminal proceedings even if they arise from the same subject matter—such as a cheque bouncing or forging a document.  Sections 40 to 43 guard against substituting the adjudication by the courts with the findings of a parallel civil or criminal proceeding.

PART II

What are “Relevant Under Some Other Provisions of this Act” in Sec. 43

Following provisions are pointed out frequently, in this regard –

  • Sec. 5 (Facts in issue);
  • Sec. 8 (which refers to motive, preparation and previous or subsequent conduct);
  • Sec. 11 (which says when facts not otherwise relevant become relevant);
  • Sec. 13 (when existence of right or custom is in question then any transaction or particular instances where the right or custom is claimed, recognized etc. become relevant),
  • Sec. 54 Explanation (2), when a previous conviction is relevant as evidence of bad character), etc.
  • Sec. 58 (Admitted Facts)

Disputes of Title, be adjudicated in Civil Procedure

In Smt. Janak Vohra v. DDA, 103-2003-DLT 789, it was held that in case of disputed questions of title, and mutation being asked for, it is appropriate that the disputes of title be adjudicated in appropriate civil procedure and no direction be issued to mutate the property in the name of a party. (Referred to in Syed Askari Hadi Ali Augustine Imam v. State (Delhi Admn.), 2009- 5 SCC 528)

Land Acquisition judgments, not inter partes, Relevant under S. 11 and 13

In The Land Acquisition Officer, City Improvement Trust Board v. H. Narayana, 1976 – 4 SCC 9; AIR 1976 SC 2403 our Apex Court approved the view that in land acquisition cases judgments, not inter partes, are relevant, under Sec. 11 and 13 Evidence Act, if such judgments relate to similarly situated properties and contain determinations of value on dates fairly proximate to the relevant date in a case.

Order directed rectification of Trust Deed Relevant under Sec. 11

In Commissioner of Income Tax, Kanpur v. Kamla Town Trust, 1996-7 SCC 349, it was held that the Order that directed rectification of Trust Deed would be relevant under Sec. 11 Evidence Act.

Judgment not inter partes admissible to find what lands involved

In State of Bihar v. Radha Krishna Singh, 1983-3 SCC 118, our Apex Court approved the view of the Calcutta High Court as under:

  • “129. In Gadadhar Chowdhury v. Sarat Chandra Chakravarty [AIR 1941 Cal 193 : (1940) 44 Cal WN 935 : 195 IC 412 : 72 Cal LJ 320] it was held that findings in judgments not inter partes are not admissible in evidence. In this connection a Division Bench of the Calcutta High Court observed as follows : ‘Though the recitals and findings in a judgment not inter partes are not admissible in evidence, such a judgment and decree are, in our opinion, admissible to prove the fact that a decree was made in a suit between certain parties and for finding out for what lands the suit had been decreed.’
  • 130. This, in our opinion, is the correct legal position regarding the admissibility of judgments not inter partes.” (Quoted in V. Kalyanaswamy v. L. Bakthavatsalam, 2020-9 SCALE. 367)

Criminal proceeding will have precedence over the Civil proceeding

In Syed Askari Hadi Ali Augustine Imam v. State (Delhi Admn.), 2009- 5 SCC 528, it is held as under:

  • “10. It is, however, now well settled that ordinarily a criminal proceeding will have primacy over the civil proceeding. Precedence to a criminal proceeding is given having regard to the fact that disposal of a civil proceeding ordinarily takes a long time and in the interest of justice the former should be disposed of as expeditiously as possible.” (relied on: M.S. Sheriff v. State of Madras, AIR 1954 SC 397.)

PART III

Binding Judicial Precedent and Res Judicata – a Couplet

Binding Judicial Precedent refers to a judicial rule or principle established in an earlier binding decision that must be followed in subsequent similar cases. It is distinct from Res Judicata.

  • Res Judicata applies to findings of both law and fact. It bars the same parties from re-litigating issues that have already been finally decided.
  • Binding Precedent pertains strictly to legal principles and technically binds courtsnot parties.

No ‘Binding Precedent’ if earlier decision was –

  • without taking into account the statutory provision or factual situation
  • wrong in law.

Ratio Decidendi is the Binding Precedent; Not  Findings on Facts or Issues

In Jagdish Prasad v. State of MP, 2004(4) MPLJ 537, it was held by the Supreme Court as under:

  • “Any observation made or relief given by a Court, out of sympathy, compassion, sentiments and not based on any discernible principle of law or de hors the merits of the case, cannot be a binding precedent. A judgment of a Court contains three parts :
  • (i) finding of facts;
  • (ii) statement of principle of law applicable to the legal problem raised on the facts, based on which the case is decided; and
  • (iii) decision which is based on the finding of fact, applicable principles of law, and in some cases, discretion and the need to mould the relief in a particular manner.
  • Out of the three parts, it is only the second part, that is ratio decidendi or statement of law applied and acted upon by the Court, that is a binding precedentNeither the findings on facts nor the ultimate decision, that is, the relief given or the manner adopted to dispose of the case, is a precedent.” (Quoted in: Satpura Narmada Kshetriya Gramin Bank, Chhindwara v. A. K.  Chaturvedi, 2012-1 JLJ 78; 2012-1 MPLJ 282)

In A-One Granites v. State of U.P. [(2001)3 SCC 537], the Supreme Court observed that where no consideration was given to the question, the decision cannot be said to be binding and precedents sub silentio and without arguments are of no moment. (Referred to in: Satpura Narmada Kshetriya Gramin Bank, Chhindwara v. A. K.  Chaturvedi, 2012-1 JLJ 78; 2012-1 MPLJ 282)

A deliberate judicial decision alone is Judicial Precedent

As regards binding precedent it is observed in Union of India v. Dhanwanti Devi, (1996) 6 SCC 44, as under:

  • “9…..It is not everything said by a Judge while giving judgment that constitutes a precedent. The only thing in a Judge’s decision binding a party is the principle upon which the case is decided and for this reason it is important to analyse a decision and isolate from it the ratio decidendi. According to the well-settled theory of precedents, every decision contains three basic postulates-
    • (i) findings of material facts, direct and inferential. An inferential finding of facts is the inference which the Judge draws from the direct, or perceptible facts;
    • (ii) statements of the principles of law applicable to the legal problems disclosed by the facts; and
    • (iii) judgment based on the combined effect of the above. A decision is only an authority for what it actually decides.
  • What is of the essence in a decision is its ratio and not every observation found therein nor what logically follows from the various observations made in the judgment. Every judgment must be read as applicable to the particular facts proved, or assumed to be proved, since the generality of the expressions which may be found there is not intended to be exposition of the whole law, but governed and qualified by the particular facts of the case in which such expressions are to be found. It would, therefore, be not profitable to extract a sentence here and there from the judgment and to build upon it because the essence of the decision is its ratio and not every observation found therein. The enunciation of the reason or principle on which a question before a court has been decided is alone binding as a precedent. The concrete decision alone is binding between the parties to it, but it is the abstract ratio decidendi, ascertained on a consideration of the judgment in relation to the subject-matter of the decision, which alone has the force of law and which, when it is clear what it was, is binding. It is only the principle laid down in the judgment that is binding law under Article 141 of the Constitution. A deliberate judicial decision arrived at after hearing an argument on a question which arises in the case or is put in issue may constitute a precedent, no matter for what reason, and the precedent by long recognition may mature into rule of stare decisis. It is the rule deductible from the application of law to the facts and circumstances of the case which constitutes its ratio decidendi. “

Res Judicata Binds Parties; Ratio Decidendi (as Binding Precedent) Binds Courts

In The Modern English Legal System (4th Edition) by Smith, Bailey and Gunn (Sweet & Maxwell, 2002), pages 518-519, says as under:

  • “…. Thus the Court’s order is binding on the parties under the res judicata doctrine; the ratio decidendi is binding on other Courts in accordance with the principles outlined above under the doctrine of binding precedent. A startling illustration of the distinction was provided by the following series of cases. A testator, John Arkle Waring, left annuities to Mr. Howard and Mrs. Louie Burton-Butler ‘free of income tax’. In 1942 the Court of Appeal in Re warning, Westminster Bank Ltd. v. Awdry : (1942) Ch. 426 on an appeal in which Howard was a party, held that income tax had to be deducted. Louie was not a party as she was in an enemy occupied country. Leave to appeal to the House of Lords was refused. Four years later the House of Lords in Berke¬ley v. Berkeley : (1946) A.C. 555 overruled the Awdry case. Subsequently, Jenkins J. held that the Awdry case was res judica¬ta so far as Howard was concerned notwithstanding that its ratio had been overruled in Berkeley v. Berkeley and that Louie’s annuity would be dealt with in accordance with the later case. (See Re Warning, Westminster Bank v. Burton-Butler : (1948) Ch. 221).”
  • (Quoted in: Kalinga Mining Corporation v. Union of India (AK Ganguly, CJ, then) 2007-104 CLT 737, Ori)

Spencer Bower, Turner and Handley’s Commentary on the Doctrine of res judicata (Butterworths: London, Edinburgh, Dublin – 1996, pages 8 and 9), explains the concept of res judicata as under:

  • “There is an essential difference between res judicata, estoppel and the doctrine of judicial precedent. Under the former a final decision in fact or law by any Court having jurisdiction precludes either party (except on appeal) from again raising the same issue against the other in any Court. The doctrine of judicial precedent, on the other hand, is not concerned with issues between parties. …
  • The difference is illustrated by the cases of Re Waring decided in 1942 and 1948. In the first Farwell J held that Section 25 of the Finance Act 1941 was not applicable (1942) Ch. 309 to an annuity; but the Court of Appeal reversed this decision. (1942) Ch. 426. The effect was two-fold; it decided as res judicata between the parties that Section 25 applied, and it bound Courts up to the Court of Appeal in other cases. In Berkeley v. Bekeley (1946) AC 555, the House of Lords overruled Re Waring. In 1948 the trustees sought a decision as between themselves and the annuitant who had not been joined in the first proceedings. (1948) Ch. 221. The other annuitant remained bound by the earlier decision, but the result (see Duke of Bedford v. Elliz : (1901) AC 1 at 8), was otherwise governed by Berkeley v. Berkeley: Gisborne Sheepfarmers’ Mercantile Co. Ltd. v. IRC : (1962) NZLR 810 at 814.” (Quoted in: Kalinga Mining Corporation v. Union of India (AK Ganguly, CJ, then) 2007-104 CLT 737, Ori)

In State of M.P. v. Mulam Chandi, AIR 1973 MP293, it has been held as under:

  • “As between a decision which operates a s res judicata and a decision which is binding as a precedent but not res judicata, the former must prevail.”

Interpretation of a Document can Be A Binding Judicial Precedent

In Sahu Madho Dass v. Mukand Ram, 1955 AIR SC 481, it was observed out as under:

  • “Mukand Ram was not a party to that litigation and the decision does not bind him but it operates as a judicial precedent about the construction of that document, a precedent with which we respectfully agree.” (Referred to in: Syed Hafiz Mir v. Abdul Nayeemkhan, AIR 1960  MP 50; Potluri Saraswathi v. Vallabhaneni Veerabhadra Rao, 2004-7 ALT 120; Harabati v. Jasodhara Debi, AIR 1977  Ori  143; Ramachandra Bhat v. Srideviamma, AIR 1976 Kar 217; Katragadda China Anjaneyulu v. Kattragadda China Ramayya, 1965  AIR AP 177)

In R. V. Bhupal Prasad v. Saleha Begum, 2002 Supp2 ALD 735; 2001-5 ALT 770, it is pointed out that in Anjaneyulu v. Ramaiah, 1965-1 ALT 149, a Full Bench of the Andhra High Court held that interpretation of a material document in a prior proceeding between the same parties even if does not operate as res judicata would be a binding judicial precedent in a subsequent proceeding between the parties based on that document.

Even an erroneous decision operates as Res Judicata

In Bindeswari v. Bageshwari, AIR 1936 PC 46, it was held as under:

  • “Where the decision of the Court in a previous suit determined that the section had never applied to a transaction, a Court in a new suit between the same parties with regard to the same transaction cannot try a new the issue as to its applicability in face of the express prohibition in Section 11 of the Code. “

In Mohanlal Goenka v. Benoy Kishna, AIR 1953 SC 65 it was laid down  as under:

  • “(23) There is ample authority for the proposition that even an erroneous decision on a question of law operates as res judicata between the parties to it. The correctness or otherwise of a judicial decision has no bearing upon the question whether or not it operates as res judicata. A decision in the previous execution case between the parties that the matter was not within the competence of the executing court even though erroneous is binding on the parties; see Abhoy Kanta Gohain v. Gopinath Deb Goswami AIR 1943 Cal. 460.”

