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Tuesday, June 18, 2013

Code of Civil Procedure, 1908: Section 100-Order 13 Rule 4 CPC-Suit for declaration of title, arrears of rent and possession of suit property-Appellant producing photocopies of the order of State Commissioner and rent agreement between appellant and tenant and the books of accounts in support of claiming his title-Trial court and first appellate court holding in favour of the appellant on the basis of oral and documentary evidence-High Court, in second appeal, reversing the concurrent findings on the ground that the documentary evidence are not originals-Validity of-Held, on facts, the High Court has wrongly framed the substantial questions of law on the assumption that the suit property belonged to the temple-The admission in evidence of photocopies cannot be questioned since no objections were raised by respondent at the time of, tendering them into evidence by the appellant-Respondent failed to discharge its onus to prove its title on suit property-Hence, High Court judgment set aside as no substantial question of law arose-Indian Evidence Act, 1872: Sections 34 AND 116. The property of defendant-respondent no. 1 temple was endowed by the forefathers of the plaintiff-appellant. The father of the appellant and thereafter the appellant were trustees of the temple and were managing the temple property. In 1968, the State Charity Commissioner appointed a new set of trustees and a Chief Executive Officer for the temple and removed the appellant from the trusteeship. The suit property, which is situated adjoining to the temple property, was let out on rent to defendant- respondent no. 2 by the appellant. Respondent no. 2 paid rent to the appellant till 1969. Thereafter, at the instance of respondent no. 1, respondent no. 2 issued a rent note in favour of the temple attorning the latter as the landlord of the suit property. Respondent no. 1 claimed the suit property on the basis of being part of the temple property. Appellant filed a suit for declaration of title, arrears of rent for three years immediately preceding the filing of the suit and possession of the suit property before Trial Court. Relying upon the oral and documentary evidences, the trial court decreed the suit in favour of the appellant. This was affirmed by the first appellate court. The High Court, in second appeal, reversed the findings of the courts below holding that no reliance could be placed upon the documentary evidence produced by the appellant before the lower courts. Citation: 2003 AIR 4548,2003(4 )Suppl.SCR450 ,2003(8 )SCC752 ,2003(8 )SCALE474 ,2004(6 )JT442= Allowing the appeal, the Court HELD: 1. A second appeal in the High Court can be entertained only on substantial questions of law and not otherwise. Instead of proceeding to decide the issues arising in the suit, the High Court assumed the second appellate jurisdiction by erroneously' assuming the fact that property belongs to the temple, while framing the substantial questions of law. The question to be determined in the case was whether the appellant or the temple had the title to the suit property. The questions framed by the High Court did not arise as substantial questions of law based on the concurrent findings by the two courts below. The judgment of the High Court deserves to be set aside on this ground. [459-B-D] 2. Section 34 of the Indian Evidence Act, 1872 declares relevant the entries in the books of account regularly kept in the course of business whenever they refer to a matter into which the Court has to enquire. The courts of fact subordinate to the High Court, have not felt the need of any further corroboration before acting upon the entries in the ledger books made by the deceased father of the appellant. So far as the entries made by the appellant are concerned, he has deposed to making the entries and corroborated the same by his own statement. The appellant has been believed by the trial court and the first appellate court and his statement has been found to be enough corroboration of the entries made by him. No question of law arose as would enable the High Court to reverse that finding. The entries amply prove that for a length of time, upto the year 1959, the appellant's deceased father, and then the appellant was collecting the rent of the suit property claiming to be the landlord from respondent no. 2 inducted as tenant by them. They were in possession of the suit property through their tenant, respondent no. 2. The High Court has erred in ruling out the books from consideration on the ground that the same were not duly maintained or were not proved in the absence of the maker having stepped in the witness box. [460-E-H, 461-A, B] 3.1 An objection as to the admissibility of evidence should be taken ordinarily when it is tendered and not subsequently. An objection, if taken at the appropriate point of time, would have enabled the party tendering the evidence to cure the defect and resort to such mode of proof as would be regular. The omission to object becomes fatal because by his failure, the party entitled to object allows the party tendering the evidence to act on an assumption that the opposite party is not serious about the mode of proof. On the other hand, a prompt objection does not prejudice the party tendering the evidence, for two reasons: firstly, it enables the Court to apply its mind and pronounce its decision on the question of admissibility then and there; and secondly, in the event of finding of the Court on the mode of proof sought to be adopted going against the party tendering the evidence, the opportunity of seeking indulgence of the Court for permitting a regular mode or method of proof and thereby removing the objection raised by the opposite party, is available to the party leading the evidence. Such practice and procedure is fair to both the parties. A failure to raise a prompt and timely objection amounts to waiver of the necessity for insisting on formal proof of a document, the document itself which is sought to be proved being admissible in evidence. [463-G, 464-B-F] Padman AND OTHERS v. Hanwanta AND OTHERS , AIR (1915) PC 111 and P.C. Purushottama Reddiar v. S. Perumal, [1992] 2 SCR 646, referred to. The Roman Catholic Mission v. The State of Madras AND ANOTHER , AIR (1966) SC 1457, distinguished. 3.2 The photocopy of the order passed by the Assistant Commissioner and the photocopy of the rent agreement between the appellant and the tenant- respondent were admitted in evidence without any objection by the two courts below. The High Court erred in holding these documents inadmissible being photocopies and the originals of the same were not produced. None of the two courts below appeared to have felt any difficulty in reading the documents and understanding and appreciating its contents. The High Court, if it felt any difficulty in comfortably reading of the photocopies, should have said so at the time of hearing and afforded the parties an opportunity of either producing the originals or a readable copies of the documents. Nothing such was done. The High Court has not even doubted the factum of the contents of the documents having been read by the two courts below, drawn deductions therefrom and based their finding of facts on the documents as well. [465-G-H, 466-A] 3.3 The photocopy of the certified copy of the order passed by the Assistant Commissioner H.R. and C.E. (Admn.) Department in exercise of its jurisdiction under section 63 of the Tamil Nadu Hindu Religious and Charitable Endowments Act, 1959 held that the temple is not the owner of the suit property. This has become final. The photocopy of the order was marked as an exhibit without any objection by the temple respondent An order of the Charity Commissioner is not per se the evidence of title inasmuch as the Charity Commissioner is not, under the law, competent to adjudicate upon questions of title relating to immovable property which determination lies within a domain of a civil court. However, still the order has relevance as evidence to show that the property forming subject matter of the order of the Charity Commissioner was claimed by the temple to be its own property. The temple failed in proving its claim. Consequence of this would be that the attornment by the tenant-respondent in favour of the temple during the continuance of tenancy was not valid. The tenant could not attorn to the temple treating the latter to be the owner since he was inducted by the appellant and the estoppel flowing from Section 116 of the Indian Evidence Act, 1872 operated against him. [462-E-F] 3.4 In the property tax register, the appellant and his predecessOTHERS were shown to be the owners of the suit property. An entry in the municipal record is not evidence of title. The entry shows the person who is liable to pay rates and taxes to the municipality. If the property belonged to the temple, the temple would have taken steps for having its own name mutated into the municipal records and paid taxes or claimed exemption from payment of taxes, which was not done. The temple has not been able to produce any evidence, oral or documentary, to prove its title to the suit property. The attornment by the tenant in favour of the temple and payment of rent to the temple after 1969 or the payment of the property tax by the temple to the municipal authorities after 1969 does not establish the title to the temple of the suit property. These documents are not of much evidentiary value as these documents came into existence only after the dispute had arisen between the parties. In the absence of any other lawful claimant, the appellant, on the strength of the documents produced, was rightly held to be the owner by the courts below the High Court. The attornment by the tenant in favour of the temple was also rightly held to be invalid. The appellant would, therefore, be entitled to recover possession of the suit property and the arrears of rent. [466-E-H, 467-A-C] 4.1 In a suit for recovery of possession based on title, it is for the plaintiff to prove his title and satisfy the Court that he, in law, is entitled to dispossess the defendant from his possession over the suit property and for the possession to be restored with him. There is an essential distinction between burden of proof and onus of proof. Burden of proof lies upon a person who has to prove the fact and which never shifts. Onus of proof shifts. Such a shifting of onus is a continuous process in the evaluation of evidence. In a suit for possession based on title, once the plaintiff has been able to create a high degree of probability so as to shift the onus on the defendant, it is for the defendant to discharge his onus and in the absence thereof the burden of proof lying on the plaintiff shall be held to have been discharged so as to amount to proof of the plaintiffs title. [468-D-F] Raghavamma AND ANOTHER v. Chenchamma ANOTHER , AIR (1964) SC 136, relied on. Bater v. B., [1950] 2 All ER 458 and Hornal v. Neuberger P. Ltd., [1956] 3 All ER 970, referred to. Sarkar on Evidence 15th Edition, referred to. 4.2. The appellant-plaintiff has not been able to produce any deed of title directly lending support to his claim for title of the suit property. The respondent-defendant temple too has no proof of its title. Being a civil case, the plaintiff cannot be expected to prove his title beyond any reasonable doubt. A high degree of probability lending assurance of the availability of title with the plaintiff would be enough to shift the onus on the defendant and if the defendant does not succeed in shifting back, the onus, the plaintiffs burden of proof can safely be deemed to have been discharged. The appellant had succeeded in shifting the onus on the respondent temple and therefore the burden of proof, which lay on the appellant, had stood discharged. The High Court, in exercise of its limited jurisdiction under section 100 CPC, ought not to have entered into the evaluation of evidence afresh. The High Court has interfered with a pure and simple finding of fact based on appreciation of oral and documentary evidence which the High Court ought not to have done. [468-G-H, 469-A, B] 4.3. No question of law much less a substantial question of law arose in the case worth being gone into by the High Court in exercise of its second appellate jurisdiction under Section 100 CPC. The High Court was bound by the findings of fact arrived at by the two courts below and should not have entered into the exercise of re-appreciating and evaluating the evidence'. The findings of fact arrived at by the courts below did not suffer from any perversity. There was no non-reading or mis-reading of the evidence. A high degree of preponderance of probability proving title to the suit property was raised in favour of the appellant and the courts below rightly concluded the burden of proof raised on the plaintiff having been discharged while the onus shifting on the defendant remaining undischarged. [470-C-E] CIVIL APPELLATE JURISDICTION : Civil Appeal No. 10585 of 1996.

http://JUDIS.NIC.IN SUPREME COURT OF INDIA Page 1 of 9
CASE NO.:
Appeal (civil) 10585 of 1996
PETITIONER:
R.V.E. Venkatachala Gounder
RESPONDENT:
Arulmigu Viswesaraswami & V.P. Temple & AR
DATE OF JUDGMENT: 08/10/2003
BENCH:
R.C. Lahoti & [Ashok Bhan.
JUDGMENT:
J U D G M E N T
BHAN, J.
 Present appeal has been filed against the judgment and decree in
Second Appeal No. 316 of 1983 dated 12.4.1996 by the High Court of
Judicature at Madras. By the impugned order the High Court has set aside
the judgment and decree of the courts below as a result of which the suit
filed by the plaintiff-appellant (hereinafter referred to as ’the appellant’) has
been ordered to be dismissed.
 A brief reference to the pleadings of the parties may be made to
appreciate the points raised in this appeal.
 Appellant claimed himself to be the owner of the property bearing No.
D.No. 40 comprised in T.S.No. 201, Block No. 4, Ward No. 5 in the
Municipal City of Tirupur. That M.R. Arunachala Mudaliar, defendant No.
2 (hereinafter referred to as the ’tenant’) was inducted as a tenant in the year
1952 by his father at a rent of Rs. 300/- which was enhanced to Rs. 400/- in
the year 1965. Arulmigu Visweswaraswamy & Veeraragava Perumal
Temples, defendant No.1 (hereinafter referred to as the ’temple’) also claim
ownership to the property. Appellant claimed himself to be a hereditary
trustee of the temple. Originally, from 1946-47 till 1959, the property stood
recorded in the municipal register in the name of three persons, namely,
K.N. Palanisami Gounder, R.V. Easwaramurthi Gounder and A.
Narayaanaswami Gounder. Easwaramurthi Gounder was the father of the
appellant. After the death of Easwaramurthi Gounder, father of the
appellant, the name of the appellant came to be registered in the Municipal
record alongwith the other two persons. In an oral family partition the
property came to the share of the appellant and thereafter the names of K.N.
Palanisami Gounder and A. Narayaanaswami Gounder were removed from
the municipal register and the appellant alone came to be recorded as the
sole owner of the suit property in the municipal record. That temple taking
advantage of the litigation pending between it and the appellant in respect of
the trusteeship of the temple, laid claim to the suit property. Tenant paid
rent till 1969 to the appellant and thereafter attorned as a tenant to temple
and started paying rent to it. Appellant filed the suit for declaration of title,
arrears of rent for three years immediately preceding the filing of the suit
and possession of the suit premises.
The temple-defendant No.1, in its written statement, admitted that the
father of the appellant and after his death the appellant has been a trustee of
the temple. In 1968 new set of trustees were appointed by the Charity
Commissioner and the Executive Officer took charge of the temple. The
temple further alleged that the suit property belonged to the temple and the
appellant wrongly claimed himself to be the absolute owner of the property.
The assessment stood in the name of the appellant as Dharmakartha and not http://JUDIS.NIC.IN SUPREME COURT OF INDIA Page 2 of 9
in his individual capacity. From 1969 onwards, tenant began to pay rent to
temple and the rate of rent was enhanced from Rs. 42.50 to Rs. 129/- per
month. On 19th July, 1975 the tenant executed a lease deed in favour of the
temple. That appellant was not entitled to the suit property and was
estopped from denying the title of temple. The tenant-defendant No.2, in his
written statement, took the stand that he became the tenant of the suit
property under the temple. He admitted that he had been paying rent to the
appellant but from the year 1969 onward he started paying rent to the
temple. That the claim of the appellant for arrears of rent was not tenable
and the suit for declaration and for arrears of rent was not maintainable.
On the pleadings of the parties the Trial Court framed three issues,
viz., (i) relating to the title of the suit property; (ii) entitlement of the
appellant to receive rent, and (iii) entitlement of the appellant to get
possession.
 By way of oral evidence appellant stepped in the witness box as PW
1. On behalf of the temple, Rajapandian, an employee of the temple,
stepped in the witness box as DW1 and the tenant appeared as his own
witness as DW2. By way of documentary evidence appellant produced
Exhibit A1 to Exhibit A34 consisting of books of accounts; copies of the
municipal registers; receipts of payment of property tax paid in the
municipal committee; documents showing collection of rent; Exhibit A-30
dated 14.10.1969 is the order of the Assistant Commissioner, H.R. and C.E.
Administration Department, Coimbatore in which it has been held that the
suit property does not belong to the temple. Exhibit A-34 dated 6.7.1970 is
a rent agreement executed between the appellant and tenant in respect of the
suit property. Documents A-30 and A-34 are the photostat copies of the
original; they were admitted in evidence and marked as exhibits without any
objection from other side. Temple produced Exhibits B1 to B46 pertaining
to receipt of rent from the tenant and payment of property tax to the
Municipal Committee after the year 1969.
 Trial Court relying upon the oral as well as documentary evidence
held that the appellant was the owner of the property and that respondent no.
2 was the tenant of the appellant. Appellant was held to be the owner and
entitled to recover the possession as well as the arrears of rent for three years
immediately preceding the filing of the suit. Temple filed an appeal before
the District Judge, Coimbatore which was dismissed. Aggrieved temple
filed the second appeal in the High Court. High Court reversed the
judgment and decree of the courts below and held that no reliance could be
placed upon the documentary evidence. The books of accounts produced by
the appellant were not kept in regular course of business and therefore no
reliance could be placed on them. Entry made of property in the municipal
records in the name of a person was not evidence of the title of that person to
the property. That the courts below erred in admitting Exhibit A-30 and A-
34 in evidence as these were photostat copies. Documents being photostat
copies could not be admitted in evidence without producing the originals.
That Exhibit A-34 was not even readable.
 Learned Counsel for the parties have been heard at length.
 While entertaining the second appeal the High Court framed the
following three questions as substantial questions of law as arising for its
consideration:
"1. Whether a person who has been in possession
of the temple as an hereditary trustee can claim
title to one of the items of the property belonging
to the temple as his own?
2. Whether the certificate issued by the Assistant
Commissioner, Hindu Religious and Charitable
Endowments is conclusive as the question of title http://JUDIS.NIC.IN SUPREME COURT OF INDIA Page 3 of 9
to the immovable properties belonging to the
temple?
3. Whether the right of a temple can be negatived
on the mere strength of the assessment register
standing in the name of the plaintiff/Respondent or
any other person?"
