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Thursday, February 28, 2013

Order XXII Rule 4 Sub-Rule 4 , New subrule 3A in rule 4 of Order XXII - whether the suit filed by the plaintiffs-respondents seeking a decree for declaration, partition and injunction against the appellants abated on the failure of the plaintiffs to file an application for substitution of the Legal Representatives of Virendra Kumar one of the defendants. In the First Schedule, in Order XXII,– (i) in Rule 4, after sub-rule (3), the following subrules shall be inserted, namely:- “(4) The Court whenever it thinks fit, may exempt the plaintiff from the necessity of substituting the legal representatives of any such defendant who has failed to file a written statement or who, having filed it, has failed to appear and contest the suit at the hearing; and judgment may, in such case, be pronounced against the said defendant and shall have the same force and effect as if it has been pronounced before death took place.” - the legal representatives of Virendra Kumar, deceased, have already been brought on record in place of Devendra Kumar, their uncle (Virendra Kumar’s brother) who died issueless. They can, therefore, represent the estates left behind by both Virendra Kumar and Devendra Kumar. Grant of exemption in that view is only a matter of maintaining procedural rectitude more than any substantial adjudication of the matter in controversy. This Court has at any rate adopted a liberal approach in setting aside abatement of suits. 11. In the result this appeal fails and is, hereby, dismissed. The trial Court shall now proceed to dispose of the suit on merits as early as possible. No costs.


Page 1
REPORTABLE
IN THE SUPREME COURT OF INDIA
CIVIL APPELLATE JURISDICTION
CIVIL APPEAL NO. 1457 OF 2013
(Arising out of S.L.P. (C) No.21276 of 2006)
Mata Prasad Mathur (dead) by LRs. …Appellants
Versus
Jwala Prasad Mathur & Ors. …Respondents
WITH
Contempt Petition (C) Nos.11 of 2011 and No.435 of 2011
J U D G M E N T
T.S. THAKUR, J.
1. Leave granted.
2. The short question that arises for determination in this
appeal is 
whether the suit filed by the plaintiffs-respondents
seeking a decree for declaration, partition and injunction
against the appellants abated on the failure of the plaintiffs
to file an application for substitution of the Legal
1Page 2
Representatives of Virendra Kumar one of the defendants.
The trial Court, when approached by the plaintiff for deletion
of the name of the deceased and setting aside of the
abatement, held that the suit had abated in toto and
accordingly dismissed the same. In an appeal filed by the
plaintiffs against that order, the First Appellate Court held
that the trial Court had not properly considered the issue in
the light of the nature of the averments made in the plaint
and the relief sought by the plaintiff. The Court accordingly
set aside the judgment and order passed by the trial Court
with the observation that the demise of Virendra Kumar and
failure of the plaintiff to bring his legal representatives on
record did not affect the maintainability of the suit. The High
Court of Madhya Pradesh has affirmed that order, hence the
present appeal.
3. Having heard learned counsel for the parties, we are
inclined to agree with the order of the First Appellate Court
that the suit had not abated no matter for a reason different
from the one that prevailed with that Court. It is common
ground that Virendra Kumar-defendant was proceeded ex
2Page 3
parte as he had not appeared to contest the suit or file a
written statement. Substitution of the legal representatives
of such a defendant could be legitimately dispensed with by
the trial Court in view of the provisions of Order XXII Rule 4
Sub-Rule 4, which is as under:
“4. Procedure in case of death of one of several
defendants or of sole defendant.-
(1) xxxxx
(2) xxxxx
(3) xxxxx
(4)The court whenever it thinks fit, may exempt the
plaintiff from the necessity of substituting the legal
representatives of any such defendant who has
failed to file a written statement or who, having filed
it, has failed to appear and contest the suit at the
hearing; and judgment may, in such case, be
pronounced against the said defendant
notwithstanding the death of such defendant and
shall have the same force and effect as if it has
been pronounced before death took place.”
4. The High Court has, in our view, rightly noticed this
aspect in its order albeit the manner in which the High Court
dealt with the same is not all that satisfactory. Be that as it
may, so long as the power of exemption was available to the
trial Court, the same could and ought to have been exercised
by the First Appellate Court while hearing an appeal assailing
the dismissal of the suit as abated.
3Page 4
5. We may at this stage briefly trace the history of the
amendment of Order XXII, Rule 4 only to highlight the
purpose underlying the same. The Law Commission had,
despite noticing that many of the High Courts had made local
amendments to incorporate Sub-Rule (4) to Rule 4 to Order
XXII, made its recommendations against a similar
incorporation. In the 27th Report of the Law Commission
of India, on the amendment to the Code of Civil Procedure,
1908, the Commission noted at p.210,
“Order XXII, rule 4 – relaxation of
The question whether the court should have power to
grant exemption in respect of the requirement of
substitution in a proper case has been considered.