No Binding Precedent if relevant statutory provision was Not considered

In Union of India v. Maniklal Banerjee, AIR 2006 SC 2844, the Apex Court has held as under:

  • “It is now well-settled that if a decision has been rendered without taking into account the statutory provision, the same cannot be considered to be a binding precedent. This Court, in Pritam Singh, while exercising its discretionary jurisdiction, might have refused to interfere with the decision. The same, therefore, did not constitute any binding precedent.” (Referred to in: Hameeda Begum v. Champa Bai Jain (Arun Misra, J.), ILR 2009 MP 2328; 2009-3 MPLJ 472)

Arun Misra, J., referred to the House of Lords’ decision in Hameeda Begum v. Champa Bai Jain, ILR 2009 MP 2328; 2009-3 MPLJ 472, and said as under:

  • “(35) Another decision relied upon is rendered by the House of Lords in Watt vs. Ahsan (2007) UKHL 51. In the aforesaid case, question arose on Section 12 of the Race Relations Act, 1976. The submission was made that they were party and that All vs. Mcdonagh (2002) ICR 1026 was wrongly decided. In any case, the interpretation given to Section 12 by the EAT in Sawyer v. Ahsan (2000) ICR 1 is res judicata between him and the Labour Party, not only for the purposes of his first complaint but for the other two as well. It was opined that the EAT was wrong in Sawyer vs. Ahsan (2000) ICR 1 to hold that the Labour Party was a qualifying body, but there was no appeal against the decision of EAT , it was held that decision was binding upon the parties though wrong in law. When the Tribunal was-having the jurisdiction to decide the question, it is binding upon the parties though erroneous.
  • There is no dispute with the aforesaid proposition, but here we are concerned with the fresh cause of action on which suit is based and previously relevant statutory provision of Section 111 (d) of TP Act was not taken into consideration, question of determination of tenancy was also not decided.”

Modern English Practice

In Kesavananda Bharati v. State of Kerala, (1973) 4 SCC 225, it is pointed out as under:

  • “47. Though English Courts in the past accepted the Blackstonian theory and though the House of Lords strictly adhered to the doctrine of ‘precedent’ in the earlier years, both the doctrines were practically given up by the “Practice Statement (Judicial Precedent)” issued by the House of Lords, recorded in (1966) 1 WLR 1234. Lord Gardiner L.C., speaking for the House of Lords made the following observations;
  • “Their Lordships nevertheless recognise that too rigid adherence to precedent may lead to injustice in a particular case and also unduly restrict the proper development of the law. They propose, therefore, to modify their present practice and, while treating former decisions of this House as normally binding, to depart from a previous decision when it appears right to do so.”

Article 141 in Constitution of India 141

Article 141 mandates the courts in India to follow the law declared by the Apex Court. It reads as under:

  • Law declared by Supreme Court to be binding on all courts: The law declared by the Supreme Court shall be binding on all courts within the territory of India.”

The enacted laws do not speak about binding judicial precedents. But, the common law expounds the principles thereon, following the principles adopted by English Courts. By virtue of this convention, the principle of law applied in an earlier case is followed in subsequent cases, and the decision of a larger bench is honoured by the smaller bench.

Article 141 declares that the law laid down by the Supreme Court of India will be a ‘Source of Law’.

Larger Bench Decision is Binding on Bench of lesser strength

It is observed in Mary Pushpam v. Telvi Curusumary, AIR 2024 (SC) 714; 2024-3 SCC 224 (Vikram Nath, Rajesh Bindal, JJ.) as under:

  • “1. The rule of ‘Judicial Discipline and Propriety’ and the Doctrine of precedents has a merit of promoting certainty and consistency in judicial decisions providing assurance to individuals as to the consequences of their actions. The Constitution benches of this court have time and again reiterated the rules emerging from judicial Discipline. Accordingly, when a decision of a coordinate Bench of same High court is brought to the notice of the bench, it is to be respected and is binding subject to right of the bench of such co-equal quorum to take a different view and refer the question to a larger bench. It is the only course of action open to a bench of co-equal strength, when faced with the previous decision taken by a bench with same strength.”

The Apex Court referred the following decisions –

  • Kunhayammed v. State of Kerala, (2000) 6 SCC 359
  • Central Board of Dawoodi Bohra Community v. State of Maharashtra, (2005) 2 SCC 673
  • State of Punjab , v. Devans Modern Breweries Ltd., (2004) 11 SCC 26

In Sita Soren v. Union of India, AIR 2024 SC 1701; 2024-5 SCC 629, it is pointed out as under:

  • “24. A decision delivered by a Bench of larger strength is binding on any subsequent Bench of lesser or coequal strength. A Bench of lesser strength cannot disagree with or dissent from the view of the law taken by the bench of larger strength. However, a bench of the same strength can question the correctness of a decision rendered by a co-ordinate bench. In such situations, the case is placed before a bench of larger strength. [Central Board of Dawoodi Bohra Community vs. State of Maharashtra, (2005) 2 SCC 673, Para 12]”

Minority Decision may a binding precedent (when no disagreement by majority)

In Property Owners Association v. State of Maharashtra, 2024 INSC 835; 2024 KLT(Online) 2648; 2024 8 Supreme 387; 2024 0 Supreme(SC) 990, it is pointed out (in the Majority View: DY Chandrachud, CJI, Hrishikesh Roy, J.B. Pardiwala, Manoj Misra, Rajesh Bindal, Satish Chandra Sharma, Augustine George Masih, JJ.- Minority, B.V. Nagarathna, Sudhanshu Dhulia, JJ.) as under:

  • “102. It must be noted, however, that there is a difference between whether an observation is a binding precedent and whether it is a position of law that may have persuasive value on subsequent benches. In the absence of disagreement by a majority of judges (either express or implied), nothing precludes subsequent benches of this Court from relying on observations made in a concurring opinion (on behalf of the minority of judges) which are not discussed by the other judges at all. It is assumed in such cases, that all judges on the bench have read the opinions of one another, and did not deem it necessary to either state their express disagreement with the opinion or lay down a different understanding of the proposition of law (implied disagreement).”

End Notes:

Sec. 11 Civil Procedure Code, 1908, reads as under:

  • Res Judicata -No Court shall try any suit or issue in which the matter directly and substantially in issue has been directly and substantially in issue in a former suit between the same parties, or between parties under whom they or any of them claim, litigating under the same title, in a Court competent to try such subsequent suit or the suit in which such issue has been subsequently raised, and has been heard and finally decided by such Court.
  • Explanation I– The expression “former suit” shall denote a suit which has been decided prior to the suit in question whether or not it was instituted prior thereto.
  • Explanation II.- For the purposes of this section, the competence of a Court shall be determined irrespective of any provisions as to a right of appeal from the decision of such Court.
  • Explanation III.- The matter above referred to must in the former suit have been alleged by one party and either denied or admitted, expressly or impliedly, by the other.
  • Explanation IV.- Any matter which might and ought to have been made ground of defence or attack in such former suit shall be deemed to have been a matter directly and substantially in issue in such suit.
  • Explanation V.- Any relief claimed in the plaint, which is not expressly granted by the decree, shall, for the purposes of this section, be deemed to have been refused.
  • Explanation VI– Where persons litigate bona fide in respect of public right or of a private right claimed in common for themselves and others, all persons interested in such right shall, for the purposes of this section, be deemed to claim under the persons so litigating.
  • Explanation VII.- The provisions of this section shall apply to a proceeding for the execution of a decree and reference in this section to any suit, issue or former suit shall be construed as references, respectively, to proceedings for the execution of the decree, question arising in such proceeding and a former proceeding for the execution of that decree.
  • Explanation VIII.-An issue heard and finally decided by a Court of limited jurisdiction, competent to decide such issue, shall operate as res judicata in as subsequent suit, notwithstanding that such Court of limited jurisdiction was not competent to try such subsequent suit or the suit in which such issue has been subsequently raised.

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Res Judicata and Judicial Precedent

Taken from: Res Judicata and Constructive Res Judicata

Saji Koduvath, Advocate, Kottayam.

Res Judicata When Attracted

Res Judicata applies when the ‘matter is decided’.

Core Ingredients:
•➧ The matter in issue has been an issue in a former suit.

Other Requirements
•➧ (i) Matter in issue directly and substantially same; Same Parties, (ii) Heard and finally decided, and (iii) Decision by a competent court.
•➧ Sufficient pleading should have been raised

Other Settled Positions
•➧ The issue should have been necessary to be decided; an incidental finding will not constitute res judicata.
•➧ No res judicata if the ultimate decision – suit was not maintainable.
•➧ No res judicata on adverse finding against whom the suit is ultimately decided.
•➧ Former decision was too perverse.  

Other Concluded Points
•➧ Findings on several grounds. In the appeal, only one ground was considered. Res judicata on that one ground alone.
•➧ Different causes of action, as in an injunction suit or in an eviction suit.

Precedents – only if they decide a question of law

              •➧ A Case is only an Authority for what it Actually Decides.
              •➧ Decision Applicable Only to Facts Cannot be a Binding Precedent.
              •➧ Binding Precedent Helps in Promoting Certainty and Consistency.
              •➧ A decision is available as a precedent only if it decides a question of law.
              •➧ An order made merely to dispose of the case cannot have the value or effect of a binding precedent.
              •➧ The precedential value is attached only to orders which are preceded by a detailed judgment.

Ratio Decidendi alone is Binding Precedent 

               •➧ Ratio decidendi alone is the Binding Precedent.
               •➧ Ratio decidendi is a statement of principles of law.
               •➧ Ratio decidendi is the vital element in the decision.
               •➧ Ratio decidendi literally means “reason for deciding”.
               •➧ Ratio decidendi is the essence, and not every observation.
               •➧Ratio decidendi is a declaration of law in a speaking order.
              •➧ Ratio decidendi is the Legal Principle Guiding the Decision.
               •➧ Ratio decidendi alone binds under Article 141 of the Constitution. 
              •➧ What is binding is discernible Ratio and the Principle, not the Conclusion.
             •➧ A case is only an authority for what it decides, and not for what logically follows from it.
              •➧ No Binding Precedent if a decision is without taking into account the statutory provision or if it is wrong in law.
              •➧ Ratio decidendi Is Binding Precedent: Mere Casual Expressions – Not of Much Avail

             •➧ It is important to read and analyse the Entire Judgment, and the ratio decidendi is to be isolated.
              •➧ Words in a Judgment are Not to be Interpreted as a Statute; Words in it are Not to be Taken Literally.
              •➧ The abstract ratio decidendi (ascertained on a consideration of the judgment)  alone has the force of law.
             •➧ For the Legal Principles Guiding the Decision constitute ‘Ratio Decidendi’, it is always necessary to see what the facts were.

Introduction.

  • ‘Res’, in Latin, means a thing or matter; and
  •  ‘Judicata’ means decided or judged.

Thus, Res Judicata applies when the ‘matter is decided’. It is based on the public policy of finality and conclusiveness of judicial decisions; that is, one should not be tried twice for the same cause or a matter that has been directly and substantially in issue in an earlier suit.

  • Sec. 11 of the Code of Civil Procedure, 1908, elucidates this principle.

Sec. 11, Civil Procedure Code, 1908, reads as under:

“Res Judicata No court shall try any suit or issue in which the matter directly and substantially in issue has been directly and substantially in issue in a former suit between the same parties, or between parties under whom they or any of them claim, litigating under the same title, in a Court competent to try such subsequent suit or the suit in which such issue has been subsequently raised, and has been heard and finally decided by such Court.” … (Explanations I to VIII)

Binding Judicial Precedent and Res Judicata – a Couplet

Binding Judicial Precedent refers to a judicial rule or principle established in an earlier binding decision that must be followed in subsequent similar cases.

  • Res Judicata applies to findings of both law and fact. It bars the same parties from re-litigating issues that have already been finally decided.
  • Binding Precedent pertains strictly to legal principles and technically binds courts, not parties.

No ‘Binding Precedent’ if earlier decision was –

  • without taking into account the statutory provision or factual situation
  • wrong in law.

Binding Precedent- In Nutshell

No Binding Precedent if relevant STATUTORY PROVISION was Not considered. [Union of India v. Maniklal Banerjee, AIR 2006 SC 2844] 

Where no consideration was given to the question, the decision cannot be said to be binding; and precedents SUB SILENTIO – Without Arguments – are of NO MOMENT. [A-One Granites v. State of U.P., 2001-3 SCC 537] 
 
A decision is available as a precedent only if it DECIDES a QUESTION OF LAW. [State of Punjab v. Surinder Kumar, AIR 1992 SC 1593: 1992-1 SCC 489]. Not facts. [Prakash Chandra Pathak v. State of Uttar Pradesh, AIR 1960 SC 195] 

RATIO DECIDENDI is Binding Precedent: Mere Casual Expressions – Not of Much Avail.[ Girnar Traders v. State of Maharashtra, (2007) 7 SCC 555; State of Maharashtra v. Bhakti Vedanta Book Trust, AIR 2013 SC 1667; 2013-4 SCC 676; Shrirampur Municipal Council v. Satyabhamabai Bhimaji Dawkher, AIR 2013 SC 3757; 2013 5 SCC 627; Arun Kumar Aggarwal v. State of Madhya Pradesh, AIR 2011 SC 3056; 2014-13 SCC 707). 