 [Emphasis supplied]
 All the three questions framed proceed on the assumption as if the
property belongs to the temple whereas the findings of the courts below
were to the contrary. Second appeal in the High Court can be entertained
only on substantial questions of law and not otherwise. The point in issue
was as to whom the property belongs. Instead of proceeding to decide the
issues arising in the suit the High Court assumed second appellate
jurisdiction by erroneously assuming the fact that property belongs to the
temple while framing the substantial questions of law. High Court seems to
have unwitting fallen into a serious error in doing so. As to whether the
appellant or the temple had the title to the property in suit was the question
to be determined in the case and the High Court erred in assuming and
proceeding on an assumption that the property belonged to the temple. The
questions framed by the High Court did not arise as substantial questions of
law based on the findings recorded by the courts below â\200\223 concurrently in this
case. In our opinion, the High Courts’ judgment deserves to be set aside on
this short ground and the case remitted back to the High Court for decision
afresh and in accordance with the law, after re-framing only such substantial
questions of law, if any, as do arise in the appeal. But since the suit was
filed in the year 1978 and the parties have been in litigation for the last 25
years, we are refraining from remitting the case back to the High Court for
re-decision on merits.
 Onus to prove title of the property undoubtedly is on the person
asserting title to the property. Appellant produced Ledger Books A9, A11,
A13, A15, A17, A19, A21, A23, A25 & A27 for the years 1952, 1953, 1954,
1955, 1957, 1958, 1959, 1960, 1962 & 1964 respectively maintained by the
father of the appellant up to 1959 and thereafter by him. Exhibits A10, A12,
A14, A16, A18, A20, A22, A24, A26 & A28 are the entries of receipt of rent
from tenant made at pages 155, 81, 57, 92, 115, 137, 180, 16, 171 and 139 of
Ledger Books marked A9, A11, A13, A15, A17, A19, A21, A23, A25 &
A27 respectively. In his statement in court, appellant stated that the ledgers
were maintained properly and were submitted to the income tax authorities.
The Ledger Books bear the seal of the department of income tax. That the
books were maintained by his father till 1959 and after his death the
appellant has maintained the Ledgers. Courts below accepted that the books
were maintained in regular course of business but the High Court ruled out
the ledger accounts from consideration on the ground that day books
supporting the ledger entries were not produced. That the person who made
the entries in the ledger books was not produced which caused a doubt as to
whether the books were kept in due course or not. We do not agree with the
finding recorded by the High Court. On a perusal of the statement of the
appellant and the books of accounts it becomes abundantly clear that the
accounts were duly maintained by the father of the appellant till 1959 and
thereafter by the appellant for every year separately and were submitted to
the department of income tax with annual returns. The books bear the seal of
the income tax department. These facts deposed to by the appellant under
oath were not even challenged in cross-examination. No question was
asked from the appellant to the effect that the books were not maintained by
him or by his father properly. No questions were asked from him in crossexamination about the authenticity of the books or the entries made therein.
In the ledger, for each year, there is an entry regarding receipt of rent. In our
view, the books were maintained properly and regularly and there is no
reason to doubt their veracity. http://JUDIS.NIC.IN SUPREME COURT OF INDIA Page 4 of 9
 Section 34 of the Evidence Act declares relevant the entries in books
of account regularly kept in the course of business whenever they refer to a
matter into which the court has to enquire. When such entries are shown to
have been made in the hands of a maker who is dead, the applicability of
clause (2) of Section 32 of the Evidence Act is attracted according to which
the statement made by a dead person in the ordinary course of business and
in particular when it consists of any entry or memorandum made by him in
books kept in the ordinary course of business etc. is by itself relevant. The
maker of the entry is not obviously available to depose incorporation of the
entry. In a given case, depending on the facts and circumstances brought on
record, the Court of facts may still refuse to act on the entry in the absence
of some corroboration. In the present case the courts of fact, subordinate to
High Court, have not felt the need of any further corroboration before acting
upon the entries in the ledger books made by the deceased father of the
appellant. So far as the entries made by the appellant are concerned, he has
deposed to making of the entries and corroborated the same by his own
statement. The appellant has been believed by the trial Court and the first
appellate Court and his statement has been found to be enough corroboration
of the entries made by him. Here again no such question of law arose as
would enable the High Court to reverse that finding. The entries amply
prove that for a length of time, upto the year 1959 the appellant’s deceased
father, and then the appellant, was collecting the rent of the suit property
claiming to be the landlord from the defendant No.2 inducted as tenant by
them. They were in possession of the property through their tenant, the
defendant No.2.
 We are definitely of the opinion that the High Court has erred in
ruling out the books from consideration on the ground that the same were
not duly maintained or were not proved in the absence of the maker having
stepped in the witness box.
 A2 is the extract of Property Tax Demand Register. A3 is the receipt
of payment of property tax by the appellant to the Municipal Committee.
The name of the appellant is entered in ownership column of Municipal
record. Earlier the entries were in the name of his father, K.N.Palanisami
Gounder and A.Narayaanaswami Gounder. A31 is the letter/notice issued
by the Commissioner, Tirupur Municipality to the appellant in the
complaint filed by one Subramaniam Tirupur under The Tamil Nadu Hindu
Religious and Charitable Endowments Act, 1959 (hereinafter referred to as
’the Act’). A32 is the reply filed by the appellant to the said notice. A33 is
the postal acknowledgement signed by the Commissioner of the receipt of
the reply sent by the appellant. A30 is the photo copy of the order passed by
Assistant Commissioner H.R. and C.E.(Admn.) Department, Coimbatore in
exercise of its jurisdiction under Section 63 of the Act in which it has been
held that temple is not the owner of the property in dispute. A34 is the photo
copy of the rent agreement executed between the appellant and the tenantrespondent No.2. The said rent note has also been attested as witness by the
Executive Officer of the Municipal Committee. Tenant while appearing as
DW2 admitted having signed rent note, Exhibit A34 in favour of the
appellant.
 The High Court has, by entering into the question of admissibility in
evidence of the abovesaid two very material pieces of documentary evidence
which were admitted in evidence without any objection when they were
tendered in evidence and taken into consideration by the two courts below
while evaluating evidence and recording findings of facts, excluded the
documents from consideration. Was it permissible for the High Court to do
so?
 One document A/30 is the photocopy of a certified copy of the
decision given by Charity Commissioner. This document was tendered in
evidence and marked as an exhibit without any objection by the defendants
when this was done. The plaintiff has in his statement deposed and made it
clear that the certified copy, though available, was placed on the record of
another legal proceedings and, therefore, in the present proceedings he was http://JUDIS.NIC.IN SUPREME COURT OF INDIA Page 5 of 9
tendering the photocopy. There is no challenge to this part of the statement
of the plaintiff. If only the tendering of the photocopy would have been
objected to by the defendant, the plaintiff would have then and there sought
for the leave of the Court either for tendering in evidence a certified copy
freshly obtained or else would have summoned the record of the other legal
proceedings with the certified copy available on record for the perusal of the
Court. It is not disputed that the order of Charity Commissioner is a public
document admissible in evidence without formal proof and certified copy of
the document is admissible in evidence for the purpose of proving the
existence and contents of the original. An order of Charity Commissioner is
not per se the evidence of title inasmuch as the Charity Commissioner is not
under the law competent to adjudicate upon questions of title relating to
immovable property which determination lies within the domain of a Civil
Court. However, still the order has relevance as evidence to show that the
property forming subject matter of the order of the Charity Commissioner
was claimed by the temple to be its property but the temple failed in proving
its claim. If only the claimant temple would have succeeded, the item of the
property would have been directed by the Charity Commissioner to be
entered into records as property of the charity, i.e. the temple, which finding
and the entry so made, unless dislodged, would have achieved a finality. On
the contrary, the appellant herein, who claimed the property to be his and not
belonging to the charity, succeeded in the claim asserted by him.
 The other document is the rent note executed by defendant No.2 in
favour of plaintiff. Here also photocopy of the rent note was produced. The
defendant No.2 when in witness box was confronted with this document and
he admitted to have executed this document in favour of the plaintiff and
also admitted the existence of his signature on the document. It is nobody’s
case that the original rent note was not admissible in evidence. However,
secondary evidence was allowed to be adduced without any objection and
even in the absence of a foundation for admitting secondary evidence having
been laid by the plaintiff.
 The abovesaid facts have been stated by us in somewhat such details
as would have been otherwise unnecessary, only for the purpose of
demonstrating that the objection raised by the defendant-appellant before the
High Court related not to the admissibility of the documentary evidence but
to the mode and method of proof thereof.
 Order 13 Rule 4 of the CPC provides for every document admitted in
evidence in the suit being endorsed by or on behalf of the Court, which
endorsement signed or initialed by the Judge amounts to admission of the
document in evidence. An objection to the admissibility of the document
should be raised before such endorsement is made and the Court is obliged
to form its opinion on the question of admissibility and express the same on
which opinion would depend the document being endorsed as admitted or
not admitted in evidence. In the latter case, the document may be returned
by the Court to the person from whose custody it was produced.
 The learned counsel for the defendant-respondent has relied on The
Roman Catholic Mission Vs. The State of Madras & Anr. AIR 1966 SC
1457 in support of his submission that a document not admissible in
evidence, though brought on record, has to be excluded from consideration.
We do not have any dispute with the proposition of law so laid down in the
abovesaid case. However, the present one is a case which calls for the
correct position of law being made precise. Ordinarily an objection to the
admissibility of evidence should be taken when it is tendered and not
subsequently. The objections as to admissibility of documents in evidence
may be classified into two classes:- (i) an objection that the document which
is sought to be proved is itself inadmissible in evidence; and (ii) where the
objection does not dispute the admissibility of the document in evidence but
is directed towards the mode of proof alleging the same to be irregular or
insufficient. In the first case, merely because a document has been marked
as ’an exhibit’, an objection as to its admissibility is not excluded and is
available to be raised even at a later stage or even in appeal or revision. In http://JUDIS.NIC.IN SUPREME COURT OF INDIA Page 6 of 9
the latter case, the objection should be taken before the evidence is tendered
and once the document has been admitted in evidence and marked as an
exhibit, the objection that it should not have been admitted in evidence or
that the mode adopted for proving the document is irregular cannot be
allowed to be raised at any stage subsequent to the marking of the document
as an exhibit. The later proposition is a rule of fair play. The crucial test is
whether an objection, if taken at the appropriate point of time, would have
enabled the party tendering the evidence to cure the defect and resort to such
mode of proof as would be regular. The omission to object becomes fatal
because by his failure the party entitled to object allows the party tendering
the evidence to act on an assumption that the opposite party is not serious
about the mode of proof. On the other hand, a prompt objection does not
prejudice the party tendering the evidence, for two reasons: firstly, it enables
the Court to apply its mind and pronounce its decision on the question of
admissibility then and there; and secondly, in the event of finding of the
Court on the mode of proof sought to be adopted going against the party
tendering the evidence, the opportunity of seeking indulgence of the Court
for permitting a regular mode or method of proof and thereby removing the
objection raised by the opposite party, is available to the party leading the
evidence. Such practice and procedure is fair to both the parties. Out of the
two types of objections, referred to hereinabove, in the later case, failure to
raise a prompt and timely objection amounts to waiver of the necessity for
insisting on formal proof of a document, the document itself which is sought
to be proved being admissible in evidence. In the first case, acquiescence
would be no bar to raising the objection in superior Court.
Privy Council in Padman and Others vs. Hanwanta and Others [AIR
1915 PC 111] did not permit the appellant to take objection to the
admissibility of a registered copy of a will in appeal for the first time. It was
held that this objection should have been taken in the trial court. It was
observed:
"The defendants have now appeal to the Majesty in
Council, and the case has been argued on their
behalf in great detail. It was urged in the course of
the argument that a registered copy of the will of
1898 was admitted in evidence without sufficient
foundation being led for its admission. No
objection, however, appears to have been taken in
the first court against the copy obtained from the
Registrar’s office being put in evidence. Had such
objection being made at the time, the District
Judge, who tried the case in the first instance,
would probably have seen that the deficiency was
supplied. Their lordships think that there is no
substance in the present contention."
 Similar is the view expressed by this Court in P.C.Purushothama
Reddiar vs. S.Perumal [1972 (2) SCR 646]. In this case the police reports
were admitted in evidence without any objection and the objection was
sought to be taken in appeal regarding the admissibility of the reports.
Rejecting the contention it was observed:
"Before leaving this case it is necessary to refer to
one of the contention taken by Mr. Ramamurthi,
learned counsel for the respondent. He contended
that the police reports referred to earlier are
inadmissible in evidence as the Head-constables
who covered those meetings have not been
examined in the case. Those reports were marked
without any objection. Hence it is not open to the
respondent now to object to their admissibility â\200\223
see Bhagat Ram V. Khetu Ram and Anr. [AIR
1929 PC 110]."
 Since documents A30 and A34 were admitted in evidence without
any objection, the High Court erred in holding that these documents were
inadmissible being photo copies, the originals of which were not produced.http://JUDIS.NIC.IN SUPREME COURT OF INDIA Page 7 of 9
So is the observation of the High Court that the photocopy of the rent
note was not readable. The photocopy was admitted in evidence, as already
stated. It was read by the trial court as also by the first Appellate Court.
None of the said two courts appear to have felt any difficulty in reading the
document and understanding and appreciating its contents. May be, that the
copy had fainted by the time the matter came up for hearing before the High
Court. The High Court if it felt any difficulty in comfortable reading of the
document then should have said so at the time of hearing and afforded the
parties an opportunity of either producing the original or a readable copy of
the document. Nothing such was done. The High Court has not even
doubted the factum of the contents of the document having been read by the
two courts below, drawn deductions therefrom and based their finding of
fact on this document as well. All that the High Court has said is that the
document was inadmissible in evidence being a photocopy and with that
view we have already expressed our disagreement. Nothing, therefore, turns
on the observation of the High Court that the document was not readable
when the matter came up for hearing before it.
 Exhibit A34 is a decision of the Deputy Commissioner in exercise of
his jurisdiction under the Act. He has recorded a finding that the temple is
not the owner of the property in dispute. This decision has become final
between the parties. This document has relevance at least to the extent that
the temple was held by Charity Commissioner to be not the owner of the
property. Consequence of this would be that the attornment by the tenant in
favour of temple during the continuance of tenancy in favour of the
appellant was not valid. The defendant No.2 had attorned as a tenant to
temple treating the latter to be the owner which it could not do as he was
inducted as tenant by the appellant and the estoppel flowing from Section
116 of the Evidence Act operated against him.
 From the other documents produced by the appellant i.e. the account
books and Exhibit A34 rent note, it is proved that tenant had always been
treating the appellant as landlord and paying rent to him. Only after 1969
tenant started paying rent to the temple treating it to be the landlord. In the
property tax register the appellant and prior to that his predecessors have
been shown to be the owners. An entry in the municipal record is not
evidence of title. The entry shows the person who was held liable to pay the
rates and taxes to the municipality. The entry may also, depending on the
scope of the provision contemplating such entry, constitute evidence of the
person recorded being in possession of the property. Such entries spread
over a number of years go to show that the person entered into the records
was paying the tax relating to the property and was being acknowledged by
the local authority as the person liable to pay the taxes. If the property
belonged to the temple, there is no reason why the temple would not have
taken steps for having its own name mutated into the municipal records and
commencing payment of taxes or claimed exemption from payment of taxes
if the charity was entitled under the law to exemption from payment of
taxes. Temple has not been able to produce any evidence oral or
documentary to prove its title to the property. Only because tenant attorned
to the temple and started paying rent to the temple in 1969 or that the temple
paid the property tax to the municipal committee after 1969 does not
establish its title to the property in question. These documents are not of
much evidentiary value as these documents came in existence after the
dispute had arisen between the parties. In the absence of any other lawful
claimant the appellant on the strength of the documents produced by was
rightly held to be the owner by the Courts below the High Court.
Attornment by the tenant in favour of the temple was also rightly held to be
invalid. The appellant, in our opinion, would be entitled to recover
possession well as the arrears of rent.
The High Court has, for the purpose of non-suiting the plaintiff,
placed reliance on Brahma Nand Puri Vs. Neki Pur since deceased
represented by Mathra Puri & Anr., AIR 1965 SC 1506, wherein it has
been held that in a suit for ejectment the plaintiff has to succeed or fail on
the title he establishes and if he cannot succeed on the strength of his title his http://JUDIS.NIC.IN SUPREME COURT OF INDIA Page 8 of 9
suit must fail notwithstanding that the defendant in possession has no title to
the property. The law has been correctly stated and the High Court rightly
felt bound to follow the law as laid down by this Court. However, the
question is one of applicability of the law so stated by this Court.
 Whether a civil or a criminal case, the anvil for testing of ’proved’,
’disproved’ and ’not proved’, as defined in Section 3 of the Indian Evidence
Act, 1872 is one and the same. A fact is said to be ’proved’ when, if
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 a particular case, to act upon the supposition that it exists.
It is the evaluation of the result drawn by applicability of the rule, which
makes the difference. "The probative effects of evidence in civil and
criminal cases are not however always the same and it has been laid down
that a fact may be regarded as proved for purposes of a civil suit, though the
evidence may not be considered sufficient for a conviction in a criminal
case. BEST says : There is a strong and marked difference as to the effect of
evidence in civil and criminal proceedings. In the former a mere
preponderance of probability, due regard being had to the burden of proof, is
a sufficient basis of decision: but in the latter, especially when the offence
charged amounts to treason or felony, a much higher degree of assurance is
required. (BEST, S. 95). While civil cases may be proved by a mere
preponderance of evidence, in criminal cases the prosecution must prove the
charge beyond reasonable doubt." (See Sarkar on Evidence, 15th Edition,
pp.58-59) In the words of Denning LJ (Bater Vs. B, 1950, 2 All ER
458,459) "It is true that by our law there is a higher standard of proof in
criminal cases then in civil cases, but this is subject to the qualification that
there is no absolute standard in either case. In criminal cases the charge
must be proved beyond reasonable doubt, but there may be degrees of proof
within that standard. So also in civil cases there may be degrees of
probability." Agreeing with this statement of law, Hodson, LJ said "Just as
in civil cases the balance of probability may be more readily fitted in one
case than in another, so in criminal cases proof beyond reasonable doubt
may more readily be attained in some cases than in others." (Hornal V.
Neuberger P. Ltd., 1956 3 All ER 970, 977).
 In a suit for recovery of possession based on title it is for the plaintiff
to prove his title and satisfy the Court that he, in law, is entitled to
dispossess the defendant from his possession over the suit property and for
the possession to be restored with him. However, as held in A.
Raghavamma & Anr. Vs. Chenchamma & Anr., AIR 1964 SC 136, there is
an essential distinction between burden of proof and onus of proof: burden
of proof lies upon a person who has to prove the fact and which never shifts.
Onus of proof shifts. Such a shifting of onus is a continuous process in the
evaluation of evidence. In our opinion, in a suit for possession based on title
once the plaintiff has been able to create a high degree of probability so as to
shift the onus on the defendant it is for the defendant to discharge his onus
and in the absence thereof the burden of proof lying on the plaintiff shall be
held to have been discharged so as to amount to proof of the plaintiff’s title.
 In the present case, the trial Court and the first appellate Court have
noted that the plaintiff has not been able to produce any deed of title directly
lending support to his claim for title and at the same time the defendant too
has no proof of his title much less even an insignia of title. Being a civil
case, the plaintiff cannot be expected to proof his title beyond any
reasonable doubt; a high degree of probability lending assurance of the
availability of title with him would be enough to shift the onus on the
defendant and if the defendant does not succeed in shifting back the onus,
the plaintiff’s burden of proof can safely be deemed to have been
discharged. In the opinion of the two Courts below, the plaintiff had
succeeded in shifting the onus on the defendant and, therefore, the burden of
proof which lay on the plaintiff had stood discharged. The High Court, in
exercise of its limited jurisdiction under Section 100 of CPC, ought not to
have entered into the evaluation of evidence afresh. The High Court has
interfered with a pure and simple finding of fact based on appreciation of http://JUDIS.NIC.IN SUPREME COURT OF INDIA Page 9 of 9
oral and documentary evidence which the High Court ought not to have
done.
 The suit property, which is a shop, is situated just adjoining the
property owned by the temple. It has come in the evidence that the property
which is now owned by the temple was at one time owned by the forefathers
of the plaintiff and they made an endowment in favour of the temple. The
father of the plaintiff, and then the plaintiff, continued to be the trustees.
The trouble erupted when in the late sixties the Charity Commissioner
appointed other trustees and Chief Executive Officer of the trust dislodging
the plaintiff from trusteeship. The plaintiff staked his claim to trusteeship of
the temple submitting that the office of the trustee of the temple was
hereditary and belonged to the plaintiff. The plaintiff was managing the
trust property as trustee while the property adjoining to the property of the
temple, i.e. the suit property, was in possession of the plaintiff as owner
occupied by the tenant, the defendant No.2., inducted as such by the father
of the plaintiff. At the instance of the Chief Executive Officer of the trust,
the defendant No.2, during the continuance of the tenancy in favour of the
plaintiff, executed a rent note in favour of the temple attorning the latter as
his landlord. This the defendant no.2 could not have done in view of the rule
of estoppel as contained in Section 116 of the Evidence Act. It was at the
instance of the newly appointed trustees and the Chief Executive Officer
who on behalf of the temple started claiming the suit property in occupation
of the tenant, defendant No.2, to be trust property belonging to the temple.
But for this subsequent development the title of the plaintiff to the suit
property would not have been in jeopardy and there would have been no
occasion to file the present suit.
 The learned counsel for the temple, defendant-respondent No.1,
faintly urged that the appellant being a trustee of the temple was trying to
misappropriate the property belonging to the temple. For such an
insinuation there is neither any averment in the written statement nor any
evidence laid. Such a submission made during the course of hearing has
been noted by us only to be summarily rejected. We have already held that
the appellant is the owner of the suit property entitled to its possession and
recovery of arrears of rent from the defendant No.2.
 The offshoot of the above discussion is that no question of law much
less a substantial question of law arose in the case worth being gone into the
by the High Court in exercise of its second appellate jurisdiction under
Section 100 of the CPC. The High Court was bound by the findings of fact
arrived at by the two courts below and should not have entered into the
exercise of re-appreciating and evaluating the evidence. The findings of
facts arrived at by the courts below did not suffer from any perversity. There
was no non-reading or misreading of the evidence. A high degree of
preponderance of probability proving title to the suit property was raised in
favour of the appellant and the courts below rightly concluded the burden of
proof raised on the plaintiff having been discharged while the onus shifting
on the defendant remaining undischarged. The judgment of the High Court
cannot be sustained and has to be set aside.
 For the reasons stated above, the appeal is accepted. Judgment and
decree of the High Court is set aside and that of the trial court as confirmed
by the first appellate Court is restored. No costs. 

Monday, June 17, 2013

Court Fees Act, 1870 - s. 7(iv)(c) and (v) - Court fee - Computation of - In suits for a declaratory decree and consequential benefits - Filing of civil suit - Prayer for declaration that sale deed not binding on co- parcenary and for joint possession and court fee paid u/s. 7(iv)(c) - Courts below holding that the prayer was to seek cancellation of sale deeds and thus, court fee to be paid on the sale consideration mentioned in sale deeds - On appeal, held: Prayer was not for cancellation of sale deed but for a declaration that sale deed not binding on co-parcenary and for joint possession - Plaintiff was non-executant of sale deed - Thus, court fee was computable u/s. 7(iv)(c) - Orders of courts below set aside. The question which arose for consideration in these appeals is as to what is the court fee payable in regard to the prayer for a declaration that the sale deeds were void and not `binding on the co-parcenary', and for the consequential relief of joint possession and injunction.=Allowing the appeals, the Court HELD: 1.1 Where the executant of a deed wants it to be annulled, he has to seek cancellation of the deed. But if a non-executant seeks annulment of a deed, he has to seek a declaration that the deed is invalid, or non-est, or illegal or that it is not binding on him. There is a difference between a prayer for cancellation and declaration in regard to a deed of transfer/conveyance. In essence in both the cases parties may be suing to have the deed set aside or declared as non-binding. But the form is different and court fee is also different. If the executant of the deed seeks cancellation of the deed, he has to pay ad-valorem court fee on the consideration stated in the sale deed. If the non-executant is in possession and sues for a declaration that the deed is null or void and does not bind him or his share, he has to merely pay a fixed court fee of Rs. 19.50 under Article 17(iii) of Second Schedule of the Court Fees Act, 1870. But if the non-executant is not in possession, and he seeks not only a declaration that the sale deed is invalid, but also the consequential relief of possession, he has to pay an ad-valorem court fee as provided under section 7(iv)(c) of the Act. Section 7(iv)(c) of the Act provides that in suits for a declaratory decree with consequential relief, the court fee shall be computed according to the amount at which the relief sought is valued in the plaint. The proviso thereto makes it clear that where the suit for declaratory decree with consequential relief is with reference to any property, such valuation shall not be less than the value of the property calculated in the manner provided for by clause (v) of section 7. [Para 6] 1.2. In the instant case, there is no prayer for cancellation of the sale deeds. The prayer is for a declaration that the deeds do not bind the "co- parcenery" and for joint possession. The plaintiff in the suit was not the executant of the sale deeds. Therefore, the court fee was computable under section 7(iv)(c) of the Act. The trial court and the High Court were not justified in holding that the effect of the prayer was to seek cancellation of the sale deeds and therefore, court fee had to be paid on the sale consideration mentioned in the sale deeds. Thus, the orders of the trial court and the High Court directing payment of court fee on the sale consideration under the sale deeds are set aside and trial court is directed to calculate the court fee in accordance with section 7(iv)(c) read with section 7(v) of the Act. [Paras 7 and 8] CIVIL APPELLATE JURISDICTION : Civil Appeal Nos. 2811-2813 of 2010. From the Judgment AND Order dated 19.3.2007 order dated 11.2.2008 and 16.5.2008 passed by the High Court of Punjab and Haryana at Chandigarh in CR No. 1482/2007 and RA No. 35 CII/2007 in Civil Revision No. 1482/2007 and C.M. No. #9445-C-II/2008 in C.M.#7001-C-II/2008 in R.A. 35-C-II/2007 in Civil Reivision #1482/2007. Suhrid Singh appellant in person. Labh Singh Bhangu and Madhu Moolchandani for the Respondent.

Reportable
IN THE SUPREME COURT OF INDIA
CIVIL APPELLATE JURISDICTION
CIVIL APPEAL NOS. 2811-2813 OF 2010
[Arising out of SLP [C] Nos.6745-47/2009]
Suhrid Singh @ Sardool Singh … Appellant
Vs.
Randhir Singh & Ors. … Respondents
J U D G M E N T
R.V.RAVEENDRAN, J.
Leave granted.
The appellant filed a suit (Case No.381/2007) on the file of the Civil
Judge, Senior Division, Chandigarh for several reliefs. The plaint contains
several elaborate prayers, summarizes below :
(i) for a declaration that two houses and certain agricultural lands
purchased by his father S. Rajinder Singh were co-parcenary properties as
they were purchased from the sale proceeds of ancestral properties, and that
he was entitled to joint possession thereof;
1(ii) for a declaration that the will dated 14.7.1985 with the codicil dated
17.8.1988 made in favour of the third defendant, and gift deed dated
10.9.2003 made in favour of fourth defendant were void and non-est “qua
the co-parcenary”;
(iii) for a declaration that the sale deeds dated 20.4.2001, 24.4.2001 and
6.7.2001 executed by his father S. Rajinder Singh in favour of the first
defendant and sale deed dated 27.9.2003 executed by the alleged power of
attorney holder of S.Rajender Singh in favour of second defendant, in regard
to certain agricultural lands (described in the prayer), are null and void qua
the rights of the “co-parcenary”, as they were not for legal necessity or for
benefit of the family; and
(iv) for consequential injunctions restraining defendants 1 to 4 from
alienating the suit properties.
2. The appellant claims to have paid a court fee of Rs.19.50 for the relief
of declaration, Rs.117/- for the relief of joint possession, and Rs.42/- for the
relief of permanent injunction, in all Rs.179/-. The learned Civil Judge heard
the appellant-plaintiff on the question of court fee and made an order dated
27.2.2007 holding that the prayers relating to the sale deeds amounted to
seeking cancellation of the sale deeds and therefore ad valorem court fee
was payable on the sale consideration in respect of the sale deeds.
23. Feeling aggrieved the appellant filed a revision contending that he had
paid the court fee under section 7(iv)(c) of the Court-fees Act, 1870; and that
the suit was not for cancellation of any sale deed and therefore the court fee
paid by him was adequate and proper. The High Court by the impugned
order dated 19.3.2007 dismissed the revision petition holding that if a decree
is granted as sought by the plaintiff, it would amount to cancellation of the
sale deeds and therefore, the order of the trial court did not call for
interference. The application filed by the appellant for review was dismissed
on 11.2.2008. The application for recalling the order dated 19.3.2007 was
dismissed on 24.4.2008 and further application for recalling the order dated
24.4.2008 was dismissed on 16.5.2008. Feeling aggrieved, the appellant has
filed these appeals by special leave.
4. The limited question that arises for consideration is what is the court
fee payable in regard to the prayer for a declaration that the sale deeds were
void and not ‘binding on the co-parcenary’, and for the consequential relief
of joint possession and injunction.
5. Court fee in the State of Punjab is governed by the Court Fees Act,
1870 as amended in Punjab (‘Act’ for short). Section 6 requires that no
document of the kind specified as chargeable in the First and Second
Schedules to the Act shall be filed in any court, unless the fee indicated
3therein is paid. Entry 17(iii) of Second Schedule requires payment of a court
fee of Rs.19/50 on plaints in suits to obtain a declaratory decree where no
consequential relief is prayed for. But where the suit is for a declaration and
consequential relief of possession and injunction, court fee thereon is
governed by section 7(iv)(c) of the Act which provides :
“7. Computation of fees payable in certain suits : The amount of fee
payable under this Act in the suits next hereinafter mentioned shall be
computed as follows :
(iv) in suits – x x x x (c) for a declaratory decree and consequential
relief.- to obtain a declaratory decree or order, where consequential relief
is prayed, x x x x x according to the amount at which the relief sought is
valued in the plaint or memorandum of appeal.
In all such suits the plaintiff shall state the amount at which he values the
relief sought:
Provided that minimum court-fee in each shall be thirteen rupees.
Provided further that in suits coming under sub-clause (c), in cases where
the relief sought is with reference to any property such valuation shall not
be less than the value of the property calculated in the manner provided
for by clause (v) of this section.”
The second proviso to section 7(iv) of the Act will apply in this case and the
valuation shall not be less than the value of the property calculated in the
manner provided for by clause (v) of the said section. Clause (v) provides
that where the relief is in regard to agricultural lands, court fee should be
reckoned with reference to the revenue payable under clauses (a) to (d)
4thereof; and where the relief is in regard to the houses, court fee shall be on
the market value of the houses, under clause (e) thereof.
6. Where the executant of a deed wants it to be annulled, he has to seek
cancellation of the deed. But if a non-executant seeks annulment of a deed,
he has to seek a declaration that the deed is invalid, or non-est, or illegal or
that it is not binding on him.
The difference between a prayer for
cancellation and declaration in regard to a deed of transfer/conveyance, can
be brought out by the following illustration relating to ‘A’ and ‘B’ -- two
brothers. ‘A’ executes a sale deed in favour of ‘C’. Subsequently ‘A’ wants
to avoid the sale. ‘A’ has to sue for cancellation of the deed. On the other
hand, if ‘B’, who is not the executant of the deed, wants to avoid it, he has to
sue for a declaration that the deed executed by ‘A’ is invalid/void and nonest/ illegal and he is not bound by it. In essence both may be suing to have
the deed set aside or declared as non-binding. But the form is different and
court fee is also different. If ‘A’, the executant of the deed, seeks
cancellation of the deed, he has to pay ad-valorem court fee on the
consideration stated in the sale deed. If ‘B’, who is a non-executant, is in
possession and sues for a declaration that the deed is null or void and does
not bind him or his share, he has to merely pay a fixed court fee of Rs. 19.50
5under Article 17(iii) of Second Schedule of the Act. But if ‘B’, a nonexecutant, is not in possession, and he seeks not only a declaration that the
sale deed is invalid, but also the consequential relief of possession, he has to
pay an ad-valorem court fee as provided under Section 7(iv)(c) of the Act.
Section 7(iv)(c) provides that in suits for a declaratory decree with
consequential relief, the court fee shall be computed according to the amount
at which the relief sought is valued in the plaint. The proviso thereto makes
it clear that where the suit for declaratory decree with consequential relief is
with reference to any property, such valuation shall not be less than the
value of the property calculated in the manner provided for by clause (v) of
Section 7.
7. In this case, there is no prayer for cancellation of the sale deeds. The
prayer is for a declaration that the deeds do not bind the “co-parcenery” and
for joint possession. The plaintiff in the suit was not the executant of the sale
deeds. Therefore, the court fee was computable under section 7(iv)(c) of the
Act. The trial court and the High Court were therefore not justified in
holding that the effect of the prayer was to seek cancellation of the sale
deeds or that therefore court fee had to be paid on the sale consideration
mentioned in the sale deeds.
68. We accordingly allow these appeals, set aside the orders of the trial
court and the High Court directing payment of court fee on the sale
consideration under the sale deeds dated 20.4.2001, 24.4.2001, 6.7.2001 and
27.9.2003 and direct the trial court to calculate the court fee in accordance
with Section 7(iv)(c) read with Section 7(v) of the Act, as indicated above,
with reference to the plaint averments.
……………………..J.
(R V Raveendran)
New Delhi; …………………….J.