For Binding Precedent, finding must be ‘RATIO DECIDENDI (necessary to the decision), and  Not obiter dicta. [Allen in ‘Law in the Making’; Quoted in: Chandrapal Singh v. State of U. P. (All), 2023-11 ADJ 543; Chandrapal Singh v. State of U. P. (All), 2023-11 ADJ 543)]

Court’s order is binding on the parties under res judicata; the RATIO DECIDENDI is binding on other Courts as binding precedent. [The Modern English Legal System (4th Edition) by Smith, Bailey and Gunn (Sweet & Maxwell, 2002), pages 518-519] 
 
What is of the essence in a decision is its ratio and not every observation found therein. [State of Orissa v. Sudhansu Sekhar Misra, AIR 1968 SC 647; Union of India v. Dhanwanti Devi, 1996-6 SCC 44; Secunderabad Club v. CIT, 2023 SCC OnLine SC 1004, 2023-457 ITR 263 (SC) 

The doctrine of precedent mandates that an exposition of law must be followed and applied. [State of U.P. v. Ajay Kumar Sharma, 2016-15 SCC 289]. 

Res judicata bars raising the same issue. Judicial precedent is not concerned with issues between parties. (Spencer Bower, Turner and Handley’s Commentary on the Doctrine of Res Judicata (Butterworths: London, Edinburgh, Dublin – 1996, pages 8 and 9)

Res judicata pertains to the parties;  precedent refers to a binding declaration of law that applies to courts or authorities. [Indian Broadcasting and Digital Foundation v. Telecom Regulatory Authority of India, 01 Nov 2024, 2024 KER 80988]. 

A decision on the ‘construction of that document’ can operates as a judicial precedent against one though he was not a party to that litigation (Sahu Madho Dass v. Mukand Ram, 1955 AIR SC 481).

Ratio Decidendi is the Binding Precedent; Not  Findings on Facts or Issues

In Jagdish Prasad v. State of MP, 2004(4) MPLJ 537, it was held by the Supreme Court as under:

  • “Any observation made or relief given by a Court, out of sympathy, compassion, sentiments and not based on any discernible principle of law or de hors the merits of the case, cannot be a binding precedent. A judgment of a Court contains three parts :
  • (i) finding of facts;
  • (ii) statement of principle of law applicable to the legal problem raised on the facts, based on which the case is decided; and
  • (iii) decision which is based on the finding of fact, applicable principles of law, and in some cases, discretion and the need to mould the relief in a particular manner.
  • Out of the three parts, it is only the second part, that is ratio decidendi or statement of law applied and acted upon by the Court, that is a binding precedentNeither the findings on facts nor the ultimate decision, that is, the relief given or the manner adopted to dispose of the case, is a precedent.” (Quoted in: Satpura Narmada Kshetriya Gramin Bank, Chhindwara v. A. K.  Chaturvedi, 2012-1 JLJ 78; 2012-1 MPLJ 282)

In A-One Granites v. State of U.P. [(2001)3 SCC 537], the Supreme Court observed that where no consideration was given to the question, the decision cannot be said to be binding and precedents sub silentio and without arguments are of no moment. (Referred to in: Satpura Narmada Kshetriya Gramin Bank, Chhindwara v. A. K.  Chaturvedi, 2012-1 JLJ 78; 2012-1 MPLJ 282)

Ratio Decidendi Is Binding Precedent: Casual Words, Not of Much Avail

In Girnar Traders v. State of Maharashtra, AIR 2007 SC 3180; (2007) 7 SCC 555, pointing out – the “observations of the Court did not relate to any of the legal questions arising in the case and, accordingly, cannot be considered as part of the ratio decidendi”, it is laid down as under:

  • “Hence, in light of the aforementioned judicial pronouncements, which have well settled the proposition that only the ratio decidendi can act as the binding or authoritative precedent, it is clear that the reliance placed on mere general observations or casual expressions of the Court, is not of much avail to the respondents.”
  • (Quoted in: State of Maharashtra v. Bhakti Vedanta Book Trust, AIR 2013 SC 1667; 2013-4 SCC 676;
  • Shrirampur Municipal Council v. Satyabhamabai Bhimaji Dawkher, AIR 2013 SC 3757; 2013 5 SCC 627;
  • Arun Kumar Aggarwal v. State of Madhya Pradesh, AIR 2011 SC 3056; 2014-13 SCC 707)

Res Judicata Binds Parties; Ratio Decidendi (as Binding Precedent) Binds Courts

In The Modern English Legal System (4th Edition) by Smith, Bailey and Gunn (Sweet & Maxwell, 2002), pages 518-519, says as under:

  • “…. Thus the Court’s order is binding on the parties under the res judicata doctrine; the ratio decidendi is binding on other Courts in accordance with the principles outlined above under the doctrine of binding precedent. A startling illustration of the distinction was provided by the following series of cases. A testator, John Arkle Waring, left annuities to Mr. Howard and Mrs. Louie Burton-Butler ‘free of income tax’. In 1942 the Court of Appeal in Re warning, Westminster Bank Ltd. v. Awdry : (1942) Ch. 426 on an appeal in which Howard was a party, held that income tax had to be deducted. Louie was not a party as she was in an enemy occupied country. Leave to appeal to the House of Lords was refused. Four years later the House of Lords in Berke¬ley v. Berkeley : (1946) A.C. 555 overruled the Awdry case. Subsequently, Jenkins J. held that the Awdry case was res judica¬ta so far as Howard was concerned notwithstanding that its ratio had been overruled in Berkeley v. Berkeley and that Louie’s annuity would be dealt with in accordance with the later case. (See Re Warning, Westminster Bank v. Burton-Butler : (1948) Ch. 221).”
  • (Quoted in: Kalinga Mining Corporation v. Union of India (AK Ganguly, CJ, then) 2007-104 CLT 737, Ori)

Spencer Bower, Turner and Handley’s Commentary on the Doctrine of res judicata (Butterworths: London, Edinburgh, Dublin – 1996, pages 8 and 9), explains the concept of res judicata as under:

  • “There is an essential difference between res judicata estoppel and the doctrine of judicial precedent. Under the former a final decision in fact or law by any Court having jurisdiction precludes either party (except on appeal) from again raising the same issue against the other in any Court. The doctrine of judicial precedent, on the other hand, is not concerned with issues between parties. …
  • The difference is illustrated by the cases of Re Waring decided in 1942 and 1948. In the first Farwell J held that Section 25 of the Finance Act 1941 was not applicable (1942) Ch. 309 to an annuity; but the Court of Appeal reversed this decision. (1942) Ch. 426. The effect was two-fold; it decided as res judicata between the parties that Section 25 applied, and it bound Courts up to the Court of Appeal in other cases. In Berkeley v. Bekeley (1946) AC 555, the House of Lords overruled Re Waring. In 1948 the trustees sought a decision as between themselves and the annuitant who had not been joined in the first proceedings. (1948) Ch. 221. The other annuitant remained bound by the earlier decision, but the result (see Duke of Bedford v. Elliz : (1901) AC 1 at 8), was otherwise governed by Berkeley v. Berkeley: Gisborne Sheepfarmers’ Mercantile Co. Ltd. v. IRC : (1962) NZLR 810 at 814.” (Quoted in: Kalinga Mining Corporation v. Union of India (AK Ganguly, CJ, then) 2007-104 CLT 737, Ori)

In State of M.P. v. Mulam Chandi, AIR 1973 MP293, it has been held as under :

  • “As between a decision which operates a s res judicata and a decision which is binding as a precedent but not res judicata, the former must prevail.”

Interpretation of a Document can Be A Binding Judicial Precedent

In Sahu Madho Dass v. Mukand Ram, 1955 AIR SC 481, it was observed out as under:

  • “Mukand Ram was not a party to that litigation and the decision does not bind him but it operates as a judicial precedent about the construction of that document, a precedent with which we respectfully agree.” (Referred to in: Syed Hafiz Mir v. Abdul Nayeemkhan, AIR 1960  MP 50; Potluri Saraswathi v. Vallabhaneni Veerabhadra Rao, 2004-7 ALT 120; Harabati v. Jasodhara Debi, AIR 1977  Ori  143; Ramachandra Bhat v. Srideviamma, AIR 1976 Kar 217; Katragadda China Anjaneyulu v. Kattragadda China Ramayya, 1965  AIR AP 177)

In R. V. Bhupal Prasad v. Saleha Begum, 2002 Supp2 ALD 735; 2001-5 ALT 770, it is pointed out that in Anjaneyulu v. Ramaiah, 1965-1 ALT 149, a Full Bench of the Andhra High Court held that interpretation of a material document in a prior proceeding between the same parties even if does not operate as res judicata would be a binding judicial precedent in a subsequent proceeding between the parties based on that document.

Even an erroneous decision operates as Res Judicata

In Bindeswari v. Bageshwari, AIR 1936 PC 46, it was held as under:

  • “Where the decision of the Court in a previous suit determined that the section had never applied to a transaction, a Court in a new suit between the same parties with regard to the same transaction cannot try a new the issue as to its applicability in face of the express prohibition in Section 11 of the Code. “

In Mohanlal Goenka v. Benoy Kishna, AIR 1953 SC 65 it was laid down  as under:

  • “(23) There is ample authority for the proposition that even an erroneous decision on a question of law operates as res judicata between the parties to it. The correctness or otherwise of a judicial decision has no bearing upon the question whether or not it operates as res judicata. A decision in the previous execution case between the parties that the matter was not within the competence of the executing court even though erroneous is binding on the parties; see Abhoy Kanta Gohain v. Gopinath Deb Goswami AIR 1943 Cal. 460.”

No Binding Precedent if Relevant statutory provision was Not considered

A Full Bench of the Allahabad  HighmCourt, in  Indian Ceramic House, Langra-Ki-Chowki, Agra v. Sales Tax Officer, II Sector, Agra : 1970 SCC OnLine All 193, observed as under:

  • A Judgment is authoritative only as to that part of it which is considered to have been necessary to the decision of the case, and not that part which was not necessary to its decision. The first is called ‘ratio decidendi’. Which is binding as a precedent. The other called ‘obiter dicta’ cannot be treated as a binding precedent though the opinion so expressed is entitled to respect.” (Quoted in Chandrapal Singh v. State of U. P. (All), 2023-11 ADJ 543)

The Supreme Court in Jayant Verma v. Union of India, (2018) 4 SCC 743, quoted the dissenting judgement of A.P. Sen, J. in Dalbir Singh v. State of Punjab, (1979) 3 SCC 745, with approval :

  • “54. This question is answered by referring to authoritative works and judgments of this Court. In Precedent in English Law by Cross and Harris (4th edn.), ‘ratio decidendi’ is described as follows: “The ratio decidendi of a case is any rule of law expressly or impliedly treated by the judge as a necessary step in reaching his conclusion, having regard to the line of reasoning adopted by him, or a necessary part of his direction to the jury.”

Allen in ‘Law in the Making’ said as under:

  • “Any judgment of any Court is authoritative only as to that part of it, called the ‘ratio decidendi’, which is considered to have been necessary to the decision of the actual issue between the litigants. It is for the Court, of whatever degree, which is called upon to consider the precedent, to determine what the true ‘ratio decidendi’ was…………..Judicial opinions upon such matters, whether they be merely casual, or wholly gratuitous or (as is far more usual) of what may be called collateral relevance, are known as ‘obiter dicta or simply ‘dicta’, and it is extremely difficult to establish any standard of their relative weight.” (Quoted in : Chandrapal Singh v. State of U. P. (All), 2023-11 ADJ 543). (Quoted in : Chandrapal Singh v. State of U. P. (All), 2023-11 ADJ 543).

In State of Orissa v. Sudhansu Sekhar Misra, AIR 1968 SC 647, wherein after relying on British authorities it was held:

  • “13….A decision is only an authority for what it actually decides. What is of the essence in a decision is its ratio and not every observation found therein, nor what logically follows from the various observations made in it. On this topic, this is what Earl of Halsbury L.C. said in Quinn v. Leathem [[1901] AC 495]:
  • “Now before discussing the case of Allen v. Flood, [1898] AC 1 and what was decided therein, there are two observations of a general character which I wish to make, and one is to repeat what I have very often said before, that every judgment must be read as applicable to the particular facts proved, or assumed to be proved, since the generality of the expressions which may be found there are not intended to be expositions of the whole law, but governed and qualified by the particular facts of the case in which such expressions are to be found. The other is that a case is only an authority for what it actually decides. I entirely deny that it can be quoted for a proposition that may seem to follow logically from it. Such a mode of reasoning assumes that the law is necessarily a logical code, whereas every lawyer must acknowledge that the law is not always logical at all. It is not a profitable task to extract a sentence here and there from a judgment and to build upon it.”

The Supreme Court, in Krishena Kumar v. Union of India, 1990 (4) SCC 207, said as under::

  • “19. The doctrine of precedent, that is being bound by a previous decision, is limited to the decision itself and as to what is necessarily involved in it. It does not mean that this Court is bound by the various reasons given in support of it, especially when they contain “propositions wider than the case itself required”. This was what Lord Selborne said in Caledonian Railway Co. v. Walker’s Trustees [(1882) 7 App Cas 259 : 46 LT 826 (HL)] and Lord Halsbury in Quinn v. Leathem [1901 AC 495, 502 : 17 TLR 749 (HL)]. Sir Frederick Pollock has also said :
  • “Judicial authority belongs not to the exact words used in this or that judgment, nor even to all the reasons given, but only to the principles accepted and applied as necessary grounds of the decision.”