March 29, 2010. (R M Lodha)
7

Sunday, June 16, 2013

Each human gene is encoded as deoxyribonucleic acid (DNA), which takes the shape of a “double helix.” Each “cross-bar” in that helix consists of two chemically joined nucleotides. Sequences of DNA nucleotides contain the information necessary to create strings of amino acids used to build proteins in the body. The nucleotides that code for amino acids are “exons,” and those that do not are “introns.” Scientists can extract DNA from cells to isolate specific segments for study. They can also synthetically create exons-only strands of nucleotides known as complementary DNA (cDNA). cDNA contains only the exons that occur in DNA, omitting the intervening introns. Respondent Myriad Genetics, Inc. (Myriad), obtained several patents after discovering the precise location and sequence of the BRCA1 and BRCA2 genes, mutations of which can dramatically increase the risk of breast and ovarian cancer. This knowledge allowed Myriad to determine the genes’ typical nucleotide sequence, which, in turn, enabled it to develop medical tests useful for detecting mutations in these genes in a particular patient to assess the patient’s cancer risk. If valid, Myriad’s patents would give it the exclusive right to isolate an individual’s BRCA1 and BRCA2 genes, and would give Myriad the exclusive right to synthetically create BRCA cDNA. Petitioners filed suit, seeking a declaration that Myriad’s patents are invalid under 35 U. S. C. §101. As relevant here, the District Court granted summary judgment to petitioners, concluding that Myriad’s claims were invalid because they covered products of nature. The Federal Circuit initially reversed, but on remand in light of Mayo Collaborative Services v. Prometheus Laboratories, Inc., 566 U. S. ___, the Circuit found both isolated DNA and cDNA patent eligible. 2 ASSOCIATION FOR MOLECULAR PATHOLOGY v. MYRIAD GENETICS, INC. Syllabus Held: A naturally occurring DNA segment is a product of nature and not patent eligible merely because it has been isolated, but cDNA is patent eligible because it is not naturally occurring. Pp. 10–18. (a) The Patent Act permits patents to be issued to “[w]hoever invents or discovers any new and useful . . . composition of matter,” §101, but “laws of nature, natural phenomena, and abstract ideas” “ ‘are basic tools of scientific and technological work’ ” that lie beyond the domain of patent protection, Mayo, supra, at ___. The rule against patents on naturally occurring things has limits, however. Patent protection strikes a delicate balance between creating “incentives that lead to creation, invention, and discovery” and “imped[ing] the flow of information that might permit, indeed spur, invention.” Id., at ___. This standard is used to determine whether Myriad’s patents claim a “new and useful . . . composition of matter,” §101, or claim naturally occurring phenomena. Pp. 10–11. (b) Myriad’s DNA claim falls within the law of nature exception. Myriad’s principal contribution was uncovering the precise location and genetic sequence of the BRCA1 and BRCA2 genes. Diamond v. Chakrabarty, 447 U. S. 303, is central to the patent-eligibility inquiry whether such action was new “with markedly different characteristics from any found in nature,” id., at 310. Myriad did not create or alter either the genetic information encoded in the BCRA1 and BCRA2 genes or the genetic structure of the DNA. It found an important and useful gene, but groundbreaking, innovative, or even brilliant discovery does not by itself satisfy the §101 inquiry. See Funk Brothers Seed Co. v. Kalo Inoculant Co., 333 U. S. 127. Finding the location of the BRCA1 and BRCA2 genes does not render the genes patent eligible “new . . . composition[s] of matter,” §101. Myriad’s patent descriptions highlight the problem with its claims: They detail the extensive process of discovery, but extensive effort alone is insufficient to satisfy §101’s demands. Myriad’s claims are not saved by the fact that isolating DNA from the human genome severs the chemical bonds that bind gene molecules together. The claims are not expressed in terms of chemical composition, nor do they rely on the chemical changes resulting from the isolation of a particular DNA section. Instead, they focus on the genetic information encoded in the BRCA1 and BRCA2 genes. Finally, Myriad argues that the Patent and Trademark Office’s past practice of awarding gene patents is entitled to deference, citing J. E. M. Ag Supply, Inc. v. Pioneer Hi-Bred Int’l, Inc., 534 U. S. 124, a case where Congress had endorsed a PTO practice in subsequent legislation. There has been no such endorsement here, and the United States argued in the Federal Circuit and in this Court that isolated DNA was not patent eligible under §101. Pp. 12–16. Cite as: 569 U. S. ____ (2013) 3 Syllabus (c) cDNA is not a “product of nature,” so it is patent eligible under §101. cDNA does not present the same obstacles to patentability as naturally occurring, isolated DNA segments. Its creation results in an exons-only molecule, which is not naturally occurring. Its order of the exons may be dictated by nature, but the lab technician unquestionably creates something new when introns are removed from a DNA sequence to make cDNA. Pp. 16–17. (d) This case, it is important to note, does not involve method claims, patents on new applications of knowledge about the BRCA1 and BRCA2 genes, or the patentability of DNA in which the order of the naturally occurring nucleotides has been altered. Pp. 17–18. 689 F. 3d 1303, affirmed in part and reversed in part.

(Slip Opinion) OCTOBER TERM, 2012 1
Syllabus
NOTE: Where it is feasible, a syllabus (headnote) will be released, as is
being done in connection with this case, at the time the opinion is issued.
The syllabus constitutes no part of the opinion of the Court but has been
prepared by the Reporter of Decisions for the convenience of the reader.
See United States v. Detroit Timber & Lumber Co., 200 U. S. 321, 337.
SUPREME COURT OF THE UNITED STATES
Syllabus
ASSOCIATION FOR MOLECULAR PATHOLOGY ET AL.
v. MYRIAD GENETICS, INC., ET AL.
CERTIORARI TO THE UNITED STATES COURT OF APPEALS FOR
THE FEDERAL CIRCUIT
No. 12–398. Argued April 15, 2013—Decided June 13, 2013
Each human gene is encoded as deoxyribonucleic acid (DNA), which
takes the shape of a “double helix.” Each “cross-bar” in that helix
consists of two chemically joined nucleotides. Sequences of DNA nucleotides contain the information necessary to create strings of amino
acids used to build proteins in the body. The nucleotides that code
for amino acids are “exons,” and those that do not are “introns.” Scientists can extract DNA from cells to isolate specific segments for
study. They can also synthetically create exons-only strands of nucleotides known as complementary DNA (cDNA). cDNA contains only the
exons that occur in DNA, omitting the intervening introns.
Respondent Myriad Genetics, Inc. (Myriad), obtained several patents after discovering the precise location and sequence of the
BRCA1 and BRCA2 genes, mutations of which can dramatically increase the risk of breast and ovarian cancer. This knowledge allowed
Myriad to determine the genes’ typical nucleotide sequence, which, in
turn, enabled it to develop medical tests useful for detecting mutations in these genes in a particular patient to assess the patient’s
cancer risk. If valid, Myriad’s patents would give it the exclusive
right to isolate an individual’s BRCA1 and BRCA2 genes, and would
give Myriad the exclusive right to synthetically create BRCA cDNA.
Petitioners filed suit, seeking a declaration that Myriad’s patents are
invalid under 35 U. S. C. §101. As relevant here, the District Court
granted summary judgment to petitioners, concluding that Myriad’s
claims were invalid because they covered products of nature. The
Federal Circuit initially reversed, but on remand in light of Mayo
Collaborative Services v. Prometheus Laboratories, Inc., 566 U. S. ___,
the Circuit found both isolated DNA and cDNA patent eligible. 2 ASSOCIATION FOR MOLECULAR PATHOLOGY v.
MYRIAD GENETICS, INC.
Syllabus
Held: A naturally occurring DNA segment is a product of nature and
not patent eligible merely because it has been isolated, but cDNA is
patent eligible because it is not naturally occurring. Pp. 10–18.
(a) The Patent Act permits patents to be issued to “[w]hoever invents or discovers any new and useful . . . composition of matter,”
§101, but “laws of nature, natural phenomena, and abstract ideas”
“ ‘are basic tools of scientific and technological work’ ” that lie beyond
the domain of patent protection, Mayo, supra, at ___. The rule
against patents on naturally occurring things has limits, however.
Patent protection strikes a delicate balance between creating “incentives that lead to creation, invention, and discovery” and “imped[ing]
the flow of information that might permit, indeed spur, invention.”
Id., at ___. This standard is used to determine whether Myriad’s patents claim a “new and useful . . . composition of matter,” §101, or
claim naturally occurring phenomena. Pp. 10–11.
(b) Myriad’s DNA claim falls within the law of nature exception.
Myriad’s principal contribution was uncovering the precise location
and genetic sequence of the BRCA1 and BRCA2 genes. Diamond v.
Chakrabarty, 447 U. S. 303, is central to the patent-eligibility inquiry
whether such action was new “with markedly different characteristics from any found in nature,” id., at 310. Myriad did not create or
alter either the genetic information encoded in the BCRA1 and
BCRA2 genes or the genetic structure of the DNA. It found an important and useful gene, but groundbreaking, innovative, or even
brilliant discovery does not by itself satisfy the §101 inquiry. See
Funk Brothers Seed Co. v. Kalo Inoculant Co., 333 U. S. 127. Finding
the location of the BRCA1 and BRCA2 genes does not render the
genes patent eligible “new . . . composition[s] of matter,” §101. Myriad’s patent descriptions highlight the problem with its claims: They
detail the extensive process of discovery, but extensive effort alone is
insufficient to satisfy §101’s demands. Myriad’s claims are not saved
by the fact that isolating DNA from the human genome severs the
chemical bonds that bind gene molecules together. The claims are
not expressed in terms of chemical composition, nor do they rely on
the chemical changes resulting from the isolation of a particular DNA
section. Instead, they focus on the genetic information encoded in the
BRCA1 and BRCA2 genes. Finally, Myriad argues that the Patent
and Trademark Office’s past practice of awarding gene patents is entitled to deference, citing J. E. M. Ag Supply, Inc. v. Pioneer Hi-Bred
Int’l, Inc., 534 U. S. 124, a case where Congress had endorsed a PTO
practice in subsequent legislation. There has been no such endorsement here, and the United States argued in the Federal Circuit and
in this Court that isolated DNA was not patent eligible under §101.
Pp. 12–16. Cite as: 569 U. S. ____ (2013) 3
Syllabus
(c) cDNA is not a “product of nature,” so it is patent eligible under
§101. cDNA does not present the same obstacles to patentability as
naturally occurring, isolated DNA segments. Its creation results in
an exons-only molecule, which is not naturally occurring. Its order of
the exons may be dictated by nature, but the lab technician unquestionably creates something new when introns are removed from a
DNA sequence to make cDNA. Pp. 16–17.
(d) This case, it is important to note, does not involve method
claims, patents on new applications of knowledge about the BRCA1
and BRCA2 genes, or the patentability of DNA in which the order of
the naturally occurring nucleotides has been altered. Pp. 17–18.
689 F. 3d 1303, affirmed in part and reversed in part.
THOMAS, J., delivered the opinion of the Court, in which ROBERTS,
C. J., and KENNEDY, GINSBURG, BREYER, ALITO, SOTOMAYOR, and KAGAN,
JJ., joined, and in which SCALIA, J., joined in part. SCALIA, J., filed an
opinion concurring in part and concurring in the judgment. _________________
_________________
Cite as: 569 U. S. ____ (2013) 1
Opinion of the Court
NOTICE: This opinion is subject to formal revision before publication in the
preliminary print of the United States Reports. Readers are requested to
notify the Reporter of Decisions, Supreme Court of the United States, Washington, D. C. 20543, of any typographical or other formal errors, in order
that corrections may be made before the preliminary print goes to press.
SUPREME COURT OF THE UNITED STATES
No. 12–398
ASSOCIATION FOR MOLECULAR PATHOLOGY,
ET AL., PETITIONERS v. MYRIAD
GENETICS, INC., ET AL.
ON WRIT OF CERTIORARI TO THE UNITED STATES COURT OF
APPEALS FOR THE FEDERAL CIRCUIT
[June 13, 2013]
JUSTICE THOMAS delivered the opinion of the Court.
Respondent Myriad Genetics, Inc. (Myriad), discovered
the precise location and sequence of two human genes,
mutations of which can substantially increase the risks of
breast and ovarian cancer. Myriad obtained a number
of patents based upon its discovery. This case involves
claims from three of them and requires us to resolve
whether a naturally occurring segment of deoxyribonucleic
acid (DNA) is patent eligible under 35 U. S. C. §101 by
virtue of its isolation from the rest of the human genome.
We also address the patent eligibility of synthetically
created DNA known as complementary DNA (cDNA), which
contains the same protein-coding information found in
a segment of natural DNA but omits portions within the
DNA segment that do not code for proteins. For the reasons that follow, we hold that a naturally occurring DNA
segment is a product of nature and not patent eligible
merely because it has been isolated, but that cDNA is
patent eligible because it is not naturally occurring. We,
therefore, affirm in part and reverse in part the decision of 2 ASSOCIATION FOR MOLECULAR PATHOLOGY v.
MYRIAD GENETICS, INC.
Opinion of the Court
the United States Court of Appeals for the Federal Circuit.
I
A
Genes form the basis for hereditary traits in living
organisms. See generally Association for Molecular Pathology v. United States Patent and Trademark Office, 702
F. Supp. 2d 181, 192–211 (SDNY 2010). The human genome consists of approximately 22,000 genes packed into
23 pairs of chromosomes. Each gene is encoded as DNA,
which takes the shape of the familiar “double helix”
that Doctors James Watson and Francis Crick first described in 1953. Each “cross-bar” in the DNA helix consists of two chemically joined nucleotides. The possible
nucleotides are adenine (A), thymine (T), cytosine (C), and
guanine (G), each of which binds naturally with another
nucleotide: A pairs with T; C pairs with G. The nucleotide
cross-bars are chemically connected to a sugar-phosphate
backbone that forms the outside framework of the DNA
helix. Sequences of DNA nucleotides contain the information necessary to create strings of amino acids, which
in turn are used in the body to build proteins. Only some
DNA nucleotides, however, code for amino acids; these
nucleotides are known as “exons.” Nucleotides that do not
code for amino acids, in contrast, are known as “introns.”
Creation of proteins from DNA involves two principal
steps, known as transcription and translation. In transcription, the bonds between DNA nucleotides separate,
and the DNA helix unwinds into two single strands. A
single strand is used as a template to create a complementary ribonucleic acid (RNA) strand. The nucleotides on the
DNA strand pair naturally with their counterparts, with
the exception that RNA uses the nucleotide base uracil (U)
instead of thymine (T). Transcription results in a single
strand RNA molecule, known as pre-RNA, whose nucleotides form an inverse image of the DNA strand from which Cite as: 569 U. S. ____ (2013) 3
Opinion of the Court
it was created. Pre-RNA still contains nucleotides corresponding to both the exons and introns in the DNA molecule. The pre-RNA is then naturally “spliced” by the
physical removal of the introns. The resulting product is a
strand of RNA that contains nucleotides corresponding
only to the exons from the original DNA strand. The
exons-only strand is known as messenger RNA (mRNA),
which creates amino acids through translation. In translation, cellular structures known as ribosomes read each
set of three nucleotides, known as codons, in the mRNA.
Each codon either tells the ribosomes which of the 20
possible amino acids to synthesize or provides a stop
signal that ends amino acid production.
DNA’s informational sequences and the processes that
create mRNA, amino acids, and proteins occur naturally
within cells. Scientists can, however, extract DNA from
cells using well known laboratory methods. These methods allow scientists to isolate specific segments of DNA—
for instance, a particular gene or part of a gene—which
can then be further studied, manipulated, or used. It is also
possible to create DNA synthetically through processes
similarly well known in the field of genetics. One such
method begins with an mRNA molecule and uses the
natural bonding properties of nucleotides to create a new,
synthetic DNA molecule. The result is the inverse of the
mRNA’s inverse image of the original DNA, with one
important distinction: Because the natural creation of
mRNA involves splicing that removes introns, the synthetic
DNA created from mRNA also contains only the exon
sequences. This synthetic DNA created in the laboratory
from mRNA is known as complementary DNA (cDNA).
Changes in the genetic sequence are called mutations.
Mutations can be as small as the alteration of a single
nucleotide—a change affecting only one letter in the genetic
code. Such small-scale changes can produce an entirely
different amino acid or can end protein production alto-4 ASSOCIATION FOR MOLECULAR PATHOLOGY v.
MYRIAD GENETICS, INC.
Opinion of the Court
gether. Large changes, involving the deletion, rearrangement, or duplication of hundreds or even millions of nucleotides, can result in the elimination, misplacement, or
duplication of entire genes. Some mutations are harmless,
but others can cause disease or increase the risk of disease. As a result, the study of genetics can lead to valu-
able medical breakthroughs.
B
This case involves patents filed by Myriad after it made
one such medical breakthrough. Myriad discovered the
precise location and sequence of what are now known as
the BRCA1 and BRCA2 genes. Mutations in these genes
can dramatically increase an individual’s risk of developing breast and ovarian cancer. The average American
woman has a 12- to 13-percent risk of developing breast
cancer, but for women with certain genetic mutations, the
risk can range between 50 and 80 percent for breast cancer and between 20 and 50 percent for ovarian cancer.
Before Myriad’s discovery of the BRCA1 and BRCA2
genes, scientists knew that heredity played a role in establishing a woman’s risk of developing breast and ovarian
cancer, but they did not know which genes were associated
with those cancers.
Myriad identified the exact location of the BRCA1 and
BRCA2 genes on chromosomes 17 and 13. Chromosome
17 has approximately 80 million nucleotides, and chro-
mosome 13 has approximately 114 million. Association
for Molecular Pathology v. United States Patent and Trademark Office, 689 F. 3d 1303, 1328 (CA Fed. 2012). Within
those chromosomes, the BRCA1 and BRCA2 genes are
each about 80,000 nucleotides long. If just exons are
counted, the BRCA1 gene is only about 5,500 nucleotides
long; for the BRCA2 gene, that number is about 10,200.
Ibid. Knowledge of the location of the BRCA1 and BRCA2
genes allowed Myriad to determine their typical nucleotide Cite as: 569 U. S. ____ (2013) 5
Opinion of the Court
sequence.1
 That information, in turn, enabled Myriad to
develop medical tests that are useful for detecting mutations in a patient’s BRCA1 and BRCA2 genes and thereby
assessing whether the patient has an increased risk of
cancer.
Once it found the location and sequence of the BRCA1
and BRCA2 genes, Myriad sought and obtained a number
of patents. Nine composition claims from three of those
patents are at issue in this case.2
 See id., at 1309, and
n. 1 (noting composition claims). Claims 1, 2, 5, and 6
from the ’282 patent are representative. The first claim
asserts a patent on “[a]n isolated DNA coding for a BRCA1
polypeptide,” which has “the amino acid sequence set forth
in SEQ ID NO:2.” App. 822. SEQ ID NO:2 sets forth a list
of 1,863 amino acids that the typical BRCA1 gene encodes.
See id., at 785–790. Put differently, claim 1 asserts a
patent claim on the DNA code that tells a cell to produce
the string of BRCA1 amino acids listed in SEQ ID NO:2.
Claim 2 of the ’282 patent operates similarly. It claims
“[t]he isolated DNA of claim 1, wherein said DNA has the
nucleotide sequence set forth in SEQ ID NO:1.” Id., at
822. Like SEQ ID NO:2, SEQ ID NO:1 sets forth a
long list of data, in this instance the sequence of cDNA that
codes for the BRCA1 amino acids listed in claim 1. Importantly, SEQ ID NO:1 lists only the cDNA exons in the
BRCA1 gene, rather than a full DNA sequence contain-
ing both exons and introns. See id., at 779 (stating that
SEQ ID NO:1’s “MOLECULE TYPE:” is “cDNA”). As a result, the Federal Circuit recognized that claim 2 asserts a
patent on the cDNA nucleotide sequence listed in SEQ ID
——————
1
Technically, there is no “typical” gene because nucleotide sequences
vary between individuals, sometimes dramatically. Geneticists refer to
the most common variations of genes as “wild types.”
2
At issue are claims 1, 2, 5, 6, and 7 of U. S. Patent 5,747,282 (the
’282 patent), claim 1 of U. S. Patent 5,693,473 (the ’473 patent), and
claims 1, 6, and 7 of U. S. Patent 5,837,492 (the ’492 patent). 6 ASSOCIATION FOR MOLECULAR PATHOLOGY v.
MYRIAD GENETICS, INC.
Opinion of the Court
NO:1, which codes for the typical BRCA1 gene. 689 F. 3d,
at 1326, n. 9; id., at 1337 (Moore, J., concurring in part);
id., at 1356 (Bryson, J., concurring in part and dissenting
in part).
Claim 5 of the ’282 patent claims a subset of the data in
claim 1. In particular, it claims “[a]n isolated DNA having
at least 15 nucleotides of the DNA of claim 1.” App. 822.
The practical effect of claim 5 is to assert a patent on any
series of 15 nucleotides that exist in the typical BRCA1
gene. Because the BRCA1 gene is thousands of nucleotides long, even BRCA1 genes with substantial mutations
are likely to contain at least one segment of 15 nucleotides
that correspond to the typical BRCA1 gene. Similarly,
claim 6 of the ’282 patent claims “[a]n isolated DNA having at least 15 nucleotides of the DNA of claim 2.” Ibid.
This claim operates similarly to claim 5, except that it
references the cDNA-based claim 2. The remaining claims
at issue are similar, though several list common mutations
rather than typical BRCA1 and BRCA2 sequences. See
ibid. (claim 7 of the ’282 patent); id., at 930 (claim 1 of the
’473 patent); id., at 1028 (claims 1, 6, and 7 of the ’492
patent).
C
Myriad’s patents would, if valid, give it the exclusive
right to isolate an individual’s BRCA1 and BRCA2 genes
(or any strand of 15 or more nucleotides within the genes)
by breaking the covalent bonds that connect the DNA to
the rest of the individual’s genome. The patents would
also give Myriad the exclusive right to synthetically create
BRCA cDNA. In Myriad’s view, manipulating BRCA DNA
in either of these fashions triggers its “right to exclude
others from making” its patented composition of matter
under the Patent Act. 35 U. S. C. §154(a)(1); see also
§271(a) (“[W]hoever without authority makes . . . any
patented invention . . . infringes the patent”). Cite as: 569 U. S. ____ (2013) 7
Opinion of the Court
But isolation is necessary to conduct genetic testing, and
Myriad was not the only entity to offer BRCA testing after
it discovered the genes. The University of Pennsylvania’s
Genetic Diagnostic Laboratory (GDL) and others provided
genetic testing services to women. Petitioner Dr. Harry
Ostrer, then a researcher at New York University School
of Medicine, routinely sent his patients’ DNA samples to
GDL for testing. After learning of GDL’s testing and
Ostrer’s activities, Myriad sent letters to them asserting
that the genetic testing infringed Myriad’s patents. App.
94–95 (Ostrer letter). In response, GDL agreed to stop
testing and informed Ostrer that it would no longer accept
patient samples. Myriad also filed patent infringement
suits against other entities that performed BRCA testing,
resulting in settlements in which the defendants agreed to
cease all allegedly infringing activity. 689 F. 3d, at 1315.
Myriad, thus, solidified its position as the only entity
providing BRCA testing.
Some years later, petitioner Ostrer, along with medical
patients, advocacy groups, and other doctors, filed this
lawsuit seeking a declaration that Myriad’s patents are
invalid under 35 U. S. C. §101. 702 F. Supp. 2d, at 186.
Citing this Court’s decision in MedImmune, Inc. v. Genentech, Inc., 549 U. S. 118 (2007), the District Court denied
Myriad’s motion to dismiss for lack of standing. Association for Molecular Pathology v. United States Patent and
Trademark Office, 669 F. Supp. 2d 365, 385–392 (SDNY
2009). The District Court then granted summary judgment to petitioners on the composition claims at issue in
this case based on its conclusion that Myriad’s claims,
including claims related to cDNA, were invalid because
they covered products of nature. 702 F. Supp. 2d, at 220–
237. The Federal Circuit reversed, Association for Molecular Pathology v. United States Patent and Trademark
Office, 653 F. 3d 1329 (2011), and this Court granted
the petition for certiorari, vacated the judgment, and re-8 ASSOCIATION FOR MOLECULAR PATHOLOGY v.
MYRIAD GENETICS, INC.
Opinion of the Court
manded the case in light of Mayo Collaborative Services v.
Prometheus Laboratories, Inc., 566 U. S. ___ (2012).
See Association for Molecular Pathology v. Myriad Genetics, Inc., 566 U. S. ___ (2012).
On remand, the Federal Circuit affirmed the District
Court in part and reversed in part, with each member of
the panel writing separately. All three judges agreed
that only petitioner Ostrer had standing. They reasoned
that Myriad’s actions against him and his stated ability
and willingness to begin BRCA1 and BRCA2 testing if Myr-
iad’s patents were invalidated were sufficient for Article III
standing. 689 F. 3d, at 1323; id., at 1337 (opinion of
Moore, J.); id., at 1348 (opinion of Bryson, J.).
With respect to the merits, the court held that both
isolated DNA and cDNA were patent eligible under §101.
The central dispute among the panel members was
whether the act of isolating DNA—separating a specific
gene or sequence of nucleotides from the rest of the
chromosome—is an inventive act that entitles the individual who first isolates it to a patent. Each of the judges on
the panel had a different view on that question. Judges
Lourie and Moore agreed that Myriad’s claims were patent
eligible under §101 but disagreed on the rationale. Judge
Lourie relied on the fact that the entire DNA molecule is
held together by chemical bonds and that the covalent
bonds at both ends of the segment must be severed in
order to isolate segments of DNA. This process technically
creates new molecules with unique chemical compositions.
See id., at 1328 (“Isolated DNA . . . is a free-standing
portion of a larger, natural DNA molecule. Isolated DNA
has been cleaved (i.e., had covalent bonds in its backbone
chemically severed) or synthesized to consist of just a
fraction of a naturally occurring DNA molecule”). Judge
Lourie found this chemical alteration to be dispositive,
because isolating a particular strand of DNA creates
a nonnaturally occurring molecule, even though the Cite as: 569 U. S. ____ (2013) 9
Opinion of the Court
chemical alteration does not change the informationtransmitting quality of the DNA. See id., at 1330 (“The
claimed isolated DNA molecules are distinct from their
natural existence as portions of larger entities, and their
informational content is irrelevant to that fact. We recognize that biologists may think of molecules in terms of
their uses, but genes are in fact materials having a chemical nature”). Accordingly, he rejected petitioners’ argument
that isolated DNA was ineligible for patent protection
as a product of nature.
Judge Moore concurred in part but did not rely exclusively on Judge Lourie’s conclusion that chemically breaking covalent bonds was sufficient to render isolated DNA
patent eligible. Id., at 1341 (“To the extent the majority
rests its conclusion on the chemical differences between
[naturally occurring] and isolated DNA (breaking the
covalent bonds), I cannot agree that this is sufficient to
hold that the claims to human genes are directed to patentable subject matter”). Instead, Judge Moore also
relied on the United States Patent and Trademark Office’s
(PTO) practice of granting such patents and on the reliance interests of patent holders. Id., at 1343. However,
she acknowledged that her vote might have come out
differently if she “were deciding this case on a blank canvas.” Ibid.
Finally, Judge Bryson concurred in part and dissented
in part, concluding that isolated DNA is not patent eli-
gible. As an initial matter, he emphasized that the breaking of chemical bonds was not dispositive: “[T]here is no magic
to a chemical bond that requires us to recognize a new prod-
uct when a chemical bond is created or broken.” Id.,
at 1351. Instead, he relied on the fact that “[t]he nucleotide sequences of the claimed molecules are the same as
the nucleotide sequences found in naturally occurring
human genes.” Id., at 1355. Judge Bryson then concluded
that genetic “structural similarity dwarfs the significance 10 ASSOCIATION FOR MOLECULAR PATHOLOGY v.
MYRIAD GENETICS, INC.
Opinion of the Court
of the structural differences between isolated DNA and
naturally occurring DNA, especially where the structural
differences are merely ancillary to the breaking of covalent
bonds, a process that is itself not inventive.” Ibid. More-
over, Judge Bryson gave no weight to the PTO’s position
on patentability because of the Federal Circuit’s position
that “the PTO lacks substantive rulemaking authority as
to issues such as patentability.” Id., at 1357.
Although the judges expressed different views concerning the patentability of isolated DNA, all three agreed that
patent claims relating to cDNA met the patent eligibility
requirements of §101. Id., at 1326, and n. 9 (recognizing
that some patent claims are limited to cDNA and that
such claims are patent eligible under §101); id., at 1337
(Moore, J., concurring in part); id., at 1356 (Bryson, J.,
concurring in part and dissenting in part) (“cDNA cannot
be isolated from nature, but instead must be created in the
laboratory . . . because the introns that are found in the
native gene are removed from the cDNA segment”).3
 We
granted certiorari. 568 U. S. ___ (2012).
II
A
Section 101 of the Patent Act provides:
“Whoever invents or discovers any new and useful . . .
composition of matter, or any new and useful improvement thereof, may obtain a patent therefor, subject to the conditions and requirements of this title.”
——————
3
Myriad continues to challenge Dr. Ostrer’s Declaratory Judgment
Act standing in this Court. Brief for Respondents 17–22. But we find
that, under the Court’s decision in MedImmune, Inc. v. Genentech, Inc.,
Dr. Ostrer has alleged sufficient facts “under all the circumstances, [to]
show that there is a substantial controversy, between parties having
adverse legal interests, of sufficient immediacy and reality to warrant
the issuance of a declaratory judgment.” 549 U. S. 118, 127 (2007)
(internal quotation marks omitted). Cite as: 569 U. S. ____ (2013) 11
Opinion of the Court
35 U. S. C. §101.
We have “long held that this provision contains an important implicit exception[:] Laws of nature, natural phenomena, and abstract ideas are not patentable.” Mayo,
566 U. S., at ___ (slip op., at 1) (internal quotation marks
and brackets omitted). Rather, “‘they are the basic tools of
scientific and technological work’” that lie beyond the
domain of patent protection. Id., at ___ (slip op., at 2). As
the Court has explained, without this exception, there
would be considerable danger that the grant of patents
would “tie up” the use of such tools and thereby “inhibit
future innovation premised upon them.” Id., at ___ (slip
op., at 17). This would be at odds with the very point
of patents, which exist to promote creation. Diamond v.
Chakrabarty, 447 U. S. 303, 309 (1980) (Products of nature are not created, and “‘manifestations . . . of nature
[are] free to all men and reserved exclusively to none’”).
The rule against patents on naturally occurring things
is not without limits, however, for “all inventions at some
level embody, use, reflect, rest upon, or apply laws of
nature, natural phenomena, or abstract ideas,” and “too
broad an interpretation of this exclusionary principle
could eviscerate patent law.” 566 U. S., at ___ (slip op., at
2). As we have recognized before, patent protection strikes
a delicate balance between creating “incentives that lead
to creation, invention, and discovery” and “imped[ing] the
flow of information that might permit, indeed spur, in-
vention.” Id., at ___ (slip op., at 23). We must apply this
well-established standard to determine whether Myriad’s patents claim any “new and useful . . . composition
of matter,” §101, or instead claim naturally occurring
phenomena.
B
It is undisputed that Myriad did not create or alter any
of the genetic information encoded in the BRCA1 and 12 ASSOCIATION FOR MOLECULAR PATHOLOGY v.
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Opinion of the Court
BRCA2 genes. The location and order of the nucleotides
existed in nature before Myriad found them. Nor did Myriad create or alter the genetic structure of DNA. Instead, Myriad’s principal contribution was uncovering the
precise location and genetic sequence of the BRCA1
and BRCA2 genes within chromosomes 17 and 13. The
question is whether this renders the genes patentable.
Myriad recognizes that our decision in Chakrabarty is
central to this inquiry. Brief for Respondents 14, 23–27.
In Chakrabarty, scientists added four plasmids to a bacterium, which enabled it to break down various components
of crude oil. 447 U. S., at 305, and n. 1. The Court held
that the modified bacterium was patentable. It explained
that the patent claim was “not to a hitherto unknown
natural phenomenon, but to a nonnaturally occurring
manufacture or composition of matter—a product of human ingenuity ‘having a distinctive name, character [and]
use.’” Id., at 309–310 (quoting Hartranft v. Wiegmann,
121 U. S. 609, 615 (1887); alteration in original). The
Chakrabarty bacterium was new “with markedly different
characteristics from any found in nature,” 447 U. S., at
310, due to the additional plasmids and resultant “capac-
ity for degrading oil.” Id., at 305, n. 1. In this case, by
contrast, Myriad did not create anything. To be sure, it
found an important and useful gene, but separating that
gene from its surrounding genetic material is not an act of
invention.
 Groundbreaking, innovative, or even brilliant discovery
does not by itself satisfy the §101 inquiry. In Funk Brothers Seed Co. v. Kalo Inoculant Co., 333 U. S. 127 (1948),
this Court considered a composition patent that claimed a
mixture of naturally occurring strains of bacteria that
helped leguminous plants take nitrogen from the air and
fix it in the soil. Id., at 128–129. The ability of the bacteria to fix nitrogen was well known, and farmers commonly
“inoculated” their crops with them to improve soil nitrogen Cite as: 569 U. S. ____ (2013) 13
Opinion of the Court
levels. But farmers could not use the same inoculant for
all crops, both because plants use different bacteria and
because certain bacteria inhibit each other. Id., at 129–
130. Upon learning that several nitrogen-fixing bacteria
did not inhibit each other, however, the patent applicant
combined them into a single inoculant and obtained a
patent. Id., at 130. The Court held that the composition
was not patent eligible because the patent holder did not
alter the bacteria in any way. Id., at 132 (“There is no
way in which we could call [the bacteria mixture a product
of invention] unless we borrowed invention from the discovery of the natural principle itself ”). His patent claim
thus fell squarely within the law of nature exception. So
do Myriad’s. Myriad found the location of the BRCA1 and
BRCA2 genes, but that discovery, by itself, does not render
the BRCA genes “new . . . composition[s] of matter,” §101,
that are patent eligible.
Indeed, Myriad’s patent descriptions highlight the
problem with its claims. For example, a section of the ’282
patent’s Detailed Description of the Invention indicates
that Myriad found the location of a gene associated with
increased risk of breast cancer and identified mutations of
that gene that increase the risk. See App. 748–749.4
 In
——————
4
The full relevant text of the Detailed Description of the Patent is as
follows:
“It is a discovery of the present invention that the BRCA1 locus
which predisposes individuals to breast cancer and ovarian cancer, is a
gene encoding a BRCA1 protein, which has been found to have no
significant homology with known protein or DNA sequences. . . . It is a
discovery of the present invention that mutations in the BRCA1 locus
in the germline are indicative of a predisposition to breast cancer and
ovarian cancer. Finally, it is a discovery of the present invention that
somatic mutations in the BRCA1 locus are also associated with breast
cancer, ovarian cancer and other cancers, which represents an indicator
of these cancers or of the prognosis of these cancers. The mutational
events of the BRCA1 locus can involve deletions, insertions and point
mutations.” App. 749. 14 ASSOCIATION FOR MOLECULAR PATHOLOGY v.