In Union of India v. Maniklal Banerjee, AIR 2006 SC 2844, the Apex Court has held as under:

  • “It is now well-settled that if a decision has been rendered without taking into account the statutory provision, the same cannot be considered to be a binding precedent. This Court, in Pritam Singh, while exercising its discretionary jurisdiction, might have refused to interfere with the decision. The same, therefore, did not constitute any binding precedent.” (Referred to in: Hameeda Begum v. Champa Bai Jain (Arun Misra, J.), ILR 2009 MP 2328; 2009-3 MPLJ 472)

Arun Misra, J., referred to the House of Lords’ decision in Hameeda Begum v. Champa Bai Jain, ILR 2009 MP 2328; 2009-3 MPLJ 472, and said as under:

  • “(35) Another decision relied upon is rendered by the House of Lords in Watt vs. Ahsan (2007) UKHL 51. In the aforesaid case, question arose on Section 12 of the Race Relations Act, 1976. The submission was made that they were party and that All vs. Mcdonagh (2002) ICR 1026 was wrongly decided. In any case, the interpretation given to Section 12 by the EAT in Sawyer v. Ahsan (2000) ICR 1 is res judicata between him and the Labour Party, not only for the purposes of his first complaint but for the other two as well. It was opined that the EAT was wrong in Sawyer vs. Ahsan (2000) ICR 1 to hold that the Labour Party was a qualifying body, but there was no appeal against the decision of EAT , it was held that decision was binding upon the parties though wrong in law. When the Tribunal was-having the jurisdiction to decide the question, it is binding upon the parties though erroneous.
  • There is no dispute with the aforesaid proposition, but here we are concerned with the fresh cause of action on which suit is based and previously relevant statutory provision of Section 111 (d) of TP Act was not taken into consideration, question of determination of tenancy was also not decided.”

If only finding is “Necessary”, then only it is “Directly and Substantially” in issue

In Sajjadanashin Sayed v. Musa Dadabhai Ummer, (2000) 3 SCC 350 the Supreme Court held that to attract res judicata on an earlier finding, the matter must have been directly and substantially in issue and that the finding on an issue came “collaterally or incidentally” would not ordinarily be res judicata. It was pointed out that if only the issue was “necessary” to be decided for adjudicating on the principal issue and had actually been decided, then only it would have to be treated as “directly and substantially” in issue; and that it is also necessary that the judgment was in fact based upon that decision. Referring to Sajjadanashin Sayed, it is observed in Nand Ram v. Jagdish Prasad: AIR  2020 SC 1884 that a material test to be applied is whether the court considered the adjudication of the issue material and essential for its decision.

  • (Sajjadanashin Sayed v. Musa Dadabhai Ummer, (2000) 3 SCC 350, is quoted and followed in: M.S. Ananthamurthy v. J. Manjula (Neutral Citation: 2025 INSC 273)

Referring Sajjadanashin Sayed it is observed in Union of India Vs. Vijay Krishna Uniyal, 2017-12 SCALE 704, that one has to examine the plaint, the written statement, the issues and the judgment to find out if the matter was directly and substantially in issue.

A deliberate decision after hearing on a question constitute a precedent

A three Judge Bench of our Apex Court, in Union of India v. Dhanawanti Devi, (1996) 6 SCC 44. held as under:

  • “9. It is not everything said by a Judge while giving judgment that constitutes a precedent. The only thing in a judge’s decision binding a party is the principle upon which the case is decided and for this reason it is important to analyse a decision and isolate from it the ratio decidendi. According to the well-settled theory of precedents, every decision contains three basic postulates
  • (i) findings of material facts, direct and inferential. An inferential finding of facts is the inference which the Judge draws from the direct, or perceptible facts;
  • (ii) statements of the principles of law applicable to the legal problems disclosed by the facts; and
  • (iii) judgment based on the combined effect of the above.
  • A decision is only an authority for what it actually decides. What is of the essence in a decision is its ratio and not every observation found therein nor what logically follows from the various observations made in the judgment. Every judgment must be read as applicable to the particular facts proved, or assumed to be proved, since the generality of the expressions which may be found there is not intended to be exposition of the whole law, but governed and qualified by the particular facts of the case in which such expressions are to be found. It would, therefore, be not profitable to extract a sentence here and there from the judgment and to build upon it because the essence of the decision is its ratio and not every observation found therein. The enunciation of the reason or principle on which a question before a court has been decided is alone binding as a precedent. The concrete decision alone is binding between the parties to it, but it is the abstract ratio decidendi, ascertained on a consideration of the judgment in relation to the subject matter of the decision, which alone has the force of law and which, when it is clear what it was, is binding. It is only the principle laid down in the judgment that is binding law under Article 141 of the Constitution. A deliberate judicial decision arrived at after hearing an argument on a question which arises in the case or is put in issue may constitute a precedent, no matter for what reason, and the precedent by long recognition may mature into rule of stare decisis. It is the rule deductible from the application of law to the facts and circumstances of the case which constitutes its ratio decidendi.
  • 10. Therefore, in order to understand and appreciate the binding force of a decision it is always necessary to see what were the facts in the case in which the decision was given and what was the point which had to be decided. No judgment can be read as if it is a statute. A word or a clause or a sentence in the judgment cannot be regarded as a full exposition of law. Law cannot afford to be static and therefore, Judges are to employ an intelligent technique in the use of precedents……” (Quoted in: Vishal N.  Kalsaria v. Bank of India, 2016-3 SCC 762)

Constructive Res-Judicata: For Not Making Whole Pleadings

Explanation IV of Sec. 11 CPC brings-forth the bar on ‘constructive res judicata’. It sounds that the parties to the litigation should bring their whole case before the court in a candid manner. To attract the contention as to bar on constructive res judicata it must be shown that the particular matter in issue or ground must have been a matter which ‘might and ought’ to have raised as a  point in the former suit.

The majority view authored by Justice Untwalia in a full bench decision in Baijnath Prasad Sah vs. Ramphal Sahni (AIR 1962 Pat 72) examined the scope of ‘might and ought’ in the Explanation IV of Sec. 11 CPC and explained as under:

  • “If a party takes an objection at a certain stage of a proceeding and does not make another objection which it might and ought to have taken at the same stage, it must be deemed the Court has adjudicated upon the other objection also and has held against it. This principle of constructive res judicata has been extended further. If a party has knowledge of a proceeding, and having had an opportunity when it might and ought to have raised an objection, it does not do so, it cannot be allowed to raise that objection subsequently, if the Court passes an order which it could not have passed in case that objection had succeeded, on the ground that it must be deemed to have been raised by the party and decided against it. Though a transaction is void if a certain provision of law applies, it is for the court to decide whether that provision is applicable. Once a competent court has given a decision, holding expressly or by implication, that provision of law is inapplicable and the transaction is not void, that decision operates as res judicata between the parties. So also if an order of the court is deemed to have decided the question, the order is binding upon the parties.” Quoted in: Bhanu Shankar Raikwar Vs. Vijay Shankar Raikwar: 2018-3 MPLJ 569

From the above, it is clear that constructive res judicata is invited in the following two situations:

  • Out of wilful act: If a party takes a particular objection on a specific matter or allegation at a certain stage of a proceeding and does not make another objection which it might and ought to have taken at that stage.
  • Out of tacit or implicit act: If a party has (i) knowledge of a proceeding, and (ii) having had an opportunity to raise a particular objection, omits to do so; that is, tacitly or implicitly omits when it might and ought to have done.

It is held in Shankara Co-op Housing Society Ltd. v. M. Prabhakar, AIR 2011 SC 2161; (2011) 5 SCC 607, as under:

  • “77. In the present case, it is admitted fact that when the contesting Respondents filed W.P. No. 1051 of 1966, the ground of non-compliance of statutory provision was very much available to them, but for the reasons best known to them, they did not raise it as one of the grounds while challenging the notification dated 11.12.1952 issued under the Evacuee Property Act. In the subsequent writ petition filed in the year 1990, initially, they had not questioned the legality of the notification, but raised it by filing an application, which is no doubt true, allowed by the High Court. In our view, the High Court was not justified in permitting the Petitioners therein to raise that ground and answer the same, since the same is hit by the principles analogous to constructive res judicata.”

No Res Judicata by Implied/ Incidental Finding

There should be a specific and express finding on a specific issue in the earlier suit, for invoking res judicata. Constructive res judicata is an exception to the general rule.  Explanation IV of S. 11, CPC, lays down that res judicata may be deemed ‘beyond findings’.

Though res judicata may arise on an implied finding, it does not dehors the proposition that pleadings are the decisive factor for res judicata. It is held in Nikunja Behari Das v. Jatindra Nath Kar, AIR 1956 Cal 613, as under :

  • “A decision by necessary implication is as much res judicata as an express decision. That this is so in the case where Explanation IV of S. 11, Civil Procedure Code, has to be considered, there can be no doubt, but even in other cases where a matter has been raised in the pleadings but there is no express decision but there is a decision by necessary implication, the Courts have always held that the principle of res judicata is applicable.” [Quoted in: Globe Publications Vs. Madan Gopal: AIR 1996 P&H 115]

Referring Greenhalgh v. Mallard (1576 ER 123) the Supreme Court explained in the State of UP v. Nawab Hussain (AIR 1969 SC 1256) that if a person is allowed to choose one cause of action from two or more causes of action from the same set of facts he would not be allowed to choose one at a time and to reserve the other for subsequent litigation. It amounts to abuse of process of the court.

In Forward Construction Co. v. Prabhat Mandal, Andheri (AIR 1986 SC 391) the Supreme Court observed the scope of Explanation IV to Section 11 of CPC as under:

  • “An adjudication is conclusive and final not only as to the actual matter determined but as to every other matter which the parties might and ought to have litigated and have had it decided as incidental to or essentially connected with the subject matter of the litigation and every matter coming within the legitimate purview of the original action both in respect of the matters of claim or defence. The principle underlying Explanation IV is that where the parties have had an opportunity of controverting a matter that should be taken to be the same thing as if the matter had been actually controverted and decided. It is true that where a matter has been constructively in issue it cannot be said to have been actually heard and decided. It could only be deemed to have been heard and decided.”

In Neelima Srivastava v. State of Uttar Pradesh, AIR 2021 SC 3884: (2021) 17 SCC 693, our Apex Court reiterated that it is not permissible for the parties to reopen the concluded judgments of the Court. The Court said as follows:

  • “30. It becomes absolutely clear from the above clarification that earlier decisions running counter to the principles settled in the decision of Umadevi (Secretary, State of Karnataka v. Umadevi, (2006) 4 SCC 1) will not be treated as precedents. It cannot mean that the judgment of a competent Court delivered prior to the decision in Umadevi (3) and which has attained finality and is binding inter se between the parties need not be implemented. Mere over-ruling of the principles, on which the earlier judgment was passed, by a subsequent judgment of higher forum will not have the effect of uprooting the final adjudication between the parties and set it at naught. There is a distinction between over-ruling a principle and reversal of the judgment. The judgment in question itself has to be assailed and got rid of in a manner known to or recognized by law. Mere over-ruling of the principles by a subsequent judgment will not dilute the binding effect of the decision on inter-parties.
  • 32. … It is a well settled principle of law that a Letters Patent Appeal which is in continuation of a Writ Petition cannot be filed collaterally to set aside the judgment of the same High Court rendered in an earlier round of litigation ignoring the principles of res-judicata and doctrine of finality.
  • 35. Thus, it is very well-settled that it is not permissible for the parties to reopen the concluded judgments of the court as the same may not only tantamount to an abuse of the process of the court but would have far-reaching adverse effect on the administration of justice.” (Quoted in: Reddy Enterprises, Vijayawada v. Appellate Authority & Additional Commissioner (ST) Vijayawada, 2024-5 ALD 452)

.Also read:  

             •➧ Ratio Decidendi (alone) Forms a Precedent; Not the Final Order or Conclusion.
             •➧ Relevancy of a Civil Case Judgment in Criminal Cases: Does a Civil Court Judgment Bind a Criminal Court?
             •➧ Prem Raj v.  Poonamma Menon (SC), April 2, 2024 – An Odd Decision on ‘Civil Court Judgment Does Not Bind Criminal Court’.
             •➧ Cheating and Breach of Contract: Distinction lies in Fraudulent Intention ‘at the time of Promise’.  No Criminal Case endures on a Dispute Essentially Civil in Nature.
             •➧ No Res judicata on Finding on Title in an Injunction Suit
             •➧ What are “Relevant Under Some Other Provisions of this Act” in Sec. 43?
             •➧ Judicial Precedent and Res Judicata – a Couplet
             •➧ Res Judicata and Constructive Res Judicata
             •➧ Alternative Pleadings on Title and Adverse Possession: Mutually Inconsistent or Mutually Destructive?

Res Judicata: The issue should have been necessary to be decided

In PMA Metripolitan v. Moran Mar Marthoma, AIR 1995 SC 2001, it is held as under:

  • “57. It is fairly settled that the finding on an issue in the earlier suit to operate as res judicate should not have been only directly and substantially in issue but it should have been necessary to be decided as well.”