MYRIAD GENETICS, INC.
Opinion of the Court
subsequent language Myriad explains that the location of
the gene was unknown until Myriad found it among the
approximately eight million nucleotide pairs contained in
a subpart of chromosome 17. See Ibid.
5
 The ’473 and ’492
patents contain similar language as well. See id., at 854,
947. Many of Myriad’s patent descriptions simply detail
the “iterative process” of discovery by which Myriad narrowed the possible locations for the gene sequences that it
sought.6
 See, e.g., id., at 750. Myriad seeks to import
these extensive research efforts into the §101 patenteligibility inquiry. Brief for Respondents 8–10, 34. But
extensive effort alone is insufficient to satisfy the demands
of §101.
Nor are Myriad’s claims saved by the fact that isolating
DNA from the human genome severs chemical bonds and
thereby creates a nonnaturally occurring molecule. Myriad’s claims are simply not expressed in terms of chemical
composition, nor do they rely in any way on the chemical changes that result from the isolation of a particular
section of DNA. Instead, the claims understandably focus
on the genetic information encoded in the BRCA1 and
——————
Notwithstanding Myriad’s repeated use of the phrase “present
invention,” it is clear from the text of the patent that the various
discoveries are the “invention.”
5
“Starting from a region on the long arm of human chromosome 17 of
the human genome, 17q, which has a size estimated at about 8 million
base pairs, a region which contains a genetic locus, BRCA1, which
causes susceptibility to cancer, including breast and ovarian cancer,
has been identified.” Ibid.
6
Myriad first identified groups of relatives with a history of breast
cancer (some of whom also had developed ovarian cancer); because
these individuals were related, scientists knew that it was more likely
that their diseases were the result of genetic predisposition rather than
other factors. Myriad compared sections of their chromosomes, looking
for shared genetic abnormalities not found in the general population. It
was that process which eventually enabled Myriad to determine where
in the genetic sequence the BRCA1 and BRCA2 genes reside. See, e.g.,
id., at 749, 763–775. Cite as: 569 U. S. ____ (2013) 15
Opinion of the Court
BRCA2 genes. If the patents depended upon the creation
of a unique molecule, then a would-be infringer could
arguably avoid at least Myriad’s patent claims on entire
genes (such as claims 1 and 2 of the ’282 patent) by isolating a DNA sequence that included both the BRCA1 or
BRCA2 gene and one additional nucleotide pair. Such a
molecule would not be chemically identical to the molecule
“invented” by Myriad. But Myriad obviously would resist
that outcome because its claim is concerned primarily with
the information contained in the genetic sequence, not
with the specific chemical composition of a particular
molecule.
Finally, Myriad argues that the PTO’s past practice of
awarding gene patents is entitled to deference, citing
J. E. M. Ag Supply, Inc. v. Pioneer Hi-Bred Int’l, Inc., 534
U. S. 124 (2001). See Brief for Respondents 35–39, 49–50.
We disagree. J. E. M. held that new plant breeds were
eligible for utility patents under §101 notwithstanding
separate statutes providing special protections for plants,
see 7 U. S. C. §2321 et seq. (Plant Variety Protection Act);
35 U. S. C. §§161–164 (Plant Patent Act of 1930). After
analyzing the text and structure of the relevant statutes,
the Court mentioned that the Board of Patent Appeals and
Interferences had determined that new plant breeds were
patent eligible under §101 and that Congress had recognized and endorsed that position in a subsequent Patent
Act amendment. 534 U. S., at 144–145 (citing In re Hibberd, 227 USPQ 443 (1985) and 35 U. S. C. §119(f)). In
this case, however, Congress has not endorsed the views of
the PTO in subsequent legislation. While Myriad relies on
Judge Moore’s view that Congress endorsed the PTO’s
position in a single sentence in the Consolidated Appropriations Act of 2004, see Brief for Respondents 31, n. 8;
689 F. 3d, at 1346, that Act does not even mention genes,
much less isolated DNA. §634, 118 Stat. 101 (“None of the
funds appropriated or otherwise made available under this 16 ASSOCIATION FOR MOLECULAR PATHOLOGY v.
MYRIAD GENETICS, INC.
Opinion of the Court
Act may be used to issue patents on claims directed to or
encompassing a human organism”).
Further undercutting the PTO’s practice, the United
States argued in the Federal Circuit and in this Court that
isolated DNA was not patent eligible under §101, Brief for
United States as Amicus Curiae 20–33, and that the
PTO’s practice was not “a sufficient reason to hold that
isolated DNA is patent-eligible.” Id., at 26. See also id.,
at 28–29. These concessions weigh against deferring to
the PTO’s determination.7
C
cDNA does not present the same obstacles to patentability as naturally occurring, isolated DNA segments. As
already explained, creation of a cDNA sequence from
mRNA results in an exons-only molecule that is not naturally occurring.8
 Petitioners concede that cDNA differs
from natural DNA in that “the non-coding regions have
——————
7
Myriad also argues that we should uphold its patents so as not to
disturb the reliance interests of patent holders like itself. Brief for
Respondents 38–39. Concerns about reliance interests arising from
PTO determinations, insofar as they are relevant, are better directed to
Congress. See Mayo Collaborative Services v. Prometheus Laboratories,
Inc., 566 U. S. ___, ___ (2012) (slip op., at 22–24).
8
Some viruses rely on an enzyme called reverse transcriptase to reproduce by copying RNA into cDNA. In rare instances, a side effect of
a viral infection of a cell can be the random incorporation of fragments
of the resulting cDNA, known as a pseudogene, into the genome. Such
pseudogenes serve no purpose; they are not expressed in protein
creation because they lack genetic sequences to direct protein expression. See J. Watson et al., Molecular Biology of the Gene 142, 144, fig.
7–5 (6th ed. 2008). Perhaps not surprisingly, given pseudogenes’
apparently random origins, petitioners “have failed to demonstrate that
the pseudogene consists of the same sequence as the BRCA1 cDNA.”
Association for Molecular Pathology v. United States Patent and
Trademark Office, 689 F. 3d 1303, 1356, n. 5 (CA Fed. 2012). The
possibility that an unusual and rare phenomenon might randomly
create a molecule similar to one created synthetically through human
ingenuity does not render a composition of matter nonpatentable. Cite as: 569 U. S. ____ (2013) 17
Opinion of the Court
been removed.” Brief for Petitioners 49. They nevertheless argue that cDNA is not patent eligible because “[t]he
nucleotide sequence of cDNA is dictated by nature, not by
the lab technician.” Id., at 51. That may be so, but the lab
technician unquestionably creates something new when
cDNA is made. cDNA retains the naturally occurring
exons of DNA, but it is distinct from the DNA from which
it was derived. As a result, cDNA is not a “product of
nature” and is patent eligible under §101, except insofar
as very short series of DNA may have no intervening
introns to remove when creating cDNA. In that situation,
a short strand of cDNA may be indistinguishable from
natural DNA.9
III
It is important to note what is not implicated by this
decision. First, there are no method claims before this
Court. Had Myriad created an innovative method of
manipulating genes while searching for the BRCA1 and
BRCA2 genes, it could possibly have sought a method pat-
ent. But the processes used by Myriad to isolate DNA
were well understood by geneticists at the time of Myriad’s
patents “were well understood, widely used, and fairly
uniform insofar as any scientist engaged in the search for
a gene would likely have utilized a similar approach,” 702
F. Supp. 2d, at 202–203, and are not at issue in this case.
Similarly, this case does not involve patents on new
applications of knowledge about the BRCA1 and BRCA2
genes. Judge Bryson aptly noted that, “[a]s the first party
with knowledge of the [BRCA1 and BRCA2] sequences,
Myriad was in an excellent position to claim applications
of that knowledge. Many of its unchallenged claims are
——————
9
We express no opinion whether cDNA satisfies the other statutory
requirements of patentability. See, e.g., 35 U. S. C. §§102, 103, and
112; Brief for United States as Amicus Curiae 19, n. 5. 18 ASSOCIATION FOR MOLECULAR PATHOLOGY v.
MYRIAD GENETICS, INC.
Opinion of the Court
limited to such applications.” 689 F. 3d, at 1349.
Nor do we consider the patentability of DNA in which
the order of the naturally occurring nucleotides has been
altered. Scientific alteration of the genetic code presents a
different inquiry, and we express no opinion about the
application of §101 to such endeavors. We merely hold
that genes and the information they encode are not patent
eligible under §101 simply because they have been isolated
from the surrounding genetic material.
* * *
For the foregoing reasons, the judgment of the Federal
Circuit is affirmed in part and reversed in part.
It is so ordered. SCALIA, J., concurring
_________________
_________________
Cite as: 569 U. S. ____ (2013) 1
Opinion of SCALIA, J.
SUPREME COURT OF THE UNITED STATES
No. 12–398
ASSOCIATION FOR MOLECULAR PATHOLOGY,
ET AL., PETITIONERS v. MYRIAD
GENETICS, INC., ET AL.
ON WRIT OF CERTIORARI TO THE UNITED STATES COURT OF
APPEALS FOR THE FEDERAL CIRCUIT
[June 13, 2013]
JUSTICE SCALIA, concurring in part and concurring in
the judgment.
I join the judgment of the Court, and all of its opinion
except Part I–A and some portions of the rest of the opinion going into fine details of molecular biology. I am unable to affirm those details on my own knowledge or even
my own belief. It suffices for me to affirm, having studied
the opinions below and the expert briefs presented here,
that the portion of DNA isolated from its natural state
sought to be patented is identical to that portion of the
DNA in its natural state; and that complementary DNA
(cDNA) is a synthetic creation not normally present in
nature. 

Federal Rule of Criminal Procedure 11 governs guilty pleas. Rule 11(c)(1) instructs that “[t]he court must not participate in [plea] discussions,” and Rule 11(h) states that a “variance from the requirements of th[e] rule is harmless error if it does not affect substantial rights.” Rule 52(a), which covers trial court errors generally, similarly prescribes: “Any error . . . that does not affect substantial rights must be disregarded.” Respondent Davila, while under indictment on multiple tax fraud charges, wrote to the District Court, expressing dissatisfaction with his court-appointed attorney. Complaining that his attorney offered no defensive strategy, but simply advised him to plead guilty, Davila requested new counsel. A Magistrate Judge held an in camera hearing at which Davila and his attorney, but no representative of the United States, appeared. At the hearing, the Magistrate Judge told Davila that he would not get another court-appointed attorney and that his best course, given the strength of the Government’s case, was to plead guilty. More than three months later, Davila pleaded guilty to a conspiracy charge in exchange for dismissal of 33 other charges. He stated under oath before a U. S. District Judge that he had not been forced or pressured to enter the plea, and he did not mention the in camera hearing before the Magistrate Judge. Prior to sentencing, however, Davila moved to vacate his plea and dismiss the indictment, asserting that he had entered the plea for a “strategic” reason, i.e., to force the Government to acknowledge errors in the indictment. Finding that Davila’s plea had been knowing and voluntary, the District Judge denied the motion. Again, Davila said nothing of the in camera hearing conducted by the Magistrate Judge. On appeal, the Eleventh Circuit, following Circuit precedent, held that 2 UNITED STATES v. DAVILA Syllabus the Magistrate Judge’s violation of Rule 11(c)(1) required automatic vacatur of Davila’s guilty plea, obviating any need to inquire whether the error was prejudicial. Held: Under Rule 11(h), vacatur of the plea is not in order if the record shows no prejudice to Davila’s decision to plead guilty. Pp. 7–14. (a) Rule 11(c)(1)’s prohibition of judicial involvement in plea discussions was included in the 1974 Amendment to the Rule out of concern that a defendant might be induced to plead guilty rather than risk antagonizing the judge who would preside at trial. Rule 11(h) was added in the 1983 Amendment to make clear that Rule 11 errors are not excepted from Rule 52(a)’s harmless-error inquiry. Rule 52 also states, in subsection (b), that a “plain error that affects substantial rights may be considered even though it was not brought to the [trial] court’s attention.” When Rule 52(a) governs, the prosecution has the burden of showing harmlessness, but when Rule 52(b) controls, the defendant must show that the error affects substantial rights. See United States v. Vonn, 535 U. S. 55, 62. As clarified in Vonn and United States v. Dominguez Benitez, 542 U. S. 74, Rule 11 error may be of the Rule 52(a) type or the Rule 52(b) kind, depending on when the error was raised. In Vonn, the judge who conducted the plea hearing failed to inform the defendant, as required by Rule 11(c)(3), that he would have “the right to the assistance of counsel” if he proceeded to trial. The defendant first objected to the omission on appeal. This Court held that “a silent defendant has the burden to satisfy [Rule 52(b)’s] plain-error rule.” 535 U. S., at 59. In Dominguez Benitez, the error first raised on appeal was failure to warn the defendant, as Rule 11(c)(3)(B) instructs, that a plea could not be withdrawn even if the sentence imposed was higher than the plea-bargained sentence recommendation. The Court again held that Rule 52(b) controlled, and prescribed the standard a defendant silent until appeal must meet to show “plain error,” namely, “a reasonable probability that, but for the [Rule 11] error, he would not have entered the plea.” 542 U. S., at 83. Pp. 7–9. (b) Here, the Magistrate Judge plainly violated Rule 11(c)(1) by exhorting Davila to plead guilty. Davila contends that automatic vacatur, while inappropriate for most Rule 11 violations, should attend conduct banned by Rule 11(c)(1). He distinguishes plea-colloquy omissions, i.e., errors of the kind involved in Vonn and Dominguez Benitez, from pre-plea exhortations to admit guilt. The former come into play after a defendant has decided to plead guilty, the latter, before a defendant has decided to plead guilty or to stand trial. Nothing in Rule 11’s text, however, indicates that the ban on judicial involvement in plea discussions, if dishonored, demands automatic vacatur without regard to case-specific circumstances. Nor does the Advisory Cite as: 569 U. S. ____ (2013) 3 Syllabus Committee commentary single out any Rule 11 instruction as more basic than others. And Rule 11(h), specifically designed to stop automatic vacaturs, calls for across-the-board application of the harmless-error prescription (or, absent prompt objection, the plain-error rule). Rule 11(c)(1) was adopted as a prophylactic measure, not one impelled by the Due Process Clause or any other constitutional requirement. Thus, violation of the Rule does not belong in the highly exceptional category of structural errors—e.g., denial of counsel of choice or denial of a public trial—that trigger automatic reversal because they undermine the fairness of the entire criminal proceeding. United States v. Marcus, 560 U. S. 258, ___. Instead, in assessing Rule 11 errors, a reviewing court must take account of all that transpired in the trial court. Had Davila’s guilty plea followed soon after the Magistrate Judge’s comments, the automatic-vacatur rule would have remained erroneous. The Court of Appeals’ mistake in that regard, however, might have been inconsequential, for the Magistrate Judge’s exhortations, if they immediately elicited a plea, would likely have qualified as prejudicial. Here, however, three months distanced the in camera meeting conducted by the Magistrate Judge from Davila’s appearance before the District Judge who examined and accepted his guilty plea after an exemplary Rule 11 colloquy, at which Davila had the opportunity to raise any questions he might have about matters relating to his plea. The Court of Appeals, therefore, should not have assessed the Magistrate Judge’s comments in isolation. Instead, it should have considered, in light of the full record, whether it was reasonably probable that, but for the Magistrate Judge’s comments, Davila would have exercised his right to go to trial. Pp. 10– 14. (c) The Court of Appeals, having concluded that the Magistrate Judge’s comments violated Rule 11(c)(1), cut off further consideration. It did not engage in a full-record assessment of the particular facts of Davila’s case or the case-specific arguments raised by the parties, including the Government’s assertion that Davila was not prejudiced by the Magistrate Judge’s comments, and Davila’s contention that the extraordinary circumstances his case presents should allow his claim to be judged under Rule 52(a)’s harmless-error standard rather than Rule 52(b)’s plain-error standard. The Court decides only that the automatic-vacatur rule is incompatible with Rule 11(h) and leaves all remaining issues to be addressed on remand. P. 14. 664 F. 3d 1355, vacated and remanded.

(Slip Opinion) OCTOBER TERM, 2012 1
Syllabus
NOTE: Where it is feasible, a syllabus (headnote) will be released, as is
being done in connection with this case, at the time the opinion is issued.
The syllabus constitutes no part of the opinion of the Court but has been
prepared by the Reporter of Decisions for the convenience of the reader.
See United States v. Detroit Timber & Lumber Co., 200 U. S. 321, 337.