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Asian Paints Limited v. Ram Babu, 2025 INSC 828 – ‘Victim’ Can File an Appeal in a Criminal Case

Saji Koduvath, Advocate, Kottayam.

Abstract

In criminal cases, the ‘victim’ (injured person) can file an Appeal against the acquittal of the accused, even though the victim is not the complainant.

Appeal by a Victim in a Criminal Case

Relevant provisions in the Criminal Procedure Code, 1973 relating to Appeals in Criminal Cases are the following:  

  • Section 2(wa). Definitionsvictim” –
  • Section 372. No appeal to lie unless otherwise provided
  • Note: Proviso to Sec. 372 says – ‘victim shall have a right to prefer an appeal’.
  • Section 374. Appeals from convictions
  • Section 378. Appeal in case of acquittal

Asian Paints Limited v. Ram Babu, on 14 July 2025

The recent decision of the Supreme Court of India, Asian Paints Limited v. Ram Babu, 2025 INSC 828 (Prashant Kumar Mishra, Ahsanuddin Amanullah, JJ.) considered the relevant provisions relating to appeals in Criminal cases and delivered a noticeable decision. It affirmed the following three earlier decisions:

  • Mallikarjun Kodagali v State of Karnataka, (2019) 2 SCC 752 (3-Judge Bench, by a majority),
  • Jagjeet Singh v Ashish Mishra alias Monu, (2022) 9 SCC 321,
  • Mahabir v State of Haryana, 2025 SCC OnLine SC 184.

Findings in Asian Paints Limited v. Ram Babu, 2025 INSC 828, in Nutshell

The Apex Court held in Asian Paints Limited v. Ram Babu, 2025 INSC 828, in a nutshell, that it is quite clear, based on the plain language of the law (Sec. 2(wa) read with proviso to 372 CrPC)–

  • a ‘victim’ would be entitled to file an appeal against any order acquitting the accused (or convicting for a lesser offence or imposing inadequate compensation).

Impugned View of the High Court (Set Aside by the Apex Court)

The impugned view of the High Court (set aside by the Apex Court) was that the ‘complainant’ who actually filed the written complaint alone can maintain an appeal as a ‘victim’, and that the ‘complainant’ in a case instituted upon a police report could file appeal only after seeking the leave of the High Court invoking the provisions of Section 378(3) of the CrPC.

The High Court had held as under:

  • ‘This is a case instituted upon a police report and only in cases instituted upon private complaint, leave to appeal under Section 378(4) of Cr.P.C. is maintainable. Therefore, leave to appeal against order of acquittal in appeal is also not maintainable in the instant case.’

Jagjeet Singh v Ashish Mishra alias Monu, (2022) 9 SCC 321

In Asian Paints Limited v. Ram Babu, 2025 INSC 828, the Supreme Court quoted and followed its earlier decision in Jagjeet Singh v Ashish Mishra alias Monu, (2022) 9 SCC 321. It reads as under:

  • ‘23. A “victim” within the meaning of CrPC cannot be asked to await the commencement of trial for asserting his/her right to participate in the proceedings. He/She has a legally vested right to he heard at every step post the occurrence of an offence. Such a “victim” has unbridled participatory rights from the stage of investigation till the culmination of the proceedings in an appeal or revision. We may hasten to clarify that “victim” and “complainant/informant” are two distinct connotations in criminal jurisprudence. It is not always necessary that the complainant/informant is also a “victim”, for even a stranger to the act of crime can be an “informant”, and similarly, a “victim” need not be the complainant or informant of a felony.’

Mallikarjun Kodagali v State of Karnataka, (2019) 2 SCC 752,

In Asian Paints Limited v. Ram Babu, 2025 INSC 828, the Supreme Court also followed Mallikarjun Kodagali v State of Karnataka, (2019) 2 SCC 752. It has been held by a 3-Judge Bench, by a majority of 2:1, that a victim, as defined in Section 2(wa) of the CrPC, would be entitled to file an appeal before the Court to which an appeal ordinarily lies against the order of conviction. It is held as under:

  • “73. In our opinion, the proviso to Section 372 CrPC must also be given a meaning that is realistic, liberal, progressive and beneficial to the victim of an offence. There is a historical reason for this, beginning with the Declaration of Basic Principles of Justice for Victims of Crime and Abuse of Power, adopted by the General Assembly of the United Nations in the 96th Plenary Session on 29-11-1985. The Declaration is sometimes referred to as the Magna Carta of the rights of victims. One of the significant declarations made was in relation to access to justice for the victim of an offence through the justice delivery mechanisms, both formal and informal. In the Declaration it was stated as follows:
  • “4. Victims should be treated with compassion and respect for their dignity. They are entitled to access to the mechanisms of justice and to prompt redress, as provided for by national legislation, for the harm that they have suffered.
  • 5. Judicial and administrative mechanisms should be established and strengthened where necessary to enable victims to obtain redress through formal or informal procedures that are expeditious, fair, inexpensive and accessible. Victims should be informed of their rights in seeking redress through such mechanisms.
  • 6.The responsiveness of judicial and administrative processes to the needs of victims should be facilitated by:
  • Informing victims of their role and the scope, timing and progress of the proceedings and of the disposition of their cases, especially where serious crimes are involved and where they have requested such information;
  • Allowing the views and concerns of victims to be presented and considered at appropriate stages of the proceedings where their personal interests are affected, without prejudice to the accused and consistent with the relevant national criminal justice system;
  • Providing proper assistance to victims throughout the legal process;
  • Taking measures to minimise inconvenience to victims, protect their privacy, when necessary, and ensure their safety, as well as that of their families and witnesses on their behalf, from intimidation and retaliation;
  • Avoiding unnecessary delay in the disposition of cases and the execution of orders or decrees granting awards to victims.
  • 7. Informal mechanisms for the resolution of disputes, including mediation, arbitration and customary justice or indigenous practices, should be utilised, where appropriate, to facilitate conciliation and redress for victims.”
  • 76. As far as the question of the grant of special leave is concerned, once again, we need not be overwhelmed by submissions made at the Bar. The language of the proviso to Section 372 CrPC is quite clear, particularly when it is contrasted with the language of Section 378(4) CrPC. The text of this provision is quite clear and it is confined to an order of acquittal passed in a case instituted upon a complaint. The word “complaint” has been defined in Section 2(d) CrPC and refers to any allegation made orally or in writing to a Magistrate. This has nothing to do with the lodging or the registration of an FIR, and therefore it is not at all necessary to consider the effect of a victim being the complainant as far as the proviso to Section 372 CrPC is concerned.”

Mahabir v State of Haryana, 2025 SCC OnLine SC 184

In Asian Paints Limited v. Ram Babu, 2025 INSC 828, the Supreme Court quoted the following from  Mahabir v State of Haryana, 2025 SCC OnLine SC 184, where it isobserved as under:

  • “53. Therefore, by the aforesaid provision a right has been created in favour of the victim, which was not existing earlier in the Code, i.e., that a victim shall have a right to prefer an appeal against any order passed by the court acquitting the accused or convicting for a lesser offence or imposing inadequate compensation. The plain reading of the statement of objects and reasons for introducing the proviso to Section 372 CrPC makes it clear that it wanted to confer certain rights on the victims. It has been noted therein that the victims are the worst sufferers in a crime, and they don’t have much role in the court proceedings. They need to be given certain “rights” and compensation, so that there is no distortion of the criminal justice system. This, by itself, is clear that the object of adding this proviso is to create a right in favour of the victim to prefer an appeal as a matter of right. It not only extends to challenge the order of acquittal, but such appeal can also be filed by the victim if the accused is convicted for a lessor offence or if the inadequate compensation has been imposed.
  • 54. Thus, it is clear as per the golden rule of interpretation, that the ‘proviso’ is a substantive enactment, and is not merely excepting something out of or qualifying what was excepting or goes before. Therefore, by adding the ‘proviso’ in Section 372 of CrPC by this amendment, a right has been created in favour of the victim.”

Foot Note:

Appeal by a Victim in a Criminal Cases

Relevant provisions relating to Appeal in Criminal Cases are Sections 2(wa), 372, 374, and 378 of the CrPC.  

Section 2(wa):

  • ‘2. Definitions.— In this Code, unless the context otherwise requires,—
  • … (wa) “victim” means a person who has suffered any loss or injury caused by reason of the act or omission for which the accused person has been charged and the expression “victim” includes his or her guardian or legal heir …

Section 372. No appeal to lie unless otherwise provided

  • No appeal shall lie from any judgment or order of a Criminal Court except as provided for by this Code or by any other law for the time being in force:
  • Provided that the victim shall have a right to prefer an appeal against any order passed by the Court acquitting the accused or convicting for a lesser offence or imposing inadequate compensation, and such appeal shall lie to the Court to which an appeal ordinarily lies against the order of conviction of such Court.

Section 374. Appeals from convictions

  • (1) Any person convicted on a trial held by a High Court in its extraordinary original criminal jurisdiction may appeal to the Supreme Court.
  • (2) Any person convicted on a trial held by a Sessions Judge or an Additional Sessions Judge or on a trial held by any other Court in which a sentence of imprisonment for more than seven years has been passed against him or against any other person convicted at the same trial, may appeal to the High Court.
  • (3) Save as otherwise provided in sub-section (2), any person—
    • (a) convicted on a trial held by a Metropolitan Magistrate or Assistant Sessions Judge or Magistrate of the first class, or of the second class, or(b) sentenced under Section 325, or
    • (c) in respect of whom an order has been made or a sentence has been passed under Section 360 by any Magistrate, may appeal to the Court of Session.
  • (4) When an appeal has been filed against a sentence passed under Section 376, Section 376-A, Section 376-AB, Section 376-B, Section 376-C, Section 376-D, Section 376- DA, Section 376-DB or Section 376-E of the Indian Penal Code (45 of 1860), the appeal shall be disposed of within a period of six months from the date of filing of such appeal. xxx

Section 378. Appeal in case of acquittal

  • Save as otherwise provided in sub-section (2), and subject to the provisions of sub-sections (3) and (5),—
    • (a) the District Magistrate may, in any case, direct the Public Prosecutor to present an appeal to the Court of Session from an order of acquittal passed by a Magistrate in respect of a cognizable and non-bailable offence;
    • (b) the State Government may, in any case, direct the Public Prosecutor to present an appeal to the High Court from an original or appellate order of acquittal passed by any Court other than a High Court not being an order under clause (a)] or an order of acquittal passed by the Court of Session in revision.
  • (2) If such an order of acquittal is passed in any case in which the offence has been investigated by the Delhi Special Police Establishment constituted under the Delhi Special Police Establishment Act, 1946 (25 of 1946), or by any other agency empowered to make investigation into an offence under any Central Act other than this Code, the Central Government may, subject to the provisions of sub-section (3), also direct the Public Prosecutor to present an appeal—
    • (a) to the Court of Session, from an order of acquittal passed by a Magistrate in respect of a cognizable and non-bailable offence;
    • (b) to the High Court from an original or appellate order of an acquittal passed by any Court other than a High Court not being an order under clause (a) or an order of acquittal passed by the Court of Session in revision.
  • (3) No appeal to the High Court under sub-section (1) or sub-section (2) shall be entertained except with the leave of the High Court.
  • (4) If such an order of acquittal is passed in any case instituted upon complaint and the High Court, on an application made to it by the complainant in this behalf, grants special leave to appeal from the order of acquittal, the complainant may present such an appeal to the High Court.
  • (5) No application under sub-section (4) for the grant of special leave to appeal from an order of acquittal shall be entertained by the High Court after the expiry of six months, where the complainant is a public servant, and sixty days in every other case, computed from the date of that order of acquittal.
  • (6) If, in any case, the application under sub-section (4) for the grant of special leave to appeal from an order of acquittal is refused, no appeal from that order of acquittal shall lie under sub-section (1) or under sub-section (2).’

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When can (i) a ‘Victim’ File an Appeal in a Criminal Case and  (ii) an ‘Aggrieved Person’ File an Appeal in a Civil Case?

Saji Koduvath, Advocate, Kottayam.

Part I –Appeal by a Victim in a Criminal Case

Relevant provisions relating to appeals in Criminal Cases are Sections 2(wa), 372, 374, and 378 of the Criminal Procedure Code, 1973.  

Section 2(wa):

  • ‘2. Definitions.— In this Code, unless the context otherwise requires,—
  • … (wa) “victim” means a person who has suffered any loss or injury caused by reason of the act or omission for which the accused person has been charged and the expression “victim” includes his or her guardian or legal heir …

Section 372. No appeal to lie unless otherwise provided

  • No appeal shall lie from any judgment or order of a Criminal Court except as provided for by this Code or by any other law for the time being in force:
  • Provided that the victim shall have a right to prefer an appeal against any order passed by the Court acquitting the accused or convicting for a lesser offence or imposing inadequate compensation, and such appeal shall lie to the Court to which an appeal ordinarily lies against the order of conviction of such Court.