SUPREME COURT OF THE UNITED STATES
Syllabus
UNITED STATES v. DAVILA
CERTIORARI TO THE UNITED STATES COURT OF APPEALS FOR
THE ELEVENTH CIRCUIT
No. 12–167. Argued April 15, 2013—Decided June 13, 2013
Federal Rule of Criminal Procedure 11 governs guilty pleas. Rule
11(c)(1) instructs that “[t]he court must not participate in [plea] discussions,” and Rule 11(h) states that a “variance from the requirements of th[e] rule is harmless error if it does not affect substantial
rights.” Rule 52(a), which covers trial court errors generally, similarly prescribes: “Any error . . . that does not affect substantial rights
must be disregarded.”
Respondent Davila, while under indictment on multiple tax fraud
charges, wrote to the District Court, expressing dissatisfaction with
his court-appointed attorney. Complaining that his attorney offered
no defensive strategy, but simply advised him to plead guilty, Davila
requested new counsel. A Magistrate Judge held an in camera hearing at which Davila and his attorney, but no representative of the
United States, appeared. At the hearing, the Magistrate Judge told
Davila that he would not get another court-appointed attorney and
that his best course, given the strength of the Government’s case,
was to plead guilty. More than three months later, Davila pleaded
guilty to a conspiracy charge in exchange for dismissal of 33 other
charges. He stated under oath before a U. S. District Judge that he
had not been forced or pressured to enter the plea, and he did not
mention the in camera hearing before the Magistrate Judge. Prior to
sentencing, however, Davila moved to vacate his plea and dismiss the
indictment, asserting that he had entered the plea for a “strategic”
reason, i.e., to force the Government to acknowledge errors in the indictment. Finding that Davila’s plea had been knowing and voluntary, the District Judge denied the motion. Again, Davila said nothing of the in camera hearing conducted by the Magistrate Judge. On
appeal, the Eleventh Circuit, following Circuit precedent, held that 2 UNITED STATES v. DAVILA
Syllabus
the Magistrate Judge’s violation of Rule 11(c)(1) required automatic
vacatur of Davila’s guilty plea, obviating any need to inquire whether
the error was prejudicial.
Held: Under Rule 11(h), vacatur of the plea is not in order if the record
shows no prejudice to Davila’s decision to plead guilty. Pp. 7–14.
(a) Rule 11(c)(1)’s prohibition of judicial involvement in plea discussions was included in the 1974 Amendment to the Rule out of concern that a defendant might be induced to plead guilty rather than
risk antagonizing the judge who would preside at trial. Rule 11(h)
was added in the 1983 Amendment to make clear that Rule 11 errors
are not excepted from Rule 52(a)’s harmless-error inquiry. Rule 52
also states, in subsection (b), that a “plain error that affects substantial rights may be considered even though it was not brought to the
[trial] court’s attention.” When Rule 52(a) governs, the prosecution
has the burden of showing harmlessness, but when Rule 52(b) controls, the defendant must show that the error affects substantial
rights. See United States v. Vonn, 535 U. S. 55, 62.
As clarified in Vonn and United States v. Dominguez Benitez, 542
U. S. 74, Rule 11 error may be of the Rule 52(a) type or the Rule 52(b)
kind, depending on when the error was raised. In Vonn, the judge
who conducted the plea hearing failed to inform the defendant, as required by Rule 11(c)(3), that he would have “the right to the assistance of counsel” if he proceeded to trial. The defendant first objected
to the omission on appeal. This Court held that “a silent defendant
has the burden to satisfy [Rule 52(b)’s] plain-error rule.” 535 U. S., at
59. In Dominguez Benitez, the error first raised on appeal was failure
to warn the defendant, as Rule 11(c)(3)(B) instructs, that a plea could
not be withdrawn even if the sentence imposed was higher than the
plea-bargained sentence recommendation. The Court again held that
Rule 52(b) controlled, and prescribed the standard a defendant silent
until appeal must meet to show “plain error,” namely, “a reasonable
probability that, but for the [Rule 11] error, he would not have entered the plea.” 542 U. S., at 83. Pp. 7–9.
(b) Here, the Magistrate Judge plainly violated Rule 11(c)(1) by exhorting Davila to plead guilty. Davila contends that automatic vacatur, while inappropriate for most Rule 11 violations, should attend
conduct banned by Rule 11(c)(1). He distinguishes plea-colloquy
omissions, i.e., errors of the kind involved in Vonn and Dominguez
Benitez, from pre-plea exhortations to admit guilt. The former come
into play after a defendant has decided to plead guilty, the latter, before a defendant has decided to plead guilty or to stand trial. Nothing
in Rule 11’s text, however, indicates that the ban on judicial involvement in plea discussions, if dishonored, demands automatic vacatur
without regard to case-specific circumstances. Nor does the Advisory Cite as: 569 U. S. ____ (2013) 3
Syllabus
Committee commentary single out any Rule 11 instruction as more
basic than others. And Rule 11(h), specifically designed to stop automatic vacaturs, calls for across-the-board application of the harmless-error prescription (or, absent prompt objection, the plain-error
rule).
Rule 11(c)(1) was adopted as a prophylactic measure, not one impelled by the Due Process Clause or any other constitutional requirement. Thus, violation of the Rule does not belong in the highly
exceptional category of structural errors—e.g., denial of counsel of
choice or denial of a public trial—that trigger automatic reversal because they undermine the fairness of the entire criminal proceeding.
United States v. Marcus, 560 U. S. 258, ___. Instead, in assessing
Rule 11 errors, a reviewing court must take account of all that transpired in the trial court. Had Davila’s guilty plea followed soon after
the Magistrate Judge’s comments, the automatic-vacatur rule would
have remained erroneous. The Court of Appeals’ mistake in that regard, however, might have been inconsequential, for the Magistrate
Judge’s exhortations, if they immediately elicited a plea, would likely
have qualified as prejudicial. Here, however, three months distanced
the in camera meeting conducted by the Magistrate Judge from Davila’s appearance before the District Judge who examined and accepted
his guilty plea after an exemplary Rule 11 colloquy, at which Davila
had the opportunity to raise any questions he might have about matters relating to his plea. The Court of Appeals, therefore, should not
have assessed the Magistrate Judge’s comments in isolation. Instead, it should have considered, in light of the full record, whether it
was reasonably probable that, but for the Magistrate Judge’s comments, Davila would have exercised his right to go to trial. Pp. 10–
14.
(c) The Court of Appeals, having concluded that the Magistrate
Judge’s comments violated Rule 11(c)(1), cut off further consideration. It did not engage in a full-record assessment of the particular
facts of Davila’s case or the case-specific arguments raised by the
parties, including the Government’s assertion that Davila was not
prejudiced by the Magistrate Judge’s comments, and Davila’s contention that the extraordinary circumstances his case presents should
allow his claim to be judged under Rule 52(a)’s harmless-error standard rather than Rule 52(b)’s plain-error standard. The Court decides
only that the automatic-vacatur rule is incompatible with Rule 11(h)
and leaves all remaining issues to be addressed on remand. P. 14.
664 F. 3d 1355, vacated and remanded.
GINSBURG, J., delivered the opinion of the Court, in which ROBERTS,
C. J., and KENNEDY, BREYER, ALITO, SOTOMAYOR, and KAGAN, JJ., joined. 4 UNITED STATES v. DAVILA
Syllabus
SCALIA, J., filed an opinion concurring in part and concurring in the
judgment, in which THOMAS, J., joined. _________________
_________________
Cite as: 569 U. S. ____ (2013) 1
Opinion of the Court
NOTICE: This opinion is subject to formal revision before publication in the
preliminary print of the United States Reports. Readers are requested to
notify the Reporter of Decisions, Supreme Court of the United States, Washington, D. C. 20543, of any typographical or other formal errors, in order
that corrections may be made before the preliminary print goes to press.
SUPREME COURT OF THE UNITED STATES
No. 12–167
UNITED STATES, PETITIONER v. ANTHONY DAVILA
ON WRIT OF CERTIORARI TO THE UNITED STATES COURT OF
APPEALS FOR THE ELEVENTH CIRCUIT
[June 13, 2013]
JUSTICE GINSBURG delivered the opinion of the Court.
This case concerns Rule 11 of the Federal Rules of Criminal Procedure, which governs guilty pleas. Two provisions of that rule are key here. The first, Rule 11(c)(1),
instructs that “[t]he court must not participate in [plea]
discussions.” The second, Rule 11(h), states: “A variance
from the requirements of th[e] rule is harmless error if
it does not affect substantial rights.” Rule 52(a), which
covers trial court errors generally, similarly prescribes:
“Any error . . . that does not affect substantial rights must
be disregarded.”
Anthony Davila, respondent here, entered a guilty plea
to conspiracy to defraud the United States by filing false
income tax returns. He maintains that he did so because
a U. S. Magistrate Judge, at a pre-plea in camera hearing
and in flagrant violation of Rule 11(c)(1), told him his best
course, given the strength of the Government’s case, was
to plead guilty. Three months later, Davila entered a plea
on advice of counsel. The hearing on Davila’s plea, conducted by a U. S. District Judge, complied in all respects
with Rule 11.
The question presented is whether, as the Court of 2 UNITED STATES v. DAVILA
Opinion of the Court
Appeals for the Eleventh Circuit held, the violation of Rule
11(c)(1) by the Magistrate Judge warranted automatic
vacatur of Davila’s guilty plea. We hold that Rule 11(h)
controls. Under the inquiry that Rule instructs, vacatur of
the plea is not in order if the record shows no prejudice to
Davila’s decision to plead guilty.
I
In May 2009, a federal grand jury in the Southern District of Georgia returned a 34-count indictment against
respondent Anthony Davila. The indictment charged that
Davila filed over 120 falsified tax returns, receiving over
$423,000 from the United States Treasury as a result of
his fraudulent scheme.
In January 2010, Davila sent a letter to the District
Court expressing dissatisfaction with his court-appointed
attorney and requesting new counsel. His attorney, Davila
complained, offered no defensive strategy, “‘never mentioned a defense at all,’” but simply advised that he plead
guilty.1 In response to Davila’s letter, a U. S. Magistrate
Judge held an in camera hearing at which Davila and
his attorney, but no representative of the United States,
appeared. At the start of the hearing, the Magistrate
Judge told Davila that he was free to represent himself,
but would not get another court-appointed attorney. See
App. 148.
Addressing Davila’s complaint that his attorney had
advised him to plead guilty, the Magistrate Judge told
Davila that “oftentimes . . . that is the best advice a lawyer
can give his client.” Id., at 152. “In view of whatever the
Government’s evidence in a case might be,” the judge
continued,
“it might be a good idea for the Defendant to accept
——————
1
See Brief for Appellee in No. 10–15319–I (CA11), p. 3 (quoting Record (Exh. B)). Cite as: 569 U. S. ____ (2013) 3
Opinion of the Court
responsibility for his criminal conduct[,] to plead
guilty[,] and go to sentencing with the best arguments
. . . still available [without] wasting the Court’s time,
[and] causing the Government to have to spend a
bunch of money empanelling a jury to try an open and
shut case.” Ibid.
As to Davila’s objection that his attorney had given him
no options other than pleading guilty, the Magistrate
Judge commented: “[T]here may not be a viable defense to
these charges.” Id., at 155. The judge then urged Davila
to cooperate in order to gain a downward departure from
the sentence indicated by the Federal Sentencing Guidelines. “[T]ry to understand,” he counseled,
“the Government, they have all of the marbles in this
situation and they can file that . . . motion for [a]
downward departure from the guidelines if they want
to, you know, and the rules are constructed so that
nobody can force them to file that [motion] for you.
The only thing at your disposal that is entirely up to
you is the two or three level reduction for acceptance
of responsibility. That means you’ve got to go to the
cross. You’ve got to tell the probation officer everything you did in this case regardless of how bad it
makes you appear to be because that is the way you
get that three-level reduction for acceptance, and believe me, Mr. Davila, someone with your criminal history needs a three-level reduction for acceptance.” Id.,
at 159–160.
Davila’s Sentencing Guidelines range, the Magistrate
Judge said, would “probably [be] pretty bad because [his]
criminal history score would be so high.” Id., at 160. To
reduce his sentencing exposure, the Magistrate Judge
suggested, Davila could “cooperate with the Government
in this or in other cases.” Ibid. As the hearing concluded,
the judge again cautioned that “to get the [sentence] re-4 UNITED STATES v. DAVILA
Opinion of the Court
duction for acceptance [of responsibility],” Davila had to
“come to the cross”:
“[T]hat two- or three-level reduction for acceptance is
something that you have the key to and you can ensure that you get that reduction in sentence simply by
virtue of being forthcoming and not trying to make
yourself look like you really didn’t know what was going on. . . . You’ve got to go [to the cross] and you’ve
got to tell it all, Brother, and convince that probation
officer that you are being as open and honest with him
as you can possibly be because then he will go to the
[D]istrict [J]udge and he will say, you know, that
Davila guy, he’s got a long criminal history but when
we were in there talking about this case he gave it all
up so give him the two-level, give him the three-level
reduction.” Id., at 160–161.
Nearly a month after the in camera hearing, Davila filed
a motion demanding a speedy trial. The District Court set
a trial date for April 2010, which was continued at the
Government’s request.
In May 2010, more than three months after the hearing
before the Magistrate Judge, Davila agreed to plead guilty
to the conspiracy charge in exchange for dismissal of the
other 33 counts charged in the indictment. Davila entered
his guilty plea before a U. S. District Judge six days later.
Under oath, Davila stated that he had not been forced
or pressured to plead guilty. Id., at 122. Davila did not
mention the in camera hearing before the Magistrate
Judge, and the record does not indicate whether the District Judge was aware that the pre-plea hearing had taken
place. See id., at 82–99, 115–125.
Before he was sentenced, Davila moved to vacate his
plea and to dismiss the indictment. The reason for his
plea, Davila asserted, was “strategic.” Id., at 58. Aware
that the prosecutor had a duty to disclose all information Cite as: 569 U. S. ____ (2013) 5
Opinion of the Court
relevant to the court’s determination whether to accept
the plea bargain, he stated that his purpose in entering
the plea was to force the Government to acknowledge
timeframe errors made in the indictment. Id., at 58–59.
By pleading guilty, Davila said, he would make the court
aware that the prosecution was “vindictive.” Id., at 59.
The District Judge denied Davila’s motion. In so ruling,
the court observed that, at the plea hearing, Davila had
affirmed that he was under no “pressure, threats, or promises, other than promises [made] by the government in the
plea agreement.” Id., at 70. Furthermore, he had been
fully advised of his rights and the consequences of his
plea. Id., at 71. It was therefore clear to the District
Judge, who had himself presided at the plea hearing, that
Davila’s guilty plea “was knowing and voluntary.” Id., at
72. In view of Davila’s extensive criminal history, the
court sentenced him to a prison term of 115 months. Id.,
at 75–77. Again, neither Davila nor the court mentioned
the in camera hearing conducted by the Magistrate Judge.
Id., at 55–80.
On appeal, Davila’s court-appointed attorney sought
leave to withdraw from the case, asserting, in a brief filed
pursuant to Anders v. California, 386 U. S. 738 (1967),
that there were no issues of arguable merit to be raised on
Davila’s behalf. The Eleventh Circuit denied counsel’s
motion without prejudice to renewal. App. to Pet. for Cert.
6a–8a. It did so based on a discovery the appeals court
made upon “independent review” of the record. That
review “revealed an irregularity in the statements of a
magistrate judge, made during a hearing prior to Davila’s
plea, which appeared to urge [him] to cooperate and be
candid about his criminal conduct to obtain favorable
sentencing consequences.” Id., at 7a. The court requested
counsel to address whether the “irregularity” constituted
reversible error under Federal Rule of Criminal Procedure
11(c)(1). Id., at 7a–8a. 6 UNITED STATES v. DAVILA
Opinion of the Court
Following the court’s instruction, counsel filed a brief
arguing that Davila’s plea should be set aside due to the
Magistrate Judge’s comments. In response, the Government conceded that those comments violated Rule 11(c)(1).
Even so, the Government urged, given the three-month
gap between the comments and the plea, and the fact that
a different judge presided over Davila’s plea and sentencing hearings, no adverse effect on Davila’s substantial
rights could be demonstrated. Pursuant to Circuit precedent, the appeals court held that the Rule 11(c)(1) violation required automatic vacatur of Davila’s guilty plea.
Under the Circuit’s “bright line rule,” the court explained,
there was no need to inquire whether the error was, in
fact, prejudicial. 664 F. 3d 1355, 1359 (CA11 2011)
(per curiam).
We granted certiorari to resolve a Circuit conflict concerning the consequences of a Rule 11(c)(1) violation. 568
U. S. ___ (2013).2
——————
2
Compare United States v. Bradley, 455 F. 3d 453, 461 (CA4 2006)
(Rule 11(c) errors are not structural and are subject to plain-error
review); United States v. Pagan-Ortega, 372 F. 3d 22, 27–28 (CA1 2004)
(“[A] facially appealing claim of improper judicial participation in a plea
proceeding prior to its solemnization in writing did not, on close analysis, demonstrate a basic unfairness and lack of integrity in the proceeding.”); United States v. Ebel, 299 F. 3d 187, 191 (CA3 2002) (“[W]hen
Rule 11 error has been committed in the taking of a guilty plea, we can
consider the record as a whole to determine whether, under Rule 11(h),
[the defendant’s] substantial rights were affected.”); United States v.