Section 374. Appeals from convictions

  • (1) Any person convicted on a trial held by a High Court in its extraordinary original criminal jurisdiction may appeal to the Supreme Court.
  • (2) Any person convicted on a trial held by a Sessions Judge or an Additional Sessions Judge or on a trial held by any other Court in which a sentence of imprisonment for more than seven years has been passed against him or against any other person convicted at the same trial, may appeal to the High Court.
  • (3) Save as otherwise provided in sub-section (2), any person—
    • (a) convicted on a trial held by a Metropolitan Magistrate or Assistant Sessions Judge or Magistrate of the first class, or of the second class, or(b) sentenced under Section 325, or
    • (c) in respect of whom an order has been made or a sentence has been passed under Section 360 by any Magistrate, may appeal to the Court of Session.
  • (4) When an appeal has been filed against a sentence passed under Section 376, Section 376-A, Section 376-AB, Section 376-B, Section 376-C, Section 376-D, Section 376- DA, Section 376-DB or Section 376-E of the Indian Penal Code (45 of 1860), the appeal shall be disposed of within a period of six months from the date of filing of such appeal. xxx

Section 378. Appeal in case of acquittal

  • Save as otherwise provided in sub-section (2), and subject to the provisions of sub-sections (3) and (5),—
    • (a) the District Magistrate may, in any case, direct the Public Prosecutor to present an appeal to the Court of Session from an order of acquittal passed by a Magistrate in respect of a cognizable and non-bailable offence;
    • (b) the State Government may, in any case, direct the Public Prosecutor to present an appeal to the High Court from an original or appellate order of acquittal passed by any Court other than a High Court not being an order under clause (a)] or an order of acquittal passed by the Court of Session in revision.
  • (2) If such an order of acquittal is passed in any case in which the offence has been investigated by the Delhi Special Police Establishment constituted under the Delhi Special Police Establishment Act, 1946 (25 of 1946), or by any other agency empowered to make investigation into an offence under any Central Act other than this Code, the Central Government may, subject to the provisions of sub-section (3), also direct the Public Prosecutor to present an appeal—
    • (a) to the Court of Session, from an order of acquittal passed by a Magistrate in respect of a cognizable and non-bailable offence;
    • (b) to the High Court from an original or appellate order of an acquittal passed by any Court other than a High Court not being an order under clause (a) or an order of acquittal passed by the Court of Session in revision.
  • (3) No appeal to the High Court under sub-section (1) or sub-section (2) shall be entertained except with the leave of the High Court.
  • (4) If such an order of acquittal is passed in any case instituted upon complaint and the High Court, on an application made to it by the complainant in this behalf, grants special leave to appeal from the order of acquittal, the complainant may present such an appeal to the High Court.
  • (5) No application under sub-section (4) for the grant of special leave to appeal from an order of acquittal shall be entertained by the High Court after the expiry of six months, where the complainant is a public servant, and sixty days in every other case, computed from the date of that order of acquittal.
  • (6) If, in any case, the application under sub-section (4) for the grant of special leave to appeal from an order of acquittal is refused, no appeal from that order of acquittal shall lie under sub-section (1) or under sub-section (2).’

Asian Paints Limited v. Ram Babu, on 14 July 2025

The recent decision of the Supreme Court of India, Asian Paints Limited v. Ram Babu, 2025 INSC 828 (Prashant Kumar Mishra, Ahsanuddin Amanullah, JJ.) considered the relevant provisions relating to appeals in Criminal cases and delivered a noticeable decision. It affirmed the following three earlier decisions:

  • Jagjeet Singh v Ashish Mishra alias Monu, (2022) 9 SCC 321,
  • Mallikarjun Kodagali v State of Karnataka, (2019) 2 SCC 752 (3-Judge Bench, by a majority),
  • Mahabir v State of Haryana, 2025 SCC OnLine SC 184.

Findings in Asian Paints Limited v. Ram Babu, 2025 INSC 828, in Nutshell

The Apex Court held in Asian Paints Limited v. Ram Babu, 2025 INSC 828, in a nutshell, that it is quite clear, based on the plain language of the law –

  • A victim, as defined in Section 2(wa) CrPC, would be entitled to file an appeal before the Court, to which an appeal ordinarily lies against any order acquitting the accused or convicting for a lesser offence or imposing inadequate compensation.

Impugned View of the High Court (Set Aside by the Apex Court)

The impugned view of the High Court (set aside by the Apex Court) was that the ‘complainant’ who actually filed the written complaint alone can maintain an appeal as a ‘victim’, and that the ‘complainant’ in a case instituted upon a police report could file appeal only after seeking the leave of the High Court invoking the provisions of Section 378(3) of the CrPC.

The High Court had held as under:

  • ‘This is a case instituted upon a police report and only in cases instituted upon private complaint, leave to appeal under Section 378(4) of Cr.P.C. is maintainable. Therefore, leave to appeal against order of acquittal in appeal is also not maintainable in the instant case.’

Jagjeet Singh v Ashish Mishra alias Monu, (2022) 9 SCC 321

In Asian Paints Limited v. Ram Babu, 2025 INSC 828, the Supreme Court quoted and followed its earlier decision in Jagjeet Singh v Ashish Mishra alias Monu, (2022) 9 SCC 321. It reads as under:

  • ‘23. A “victim” within the meaning of CrPC cannot be asked to await the commencement of trial for asserting his/her right to participate in the proceedings. He/She has a legally vested right to he heard at every step post the occurrence of an offence. Such a “victim” has unbridled participatory rights from the stage of investigation till the culmination of the proceedings in an appeal or revision. We may hasten to clarify that “victim” and “complainant/informant” are two distinct connotations in criminal jurisprudence. It is not always necessary that the complainant/informant is also a “victim”, for even a stranger to the act of crime can be an “informant”, and similarly, a “victim” need not be the complainant or informant of a felony.’

Mallikarjun Kodagali v State of Karnataka, (2019) 2 SCC 752,

In Asian Paints Limited v. Ram Babu, 2025 INSC 828, the Supreme Court also followed Mallikarjun Kodagali v State of Karnataka, (2019) 2 SCC 752. It has been held by a 3-Judge Bench, by a majority of 2:1, that a victim, as defined in Section 2(wa) of the CrPC, would be entitled to file an appeal before the Court to which an appeal ordinarily lies against the order of conviction. It is held as under:

  • “73. In our opinion, the proviso to Section 372 CrPC must also be given a meaning that is realistic, liberal, progressive and beneficial to the victim of an offence. There is a historical reason for this, beginning with the Declaration of Basic Principles of Justice for Victims of Crime and Abuse of Power, adopted by the General Assembly of the United Nations in the 96th Plenary Session on 29-11-1985. The Declaration is sometimes referred to as the Magna Carta of the rights of victims. One of the significant declarations made was in relation to access to justice for the victim of an offence through the justice delivery mechanisms, both formal and informal. In the Declaration it was stated as follows:
  • “4. Victims should be treated with compassion and respect for their dignity. They are entitled to access to the mechanisms of justice and to prompt redress, as provided for by national legislation, for the harm that they have suffered.
  • 5. Judicial and administrative mechanisms should be established and strengthened where necessary to enable victims to obtain redress through formal or informal procedures that are expeditious, fair, inexpensive and accessible. Victims should be informed of their rights in seeking redress through such mechanisms.
  • 6.The responsiveness of judicial and administrative processes to the needs of victims should be facilitated by:
  • Informing victims of their role and the scope, timing and progress of the proceedings and of the disposition of their cases, especially where serious crimes are involved and where they have requested such information;
  • Allowing the views and concerns of victims to be presented and considered at appropriate stages of the proceedings where their personal interests are affected, without prejudice to the accused and consistent with the relevant national criminal justice system;
  • Providing proper assistance to victims throughout the legal process;
  • Taking measures to minimise inconvenience to victims, protect their privacy, when necessary, and ensure their safety, as well as that of their families and witnesses on their behalf, from intimidation and retaliation;
  • Avoiding unnecessary delay in the disposition of cases and the execution of orders or decrees granting awards to victims.
  • 7. Informal mechanisms for the resolution of disputes, including mediation, arbitration and customary justice or indigenous practices, should be utilised, where appropriate, to facilitate conciliation and redress for victims.”
  • 76. As far as the question of the grant of special leave is concerned, once again, we need not be overwhelmed by submissions made at the Bar. The language of the proviso to Section 372 CrPC is quite clear, particularly when it is contrasted with the language of Section 378(4) CrPC. The text of this provision is quite clear and it is confined to an order of acquittal passed in a case instituted upon a complaint. The word “complaint” has been defined in Section 2(d) CrPC and refers to any allegation made orally or in writing to a Magistrate. This has nothing to do with the lodging or the registration of an FIR, and therefore it is not at all necessary to consider the effect of a victim being the complainant as far as the proviso to Section 372 CrPC is concerned.”

Mahabir v State of Haryana, 2025 SCC OnLine SC 184

In Asian Paints Limited v. Ram Babu, 2025 INSC 828, the Supreme Court quoted the following from  Mahabir v State of Haryana, 2025 SCC OnLine SC 184, where it is observed as under:

  • “53. Therefore, by the aforesaid provision a right has been created in favour of the victim, which was not existing earlier in the Code, i.e., that a victim shall have a right to prefer an appeal against any order passed by the court acquitting the accused or convicting for a lesser offence or imposing inadequate compensation. The plain reading of the statement of objects and reasons for introducing the proviso to Section 372 CrPC makes it clear that it wanted to confer certain rights on the victims. It has been noted therein that the victims are the worst sufferers in a crime, and they don’t have much role in the court proceedings. They need to be given certain “rights” and compensation, so that there is no distortion of the criminal justice system. This, by itself, is clear that the object of adding this proviso is to create a right in favour of the victim to prefer an appeal as a matter of right. It not only extends to challenge the order of acquittal, but such appeal can also be filed by the victim if the accused is convicted for a lessor offence or if the inadequate compensation has been imposed.
  • 54. Thus, it is clear as per the golden rule of interpretation, that the ‘proviso’ is a substantive enactment, and is not merely excepting something out of or qualifying what was excepting or goes before. Therefore, by adding the ‘proviso’ in Section 372 of CrPC by this amendment, a right has been created in favour of the victim.”

Part II –Appeal by Aggrieved-Person in Civil Cases

CPC: Provisions on Grant of Leave To Appeal

The following are the relevant provisions, as regards appeal, in the Civil Procedure Code

  • Section 96 – Appeal from original decree.
  • Section 97 – Appeal from final decree where no appeal from preliminary decree
  • Section 98 – Decision where appeal heard by two or more Judges
  • Section 99 – No decree to be reversed or modified for error or irregularity not affecting merits or jurisdiction
  • Section 99A – No order under section 47 to be refused or modified unless decision of the case is prejudicially affected
  • Section 100 – Second appeal
  • Section 100A – No further appeal in certain cases
  • Section 101 – Second appeal on no other grounds
  • Section 102 – No second appeal in certain suits
  • Section 103 – Power of High Court to determine issues of fact
  • Section 104 – Orders from which appeal lies
  • Section 105 – Other orders
  • Section 106 – What Courts to hear appeals
  • Section 107 – Powers of Appellate Court
  • Section 108 – Procedure in appeals from appellate decrees and orders
  • Section 109 – When appeals lie to the Supreme Court

Appeal From Any Original Decree And From Second Appeal

Sections 96 and 100 respectively of the Code of Civil Procedure, 1908 provide for preferring an appeal from any original decree or from a decree in appeal, respectively. They read as under:

Section 96 – Appeal from original decree:

  • (1) Save where otherwise expressly provided in the body of this Code or by any other law for the time being in force, an appeal shall lie from every decree passed by any Court exercising original jurisdiction the Court authorized to hear appeals from the decisions of such Court.
  • (2) An appeal may lie from an original decree passed ex parte.
  • (3) No appeal shall lie from a decree passed by the Court with the consent of parties.
  • (4) No appeal shall lie, except on a question of law, from a decree in any suit of the nature cognisable by Courts of Small Cause, when the amount or value of the subject-matter of the original suit does not exceed three thousand rupees.

Section 100 – Second appeal:

  • Save as otherwise expressly provided in the body of this Code or by any other law for the time being in force, an appeal shall lie to the High Court from every decree passed in appeal by any Court subordinate to the High Court, if the High Court is satisfied that the case involves a substantial question of law.
  • (1). An appeal may lie under this section from an appellate decree passed ex parte.
  • (2) In an appeal under this section, the memorandum of appeal shall precisely state the substantial question of law involved in the appeal.
  • (3) Where the High Court is satisfied that a substantial question of law is involved in any case, it shall formulate that question.
  • (4) The appeal shall be heard on the question so formulated and the respondent shall, at the hearing of the appeal, be allowed to argue that the case does not involve such question;
  • Provided that nothing in this sub-section shall be deemed to take away or abridge the power of the Court to hear, for reasons to be recorded, the appeal on any other substantial question of law, not formulated by it, if it is satisfied that the case involves such question.

H. Anjanappa v. A. Prabhakar, January 29, 2025
The Apex Court in H. Anjanappa v. A. Prabhakar, January 29, 2025 (J.B. Pardiwala,  R. Mahadevan, JJ.), pointed out that the aforesaid provisions do not enumerate the categories of persons who can file an appeal. The Court proceeded into the issue analysing the following two well-founded legal propositions –

  • stranger cannot be permitted to file an appeal in any proceedings unless he satisfies the court that he falls within the category of aggrieved persons.
  • It is only where a judgment and decree prejudicially affects a person who is not a party to the proceedings, he can prefer an appeal with the leave of the appellate court.

A Prejudicially Affected Person Can File Appeal

Supreme Court of India, in H. Anjanappa v. A. Prabhakar held  –

  • “Where a judgment and decree prejudicially affects a person who is not a party to the proceedings, he can prefer an appeal with the leave of the court”.

It is also pointed out that the injury complained of must not be “remote or indirect”.

The Apex Court pointed out two interesting propositions in this regard:

  • 1. The Applicant must be “bound by the decree or judgment in that proceeding and who would be precluded from attacking its correctness in other proceedings”.
  • 2. The applicant must be “a person who might properly have been a party”.

The Apex Court (H. Anjanappa v. A. Prabhakar) Concluded on ‘grant of leave to appeal’ in para 43 as under:

  • “43. The principles governing the grant of leave to appeal may be summarised as under:
  • i. Sections 96 and 100 of the CPC respectively provide for preferring an appeal from an original decree or decree in appeal respectively;
  •  ii. The said provisions do not enumerate the categories of persons who can file an appeal;
  • iii. However, it a settled legal proposition that a stranger cannot be permitted to file an appeal in any proceedings unless he satisfies the court that he falls within the category of an aggrieved person;
  • iv. It is only where a judgment and decree prejudicially affects a person who is not a party to the proceedings, he can prefer an appeal with the leave of the court;
  • v. A person aggrieved, to file an appeal, must be one whose right is affected by reason of the judgment and decree sought to be impugned;
  • vi. The expression “person aggrieved” does not include a person who suffers from a psychological or an imaginary injury;
  • vii. It would be improper to grant leave to appeal to every person who may in some remote or indirect way be prejudicially affected by a decree or judgment; and
  • viii. Ordinarily leave to appeal should be granted to persons who, though not parties to the proceedings, would be bound by the decree or judgment in that proceeding and who would be precluded from attacking its correctness in other proceedings.

No Definition of ‘Appeal

The  five-Judge Bench of the Privy Council in Nagendra Nath Dey v. Suresh Chandra Dey, AIR 1932 PC 165, speaking through Sir Dinshaw Mulla observed that there is no definition of appeal in the CPC, but there is no doubt that any application by a party to an appellate Court, asking it to set aside or revise a decision of a subordinate Court, is an appeal within the ordinary acceptation of the term, and that it is no less an appeal because it is irregular or incompetent.

Applicant must have been aggrieved by an order or causes him some prejudice

A person who is not a party to a litigation has no right to appeal merely because the judgment or order contains some adverse remarks against him

In Adi Pherozshah Gandhi v. H.M. Seervai, AIR 1971 SC 385, the Constitution Bench of the Apex Court held as under:

  • “46. Generally speaking, a person can be said to be aggrieved by an order which is to his detriment, pecuniary or otherwise or causes him some prejudice in some form or other. A person who is not a party to a litigation has no right to appeal merely because the judgment or order contains some adverse remarks against him. But it has been held in a number of cases that a person who is not a party to suit may prefer an appeal with the leave of the appellate court and such leave would not be refused where the judgment would be binding on him under Explanation 6 to section 11 of the Code of Civil Procedure.”

Leave Should Be Granted If Applicant Would Be Prejudicially Affected

In Smt. Jatan Kumar Golcha vs. Golcha Properties Private Limited, (1970) 3 SCC 573 it was held as under:

  • “It is well settled that a person who is not a party to the suit may prefer an appeal with the leave of the Appellate Court and such leave should be granted if he would be prejudicially affected by the Judgment.”

Applicant must Be bound by the order or is aggrieved or is prejudicially affected

In State of Punjab v. Amar Singh, (1974) 2 SCC 70, while dealing with the maintainability of appeal by a person who is not party to a suit, has observed thus:

  • “Firstly, there is a catena of authorities which, following the dictum of Lindley, L.J., in re Securities Insurance Co., [(1894) 2 Ch 410] have laid down the rule that a person who is not a party to a decree or order may with the leave of the Court, prefer an appeal from such decree or order if he is either bound by the order or is aggrieved by it or is prejudicially affected by it.”

Person Aggrieved Must Be One Whose Right Is Affected By The Judgment

In Baldev Singh v. Surinder Mohan Sharma, (2003) 1 SCC 34, it is held that an appeal under Section 96 of the CPC would be maintainable only at the instance of a person aggrieved by and dissatisfied with the judgment and decree. While dealing with the concept of person aggrieved, it was observed in paragraph 15 as under:

  • “A person aggrieved to file an appeal must be one whose right is affected by reason of the judgment and decree sought to be impugned.”

Consider Nature And Extent Of Injuries Suffered

In A. Subash Babu v. State of A.P., (2011) 7 SCC 616, it is held as under:

  • “The expression ‘aggrieved person’ denotes an elastic and an elusive concept. It cannot be confined that the bounds of a rigid, exact and comprehensive definition. Its scope and meaning depends on diverse, variable factors such as the content and intent of the statute of which contravention is alleged, the specific circumstances of the case, the nature and extent of the complainant’s interest and the nature and extent of the prejudice or injuries suffered by him.”

Person aggrieved must have jeopardized; Not an imaginary injury

Referring Shanti Kumar R. Canji v. Home Insurance Co. of New York, (1974) 2 SCC 387 and State of Rajasthan v. Union of India, (1977) 3 SCC 592, it is observed that the expression ‘person aggrieved’ does not include a person who suffers from a psychological or an imaginary injury; but, it must, therefore, necessarily be one, whose right or interest has been adversely affected or jeopardized.

See also:

  • Sri V.N. Krishna Murthy v. Sri Ravikumar, (2020) 9 SCC 501
  • K. Ajit Babu v. Union of India, (1997) 6 SCC 473
  • Thammanna v. K. Veera Reddy, (1980) 4 SCC 62,
  • P.S.R. Sadhanantham v. Arunachalam, (1980) 3 SCC 141,

Test Whether Precluded From Attacking in Other Proceedings

Division Bench of the Madras High Court, in Srimathi K. Ponnalagu Ammani v. The State of Madras,  AIR 1953 Mad 485, laid down the test to find out whether it would be proper to grant leave to appeal as under:

  • “Now, what is the test to find out when it would be proper to grant leave to appeal to a person not a party to a proceeding against the decree or judgment in such proceedings? We think it would be improper to grant leave to appeal to every person who may in some remote or indirect way be prejudicially affected by a decree or judgment. We think that ordinarily leave to appeal should be granted to persons who, though not parties to the proceedings, would be bound by the decree or judgment in that proceeding and who would be precluded from attacking its correctness in other proceedings.”

Court Of Appeal In Its Discretion Allows Third Party Appeal

In Province of Bombay v. W.I. Automobile Association, AIR 1949 Bom 141 (Chagla C.J. and Bhagwati J.), held as under:

  • “The Civil Procedure Code does not in terms lay down as to who can be a party to an appeal. But it is clear and this fact arises from the very basis of appeals, that only a party against whom a decision is given has a right to prefer an appeal. Even in England the position is the same. But it is recognised that a person who is not a party to the suit may prefer an appeal if he is affected by the order of the trial Court, provided he obtains leave from the Court of appeal; therefore whereas in the case of a party to a suit he has a right of appeal, in the case of a person not a party to the suit who is affected by the order he has no right but the court of appeal may in its discretion allow him to prefer an appeal.”  (referred to: Indian Bank Limited, Madras v. Seth Bansiram Jashamal Firm through its Managing Partner, AIR 1934 Mad 360, In re Securities Insurance Company, (1894) 2 Ch D 410.)

The position is thus stated in the Annual Practice for 1951, at page 1244, as under:

  • “Persons not parties on the record may, by leave obtained on an ‘ex parte’ application to the Court of appeal, appeal from a judgment or order affecting their interests, as under the old practice.”

“A person who might properly have been a party

Halsbury’s Laws of England, Vol. 26, page 115, says as under:

  • “A person who is not a party and who has not been served with such notice (notice of the judgment or order) cannot appeal without leave, but a person who might properly have been a party may obtain leave to appeal.”

In ‘more or less similar terms, the rule and its limits are stated’ in Seton on Judgments and Orders, 7th Edn., Vol. 1, at p. 824:

  • “Where the appellant is not a party to the record he can only appeal by leave to be obtained on motion ‘ex parte’ from the Court of Appeal….. Leave to appeal will not be given to a person not a party unless his interest is such that he might have been made a party.”

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Bar Under Section 116, Evidence Act: Does it Extend to Challenge – Landlord Lost Title After ‘Commencement of the Tenancy’  

Taken from: Recovery of Possession Based on Title and on Earlier Possession

Jojy George Koduvath.

Introduction

Section 116 of the Evidence Act

Section 116 of the Indian Evidence Act reads as under:

  • Estoppel of tenant; and of licensee of person in possession. No tenant of immovable property, or person claiming through such tenant, shall, during the continuance of the tenancy, be heard to deny that the landlord of such tenant had, at the beginning of the tenancy, a title to such immovable property.”

In Sri Ram Pasricha v. Jagannath, AIR 1976 SC 2335: 1976 4 SCC 838, it is held as under:

  • “The tenant in such a suit is estopped from questioning the title of the landlord under section 116 of the Evidence Act. The tenant cannot deny that the landlord had title to the premises at the commencement of the tenancy. Under the general law, in a suit between landlord and tenant, the question of title to the leased property is irrelevant”.

The principle behind the proposition, which asserts that the owner/landlord has the right to recover the property based on his title if the defendant-tenant raises claim of title, is founded upon the notion that a tenant is precluded from disputing the title of the landlord or owner, as laid down in Section 116 of the Evidence Act.

Bar u/S. 116: Not Extend To Challenge – Landlord Lost Title After ‘Commencement Of The Tenancy’  

D. Satyanarayana v. P. Jagadish (A.P. Sen, B.C. Ray, JJ.), AIR 1987 SC2192, 1987 (4) SCC 424, is a leading decision on this matter.

  • (However, ‘D. Satyanarayana v. P. Jagadish’ is said to be an exception to the general rule. See: Masonic Club v. Jamna Lodge, 2014-207 DLT 62; 2014-140 DRJ 396; L. Rs.  of Arjun Lal v. L. Rs.  of Kundan Lal, 2013 AIR(CC) 2193; 201260 RCR(Civ) 769 (Raj); M. L.  Dawar v. M. L.  Seth, 2011-125 DRJ 564 (Del); Manoharlal v. Baijnath Jalan, 2005-4 Jhk CR 58; 2005-3 Jhk LJR 474.)

The following are the facts (of D. Satyanarayana v. P. Jagadish) in a nutshell.

The owner had leased the demised premises to a tenant. The (original) tenant sub-leased it to the respondent. The head-lessor (owner) served a notice of eviction on the sub-tenant, alleging that there was unlawful subletting by the lessee.  The sub-tenant atoned in favour of the original lessor and started paying monthly rent directly to the superior landlord (owner).

In this decision, it is held that the estoppel or bar under Sec. 116 of the Evidence Act operates only –

  • (i)  during the continuance of the tenancy,
  • (ii) to the challenge of the title of the landlord at the beginning of the tenancy.

In this decision, it is held as under:

  • “3. …Section 116 of the Evidence Act provides that no tenant of immovable property shall, during the continuance of the tenancy, be permitted to deny that the landlord of such tenant had, at the beginning of the tenancy, a title to such immovable property. Possession and permission being established, estoppel would bind the tenant during the continuance of the tenancy and until he surrenders his possession. The words ‘during the continuance of the tenancy’ have been interpreted to mean during the continuance of the possession that was received under the tenancy in question, and the Courts have repeatedly laid down that estoppel operates even after the termination of the tenancy so that a tenant who had been let into possession, however, defective it may be, so long as he has not openly surrendered possession, cannot dispute the title of the landlord at the commencement of the tenancy…”
  • “4. The rule of estoppel embodied under Section 116 of the Evidence Act is that, a tenant who has been let into possession cannot deny his landlord’s title, however defective it may be, so long as he has not openly restored possession by surrender to his landlord…”

It was further held that since (or, after) the date of tenancy, the title of landlord came to an end; for, the head-lessor (owner) served a notice of eviction on the sub-tenant, alleging that there was unlawful subletting by the lessee, and the sub-tenant atoned in favour of the original lessor. It was pointed out –

  • A tenant is not estopped from contending that the title of the lessor has “since come to an end” (or the landlord lost title after the commencement of the tenancy).