Kraus, 137 F. 3d 447, 457–458 (CA7 1998) (applying harmless-error
review); and United States v. Miles, 10 F. 3d 1135, 1140–1141 (CA5
1993) (“Rule 11(h) . . . compel[s] harmless error review.”), with 664
F. 3d 1355 (CA11 2011) (this case); United States v. Anderson, 993 F. 2d
1435, 1438–1439 (CA9 1993) (“Rule 11’s ban [on judicial involvement in
plea negotiations is] an absolute command which admits of no exceptions.” (internal quotation marks omitted)); and United States v.
Barrett, 982 F. 2d 193, 196 (CA6 1992) (“This court’s role is not to weigh
the judge’s statements to determine whether they were so oppressive as
to abrogate the voluntariness of the plea.”). Cite as: 569 U. S. ____ (2013) 7
Opinion of the Court
II
Rule 11(c)(1)’s prohibition of judicial involvement in plea
discussions was introduced as part of the 1974 Amendment to the Rule. See Advisory Committee’s 1974 Note on
Subd. (e)(1) of Fed. Rule Crim. Proc. 11, 18 U. S. C. App.,
p. 1420 (1976 ed.) (hereinafter Advisory Committee’s 1974
Note).3
 As the Advisory Committee’s note explains, commentators had observed, prior to the amendment, that
judicial participation in plea negotiations was “common
practice.” Id., at 1420 (citing D. Newman, Conviction: The
Determination of Guilt or Innocence Without Trial 32–52,
78–104 (1966); Note, Guilty Plea Bargaining: Compromises
by Prosecutors to Secure Guilty Pleas, 112 U. Pa. L.
Rev. 865, 891, 905 (1964)). Nonetheless, the prohibition
was included out of concern that a defendant might be
induced to plead guilty rather than risk displeasing the
judge who would preside at trial. Advisory Committee’s
1974 Note 1420. Moreover, the Advisory Committee anticipated, barring judicial involvement in plea discussions
would facilitate objective assessments of the voluntariness
of a defendant’s plea. Ibid.
Added as a part of the 1983 Amendment, Rule 11(h)
provides that “a variance from the requirements of [Rule
11] is harmless error if it does not affect substantial
rights.” Subsection (h), the Advisory Committee’s note
informs, “rejects the extreme sanction of automatic reversal” for Rule 11 violations and clarifies that Rule 52(a)’s
harmlessness inquiry applies to plea errors. Advisory
Committee’s 1983 Note on Subd. (h) of Fed. Rule Crim.
Proc. 11, 18 U. S. C. App., pp. 749, 751 (1988 ed.) (hereinafter Advisory Committee’s 1983 Note).
The addition of subsection (h) was prompted by lower
——————
3
As originally enacted, the prohibition of court participation in plea
discussions was found in Rule 11(e)(1). See Fed. Rule Crim. Proc.
11(e)(1) (1976). 8 UNITED STATES v. DAVILA
Opinion of the Court
court over-readings of McCarthy v. United States, 394
U. S. 459 (1969). That decision called for vacatur of a
guilty plea accepted by the trial court without any inquiry
into the defendant’s understanding of the nature of the
charge. The Advisory Committee explained that subsection (h) would deter reading McCarthy “as meaning that
the general harmless error provision in Rule 52(a) cannot
be utilized with respect to Rule 11 proceedings.” Advisory
Committee’s 1983 Note 751. Substantial compliance with
Rule 11 would remain the requirement, but the new subsection would guard against exalting “ceremony . . . over
substance.” Id., at 749.
For trial court errors generally, Rule 52(a) states that
“[a]ny error, defect, irregularity, or variance that does not
affect substantial rights must be disregarded.” Rule 11(h),
as just noted, was designed to make it clear that Rule 11
errors are not excepted from that general Rule. Advisory
Committee’s 1983 Note 749. Rule 52, in addition to stating the “harmless-error rule” in subsection (a), also states,
in subsection (b), the “plain-error rule,” applicable when a
defendant fails to object to the error in the trial court.
Rule 52(b) states: “A plain error that affects substantial
rights may be considered even though it was not brought
to the [trial] court’s attention.” When Rule 52(a)’s “harmlesserror rule” governs, the prosecution bears the burden of
showing harmlessness. See United States v. Vonn, 535
U. S. 55, 62 (2002). When Rule 52(b) controls, the defendant must show that the error affects substantial rights.
Ibid.
In two cases, United States v. Vonn, 535 U. S. 55, and
United States v. Dominguez Benitez, 542 U. S. 74 (2004),
this Court clarified that a Rule 11 error may be of the Rule
52(a) type, or it may be of the Rule 52(b) kind, depending
on when the error was raised. In Vonn, the judge who
conducted the plea hearing failed to inform the defendant,
as required by Rule 11, that he would have “the right to Cite as: 569 U. S. ____ (2013) 9
Opinion of the Court
the assistance of counsel” if he proceeded to trial. See Fed.
Rule Crim. Proc. 11(c)(3) (2000).4
 The defendant first
objected to the omission on appeal. We addressed the
question “whether a defendant who lets Rule 11 error pass
without objection in the trial court must carry the burdens
of Rule 52(b) or whether even the silent defendant can put
the Government to the burden of proving the Rule 11 error
harmless.” 535 U. S., at 58.
The Defendant in Vonn had urged that “importation of
[Rule 52(a)’s] harmless-error standard into Rule 11(h)
without its companion plain-error rule was meant to eli-
minate a silent defendant’s burdens under . . . Rule 52(b).”
Id., at 63. This Court rejected the defendant’s argu-
ment and held that “a silent defendant has the burden
to satisfy the plain-error rule.” Id., at 59.
 In Dominguez Benitez, the Court addressed what the
silent defendant’s burden entailed. The judge presiding at
the plea hearing in that case failed to warn the defendant,
as Rule 11(c)(3)(B) directs, that he would not be permitted
to withdraw his guilty plea even if the court did not accept the plea-bargained sentencing recommendation. 542
U. S., at 79. As in Vonn, the error was first raised on
appeal. 542 U. S., at 79. This Court again held that Rule
52(b) was controlling. Id., at 82. Stressing “the particular
importance of the finality of guilty pleas,” ibid., the Court
prescribed the standard a defendant complaining of a Rule
11 violation must meet to show “plain error”: “[A] defendant who seeks reversal of his conviction after a guilty plea,
on the ground that the district court committed plain error
under Rule 11, must show a reasonable probability that,
but for the error, he would not have entered the plea.” Id.,
at 83.
——————
4
The requirement that the judge inform the defendant that he has
“the right to be represented by counsel” is currently found in Rule
11(b)(1)(D). 10 UNITED STATES v. DAVILA
Opinion of the Court
III
In Davila’s case, the Government acknowledged in this
Court, as it did before the Eleventh Circuit, that the Magistrate Judge violated Rule 11(c)(1) by improperly participating in plea discussions. As the excerpts from the in
camera hearing, set out supra, at 2–4, show, there is no
room for doubt on that score. The Magistrate Judge’s
repeated exhortations to Davila to “tell it all” in order to
obtain a more favorable sentence, see App. 157–160, were
indeed beyond the pale.
Did that misconduct in itself demand vacatur of Davila’s
plea, as the Eleventh Circuit held, or, as the Government
urges, must a reviewing court consider all that transpired
in the trial court in order to assess the impact of the error
on the defendant’s decision to plead guilty? We hold that
the latter inquiry is the one the Rules and our precedent
require.
Davila contends that automatic vacatur, while inappropriate for most Rule 11 violations, should attend conduct
banned by Rule 11(c)(1). He distinguishes plea-colloquy
omissions, i.e., errors of the kind involved in Vonn and
Dominguez Benitez, from pre-plea exhortations to admit
guilt. Plea-colloquy requirements come into play after a
defendant has agreed to plead guilty. The advice and
questions now specified in Rules 11(b) and 11(c)(3)(B),
Davila observes, are designed to ensure that a defendant’s
plea is fully informed and intelligently made. Errors or
omissions in following Rule 11’s plea-colloquy instructions,
Davila recognizes, are properly typed procedural, and are
therefore properly assessed under the harmless-error
instruction of Rule 11(h).
Rule 11(c)(1)’s prohibition on judicial participation in
plea discussions, in contrast, becomes operative before a
defendant has decided whether to plead guilty or to stand
trial. The Rule serves a more basic purpose, Davila urges,
one “central to the proper functioning of the criminal Cite as: 569 U. S. ____ (2013) 11
Opinion of the Court
process.” Brief for Respondent 18. Therefore, “the remedial analysis that applies to violations of . . . procedural
provisions does not and should not apply to th[is] distinct
class of error.” Id., at 16. Violations of Rule 11(c)(1),
Davila elaborates, heighten the risk that a defendant’s
plea will be coerced or pressured, and not genuinely an
exercise of free will. When a judge conveys his belief that
pleading guilty would be to a defendant’s advantage,
Davila adds, the judge becomes, in effect, a second prosecutor, depriving the defendant of the impartial arbiter to
which he is entitled. “Rule 11(c)(1)’s bright-line prohibition on judicial exhortations to plead guilty,” Davila concludes, is “no mere procedural technicality,” id., at 21, for
such exhortations inevitably and incurably infect the
ensuing pretrial process. Id., at 43.
Nothing in Rule 11’s text, however, indicates that the
ban on judicial involvement in plea discussions, if dishonored, demands automatic vacatur of the plea without
regard to case-specific circumstances. The prohibition
appears in subsection (c), headed “Plea Agreement Procedure.” See Fed. Rule Crim. Proc. 11(c). That subsection
affirms that the prosecution and defense attorney (or the
defendant when proceeding pro se) “may discuss and reach
a plea agreement.” Rule 11(c)(1). Further, Rule 11(c)
describes permissible types of plea agreements, see Rule
11(c)(1)(A)–(C), and addresses the court’s consideration,
acceptance, or rejection of a proffered agreement, see Rule
11(c)(3)–(5).
In recommending the disallowance of judicial participation in plea negotiations now contained in subsection
(c)(1), the Advisory Committee stressed that a defendant
might be induced to plead guilty to avoid antagonizing the
judge who would preside at trial. See Advisory Committee’s 1974 Note 1420. But the Committee nowhere suggested that violation of Rule 11(c)(1) is necessarily an
error graver than, for example, the error in Dominguez 12 UNITED STATES v. DAVILA
Opinion of the Court
Benitez, i.e., the failure to tell a defendant that the plea
would bind him even if the sentence imposed significantly
exceeded in length the term of years stated in the plea
bargain. As earlier noted, see supra, at 7, the Committee
pointed to commentary describing judicial engagement
in plea bargaining as a once “common practice,”5
 and it
observed that, in particular cases, questions may arise
“[a]s to what . . . constitute[s] ‘participation.’” Advisory
Committee’s 1974 Note 1420.
In short, neither Rule 11 itself, nor the Advisory Committee’s commentary on the Rule singles out any instruction as more basic than others. And Rule 11(h), specifically
designed to stop automatic vacaturs, calls for across-theboard application of the harmless-error prescription
(or, absent prompt objection, the plain-error rule). See
supra, at 7–8.
Rule 11(c)(1) was adopted as a prophylactic measure,
see supra, at 7, not one impelled by the Due Process
Clause or any other constitutional requirement. See 664
F. 3d, at 1359 (recognizing that Rule 11(c)(1) is part of a
“prophylactic scheme”). We have characterized as “structural” “a very limited class of errors” that trigger automatic
reversal because they undermine the fairness of a criminal proceeding as a whole. United States v. Marcus, 560
U. S. 258, ___ (2010) (slip op., at 4–5) (internal quotation
marks omitted). Errors of this kind include denial of
counsel of choice, denial of self-representation, denial of a
public trial, and failure to convey to a jury that guilt must
be proved beyond a reasonable doubt. See, e.g., United
States v. Gonzalez-Lopez, 548 U. S. 140, 150 (2006) (ranking “deprivation of the right to counsel of choice” as
——————
5
For state provisions permitting at least some judicial participation
in plea bargaining, see, e.g., N. C. Gen. Stat. Ann. §15A–1021(a) (Lexis
2011); Idaho Crim. Rule 11(f) (2012); Vt. Rule Crim. Proc. 11 Reporter’s
Notes (2003 and Supp. 2012). Cite as: 569 U. S. ____ (2013) 13
Opinion of the Court
“‘structural error’”). Rule 11(c)(1) error does not belong in
that highly exceptional category. See Neder v. United
States, 527 U. S. 1, 7 (1999) (structural errors are “fundamental constitutional errors that ‘defy analysis by “harmless error” standards’” (quoting Arizona v. Fulminante,
499 U. S. 279, 309 (1991)).
Had Davila’s guilty plea followed soon after the Magistrate Judge told Davila that pleading guilty might be “the
best advice” a lawyer could give him, see App. 152, this
case may not have warranted our attention. The automaticvacatur rule would have remained erroneous, but the
Court of Appeals’ mistake might have been inconsequential. See Tr. of Oral Arg. 47 (Counsel for the Government
acknowledged that if there is a “serious [Rule 11(c)(1)]
error,” and the defendant pleads guilty “right after that,”
the error would likely qualify as prejudicial). Our essential point is that particular facts and circumstances matter. Three months distanced the in camera meeting with
the Magistrate Judge from Davila’s appearance before the
District Judge who examined and accepted his guilty plea
and later sentenced him. Nothing in the record shows
that the District Judge knew of the in camera hearing.
After conducting an exemplary Rule 11 colloquy, the judge
inquired: “Mr. Davila, has anyone forced or pressured you
to plead guilty today?,” to which Davila responded: “No,
sir.” App. 122. At the time of the plea hearing, there was
no blending of judicial and prosecutorial functions.
Given the opportunity to raise any questions he might
have about matters relating to his plea, Davila simply
affirmed that he wished to plead guilty to the conspiracy
count. When he later explained why he elected to plead
guilty, he said nothing of the Magistrate Judge’s exhortations. Instead, he called the decision “strategic,” designed
to get the prosecutor to correct misinformation about the
conspiracy count. Id., at 58–59, 61. Rather than automatically vacating Davila’s guilty plea because of the Rule 14 UNITED STATES v. DAVILA
Opinion of the Court
11(c)(1) violation, the Court of Appeals should have considered whether it was reasonably probable that, but for
the Magistrate Judge’s exhortations, Davila would have
exercised his right to go to trial. In answering that question, the Magistrate Judge’s comments should be assessed,
not in isolation, but in light of the full record.
IV
The Court of Appeals did not engage in that full-record
assessment here. Rather, the court cut off consideration of
the particular facts of Davila’s case upon concluding that
the Magistrate Judge’s comments violated Rule 11(c)(1).
That pretermission kept the court from reaching casespecific arguments raised by the parties, including the
Government’s assertion that Davila was not prejudiced by
the Magistrate Judge’s comments, and Davila’s contention
that the extraordinary circumstances his case presents
should allow his claim to be judged under the harmlesserror standard of Rule 52(a) rather than the plain-error
standard of Rule 52(b), the rule that ordinarily attends a
defendant’s failure to object to a Rule 11 violation. See
supra, at 8; 664 F. 3d, at 1358 (citing United States v.
Moriarty, 429 F. 3d 1012, 1019 (CA11 2005) (per curiam)).
Having explained why automatic vacatur of a guilty plea
is incompatible with Rule 11(h), see supra, at 11–13 and
this page, we leave all remaining issues to be addressed by
the Court of Appeals on remand.
* * *
The judgment of the Court of Appeals is vacated, and
the case is remanded for further proceedings consistent
with this opinion.
It is so ordered. SCALIA, J., concurring
_________________
_________________
Cite as: 569 U. S. ____ (2013) 1
Opinion of SCALIA, J.
SUPREME COURT OF THE UNITED STATES
No. 12–167
UNITED STATES, PETITIONER v. ANTHONY DAVILA
ON WRIT OF CERTIORARI TO THE UNITED STATES COURT OF
APPEALS FOR THE ELEVENTH CIRCUIT
[June 13, 2013]
JUSTICE SCALIA, with whom JUSTICE THOMAS joins, concurring in part and concurring in the judgment.
I agree with the Court that a defendant must be prejudiced by a Rule 11(c)(1) error to obtain relief. That is
because the text of Federal Rule of Criminal Procedure
11(h) says exactly that, in words whose meaning is crystal
clear: “Harmless error. A variance from the requirements
of this rule is harmless error if it does not affect substantial rights.” (Emphasis added.) As the Court recognizes, this rule “calls for across-the-board application of the
harmless-error prescription (or, absent prompt objection,
the plain-error rule).” Ante, at 12. That is the beginning
and the end of this case. We should not rely on the notes
of the Advisory Committee to unearth Rule 11’s alleged
design, for “[t]he Committee’s view is not authoritative”
and the text of the Rule conclusively resolves the question
before us. See Black v. United States, 561 U. S. ___, ___
(2010) (SCALIA, J., concurring in part and concurring in
judgment) (slip op., at 1).