The Apex Court (in D. Satyanarayana v. P. Jagadish) quoted from Mangat Ram & Anr. v. Sardar Meharban Singh, AIR 1987 SC 1656,  (1987) 4 SCC 319, (A.P. Sen, V. Balakrishnan Eradi, JJ.) saying:

  • “Quite recently, this Court in Mangat Ram v. Sardar Meharban Singh, [1987] 1 Scale 964, to which one of us was a party, observed:
  • “The estoppel contemplated by s. 116 is restricted to the denial of title at the commencement of the tenancy and by implication it follows that a tenant is not estopped from contending that the title of the lessor has since come to an end.”
  • See also: Fida Hussain v. Fazal Hussain & Ors., AIR (1963) MP 232,
  • K.S.M. Guruswamy Nadar v. N.G. Ranganathan, AIR (1954) Mad. 402, 
  • S.A.A. Annamalai Chettiar v. Molaiyan & Ors., AIR (1970) Mad. 396 and
  • Chidambara Vinayagar Devasthanam v. Duraiswamy, ILR (1967) 1 Mad. 624.”

D. Satyanarayanana v. P. Jagdish Distinguished

In E. Parashuraman v.  V. Doraiswamy,  AIR 2006 SC 376; 2006-1 SCC 658, it is stated as under:

  • “18. We have carefully examined the decisions of this Court in D. Satyanarayanana vs. P. Jagdish (supra) and A.V.G.P. Chettiar and Sons and others vs. T. Palanisamy Gounder : (2002) 5 SCC 337 and we are of the view that the principles laid down therein are not applicable to the facts of this case. The exception to the rule of estoppel embodied under Section 116 of the Evidence Act arises if it is shown that since the date of the tenancy of title of the landlord came to an end, or that he was evicted by a paramount title holder, or that even though there was no actual eviction or dispossession from the property, under a threat of eviction, the tenant had attorned to the paramount title holder and a new jural relationship of landlord and tenant had come into existence between them. Such a situation has not arisen in the instant case. In this case there is no finding that the title of the landlord has come to an end. The Corporation has not established its title in any proceeding in accordance with law. In these circumstances the exception to the rule of estoppel embodied in Section 116 of the Evidence Act cannot be pleaded by the appellants.”

Sec. 116 ceases to have applicability once the tenant has been evicted

In Vashu Deo v. Balkishan, 2002-1 SCR 171, it is held that Sec. 116 ceases to have applicability once the tenant has been evicted. (It stands incongruent to the view in D. Satyanarayana v. P. Jagadish where it was held – estoppel operates even after the termination.) It is said as under:

  • “6. …Section 116 of the Evidence Act, which codifies the common law rule of estoppel between landlord and tenant, provides that no tenant of immovable property or person claiming through such tenant, shall, during the continuance of the tenancy, be permitted to deny that the landlord of such tenant had at the beginning of the tenancy, a title to such immovable property. The rule of estoppel so enacted has three main features :
    • .(i) the tenant is estopped from disputing the title of his landlord over the tenancy premises at the beginning of the tenancy;
    • (ii) such estoppel continues to operate so long as the tenancy continues and unless the tenant has surrendered possession to the landlord; and
    • (iii) Section 116 of the Evidence Act is not the whole law of estoppel between the landlord and tenant.
  • The principles emerging from Section 116 can be extended in their application and also suitably adapted to suit the requirement of an individual case… the rule of estoppel ceases to have applicability once the tenant has been evicted. His obligation to restore possession to his landlord is fulfilled either by actually fulfilling the obligation or by proving his landlord’s title having been extinguished by a paramount titleholder…”

Forfeiture of tenancy under Clause (g) of Section 111 of the TP Act

In Sheela v. Firm Prahlad Rai Prem Prakash (Ruma Pal, R.C. Lahoti, JJ.), AIR 2002 SC 1264; 2002-3 SCC 375, it is held as under:

  • “In our opinion, the denial or disclaimer to be relevant for the purpose of Section 12(1)(c) should take colour from Section 116 of the Evidence Act and Section 111(g) of the Transfer of Property Act. Section 116 of the Evidence Act embodies therein a rule of estoppel. No tenant of immovable property, or person claiming through such tenant, shall, during the continuance of the tenancy, be permitted to deny that the landlord of such tenant had, at the beginning of the tenancy, a title to such immovable property. This estoppel, so long as it binds the tenant, excludes the tenant from raising a plea disputing the title of his landlord at the commencement of the tenancy. It flows as a corollary therefrom that the proof of landlord-tenant relationship tantamounts during the continuance of tenancy to proof of ownership of landlord over the tenancy premises at the beginning of the tenancy so far as the tenant is concerned. It is significant to note that on the phraseology of Section 116 of the Evidence Act the rule of estoppel applies so long as the tenancy is not terminated and the rule estops the tenant from laying challenge to the ownership of the landlord at the commencement of the tenancy. But the rule of estoppel as incorporated in Section 116 is not exhaustive and it may be extended or suitably modified in its application to other situations as well, retaining the basic feature of the rule.
  • “Clause (g) of Section 111 of the Transfer of Property Act, insofar as relevant for our purpose, provides that a lease of immovable property determines by forfeiture in case the lessee renounces his character as such by setting up a title in a third person or by claiming title in himself. This provision contemplates two fact – situations which entail the lessee having renounced his character as such and they are: (i) when the lessee sets up a title in a third person, or (ii) when he claims title in himself.
  • “In either case, the tenant has disputed and denied the title of his landlord because a title in third person or title in himself cannot co-exist with the title in the landlord.
  • 13. The law as to tenancy being determined by forfeiture by denial of the lessor s title or disclaimer of the tenancy has been adopted in India from the Law of England where it originated as a principle in consonance with Justice, equity and good conscience. On enactment of the Transfer of Property Act, 1882, the same was incorporated into clause (g) of Section 111. So just is the rule that it has been held applicable even in the areas where the Transfer of Property Act does not apply (See – Raja Mohammad Amir Ahmad Khan vs. Municipal Board of Sitapur and Anr. – AIR 1965 SC 1923). The principle of determination of tenancy by forfeiture consequent upon denial of the lessor s title may not be applicable where rent control legislation intervenes and such legislation while extending protection to tenants from eviction does not recognize such denial or disclaimer as a ground for termination of tenancy and eviction of tenant. However, in various rent control legislations such a ground is recognized and incorporated as a ground for eviction of tenant either expressly or impliedly by bringing it within the net of an act injurious to the interest of the landlord on account of its mischievous content to prejudice adversely and substantially the interest of the landlord.
  • “14. Denial of landlord’s title or disclaimer of tenancy, is it an act injurious to interest of landlord? How does this rule operate and what makes it offensive Evans & Smith state in the Law of Landlord and Tenant (Fourth Edition, 1993, at p.89) that it is an implied condition of every lease, fixed-term or periodic and formal or informal, that the tenant is not expressly or deny the landlord s title or prejudice it by any acts which are inconsistent with the existence of a tenancy. Disclaimer of the landlord’s title is analogous to repudiation of a contract. The rule is of feudal origin; the courts are not anxious to extend it, and so any breach of this condition must be clear and unambiguous. Hill & Redman in Law of Landlord and Tenant (Seventeenth Edition, para 382, at page 445-446) dealing with “Acts which prejudice lessor s title” state that there is implied in every lease a condition that the lessee shall not do anything that may prejudice the title of the lessor; and that if this is done the lessor may re-enter for breach of this implied condition. Thus, it is a cause of forfeiture if the lessee denies the title of the lessor by alleging that the title of the landlord is in himself or another; or if he assists a stranger to set up an adverse title or delivers the premises to him in order to enable him to set up a title. It is a question of fact, however, what intention underlies the words or the actions of a tenant, whether in fact he is definitely asserting a title adverse to the landlord or, as the case may be, intending to enable someone else to set up such a title. Thus, it is not sufficient that the lessee does not at once acknowledge the title of the landlord and a general traverse in the defence to an action for possession does no more than put the landlord to proof and does not assert that the title is in another. The essential characteristic of disclaimer by tenant as stated in Foa s General Law of Landlord and Tenant (Eight Edition, para 934, at p.589) is that it must amount to a renunciation by the tenant of his character of tenant, either by setting up a title in another, or by claiming title in himself. A mere renunciation of tenancy without more, though it may operate as a surrender, cannot amount to a disclaimer. The denial, though it need not be express and can be implied, must nevertheless be a clear denial and it must be clearly proved.”

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Civil Suits: Procedure & Principles

Book No, 1 – Civil Procedure Code

Principles and Procedure

PROPERTY LAW

Title, ownership and Possession

Adverse Possession

Land LawsTransfer of Property Act

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Evidence Act – General

Sec. 65B

Admission, Relevancy and Proof

Law on Documents

Documents – Proof and Presumption

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Contract Act

Law on Damages

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Book No. 2: A Handbook on Constitutional Issues

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Book No. 3: Common Law of CLUBS and SOCIETIES in India

Book No. 4: Common Law of TRUSTS in India

Does Filing a Suit Amount to Notice of Termination of Contract

Saji Koduvath, Advocate, Kottayam.

Introduction

Filing a suit may amount to notice of termination of a contract if:

  • The contract or governing law does not mandate notice.
  • The pleadings clearly declare that the contract is terminated.
  • And, it will be an added circumstance — if the defendant acts upon or acknowledges that intention, for example, by stopping performance, ceasing payment (such as rent or invoices), sending an email confirming cessation of services, or making admissions in pleadings.

In such cases, the filing of the suit may be treated as constructive notice of termination. If the defendant accepts and acts upon the termination, they may be estopped from later denying its validity.

In M/s Nopany Investiments (P) Ltd. Santokh Singh (HUF), AIR 2008 S C 673, 2008 (2) SCC 728, has laid down as under:-

  • “In any view of the matter, it is well settled that filing of an eviction suit under the general law itself is a notice to quit on the tenant. Therefore, we have no hesitation to hold that no notice to quit was necessary under Section 106 of the Transfer of Property Act in order to enable the respondent to get a decree of eviction against the appellant. This view has also been expressed in the decision of this Court in V. Dhanappal Chettiar v. Yesodai Ammal, 1979(2) RCR (Rent) 352; [AIR 1979 SC 1745]”

See also:

  • Brompton Lifestyle Brands Pvt. Ltd. v. Riveria Commercial Developers Ltd. , 2023-4 AD(Del) 591,
  • International Institute of Neuro Sciences & Oncology Ltd. , Chandigarh v. Sahibjit Singh Sandhu, 2017-3 PLR 51; 2017-3 RCR(Civ) 554 (P&H),
  • Neelam v. . Sanjay Pahwa, 2016(1) R.C.R (Rent) 696,
  • Bhagirath Verma v. Dada Dev Mandir Prabandhak Sabha (Barah Gaon) Palam, 2016-234 DLT 3
  • Hazari Vs. Vinod Kumar. 2015(4) R.C.R (Civil) 688,
  • Chanda v. Rajesh Saxena, 2015-224 DLT 480,
  • Jeevan Diesels & Electricals Ltd. Vs. Jasbir Singh Chadha (HUF) & Anr. 2011 (183) DLT 712
  • Harikesh Vs. Smt. Narain Devi, 2010 (1) R.C.R(Rent) 99
  • M/s Mandap International Pvt. Ltd. v.. M/s Ahuja Kashyap Pvt. Ltd., 2014(5) R.C.R (Civil) 797.

No Termination – If Contract Mandates Written Notice

However, where the contract or applicable statute requires a written notice in a particular form, merely filing a suit is not sufficient to constitute valid termination. In such cases, compliance with the prescribed notice process is mandatory.

No Notice, Damages Alone

The Supreme Court clarified this in Indian Oil Corporation Ltd. v. Amritsar Gas Service, (1991) 1 SCC 533, where it held:

  • The agreement being revocable by either party in accordance with clause 28 by giving thirty days’ notice, the only relief which could be granted was the award of compensation for the period of notice, that is, 30 days.

Issuance of notice may amount to sub-judice

Issuance of notice, when a suit is pending, even if it does not amount to sub-judice (Latin: “under judgment”), may be unnecessary, redundant, or even improper, as the issue is already seized by the court.

In such a situation the court can proceed – as if the suit or contention amounts to sufficient notice if-

  • The plaint itself discloses the grounds of termination or claim, and
  • The defendant suffers no prejudice, and
  • The suit is not premature.

Opponent’s Conduct Matters
If the opposite party acts based on the termination (e.g., ceases performance, accepts return of goods, or initiates exit procedures), that conduct may confirm mutual understanding of termination, which courts can take notice of.


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 – “How to Subscribe 
free 

Read in this cluster (Click on the topic):

Civil Suits: Procedure & Principles

Book No, 1 – Civil Procedure Code

Principles and Procedure

PROPERTY LAW

Title, ownership and Possession

Adverse Possession

Land LawsTransfer of Property Act

Land Reform Laws

Power of attorney

Evidence Act – General

Sec. 65B

Admission, Relevancy and Proof

Law on Documents

Documents – Proof and Presumption

Interpretation

Contract Act

Law on Damages

Easement

Stamp Act & Registration

Divorce/Marriage

Negotiable Instruments Act

Criminal

Arbitration

Will

Book No. 2: A Handbook on Constitutional Issues

Religious issues

Book No. 3: Common Law of CLUBS and SOCIETIES in India

Book No. 4: Common Law of TRUSTS in India