Local amendments giving such power have been
made by the High Courts of Calcutta, Madras, Orissa,
etc., in respect of a defendant who has failed to
appear and contest the suit. It is, however, felt that
such a change should not be made, as it would
impinge upon the rule that litigation should not
proceed in the absence of the heirs of a person who
is dead. These local Amendments have not,
therefore, been adopted”.
6. In the 54th Report of the Law Commission, the
matter was once more taken up for consideration by the
Commission. The Report notes in Chapter 22 at p.193,
”Order 22, rule 4 – power to relax – whether
should be given
4Page 5
22.2. The first point concerns Order 22, rule 4,
under which non-substitution of a legal
representative leads to abatement of the suit. The
question whether the Court should, in a proper case,
have power to grant exemption in respect of the
requirement of substitution of the legal
representative was considered in the earlier Report.
The Commission noted that local amendments
giving such power had been made by the High
Courts of Calcutta, Madras, Orissa, etc., in respect of
a defendant who has failed to appear and contest
the suit. It however, felt that such a change should
not be made, as it would impinge upon the rule that
litigation should not proceed in the absence of the
heirs of a person who is dead. These local
Amendments were not therefore, adopted.
22.3. We considered the matter further. At one
stage we were inclined to add sub-rule (4) in Order
22, rule 4 as follows:-
“(4) The Court, whenever it seems fit, may exempt
the plaintiff from the necessity to substitute the
legal representative of any defendant against
whom the case has been allowed to proceed ex
parte or who has failed to file his written
statement or who, having filed it, has failed to
appear and contest at the hearing, and the
judgment in such a case may be pronounced
against such defendant notwithstanding the
death of such defendant, and shall have the
same force and effect as if it had been
pronounced before the death took place.”
22.4. We have however, come to the conclusion
that any such amendment would amount to
passing a decree against a dead man and would
be wrong in principle. Hence no change is
recommended”.
7. Interestingly, the Amendment that followed the 54th
Law Commission Report of 1973, substantially introduced
Order XXII Rule 4(4) to the Code of Civil Procedure, vide
s.73(i) of Act 104 of 1976. It is noteworthy that in the
5Page 6
original Bill, the provision of Order XXII Rule 4(4) was not
included. The Bill was then referred to the Joint Committee
and a recommendation made for the inclusion of a provision
akin to Rule 4(4). The Joint Committee noted:
“55. Clause 73 (Original clause 76) – (i) The
Committee were informed during the course of
evidence by various witnesses that delay in the
substitution of the legal representatives of the
deceased defendant was one of the causes of delay
in the disposal of suits. The Committee were also
informed that, as a remedial measure, the Calcutta,
Madras, Karnataka and Orissa High Courts had
inserted a new sub-rule in Rule 4 of Order XXII to
the effect that substitution of the legal
representatives of a non-contesting defendant would
not be necessary and the judgment delivered in the
case would be as effective as it would have been if it
had been passed when the defendant was alive.
The Committee are, therefore, of the view that
in order to avoid delay in the substitution of the
legal representatives of the deceased defendant and
consequent delay in the disposal of suits, similar
provision may be made in the Code itself.
New subrule 3A in rule 4 of Order XXII has been inserted
accordingly”.
8. The Joint Committee, accordingly, inserted the following
provision in the Amendment Bill, which was later
incorporated through the Amendment.
“73. In the First Schedule, in Order XXII,–
(i) in Rule 4, after sub-rule (3), the following sub rules shall be inserted, 
namely:-
“(4) The Court whenever it thinks fit, may exempt
the plaintiff from the necessity of substituting
6 Page 7
the legal representatives of any such defendant
who has failed to file a written statement or
who, having filed it, has failed to appear and
contest the suit at the hearing; and judgment
may, in such case, be pronounced against the
said defendant and shall have the same force
and effect as if it has been pronounced before
death took place.”
9. It would appear from the above that the Legislature
incorporated the provision of Order XXII Rule 4(4) with a
specific view to expedite the process of substitution of the
LRs of non-contesting defendants. In the absence of any
compelling reason to the contrary the Courts below could and
indeed ought to have exercised the power vested in them to
avoid abatement of the suit by exempting the plaintiff from
the necessity of substituting the legal representative of the
deceased defendant-Virendra Kumar. We have no manner of
doubt that the view taken by the First Appellate Court and
the High Court that, failure to bring the legal representatives
of deceased Virendra Kumar did not result in abatement of
the suit can be more appropriately sustained on the strength
of the power of exemption that was abundantly available to
the Courts below under Order XXII Rule 4 (4) of the CPC.
7Page 8
10. It is important to note that
the legal representatives of
Virendra Kumar, deceased, have already been brought on
record in place of Devendra Kumar, their uncle (Virendra
Kumar’s brother) who died issueless. They can, therefore,
represent the estates left behind by both Virendra Kumar
and Devendra Kumar. Grant of exemption in that view is only
a matter of maintaining procedural rectitude more than any
substantial adjudication of the matter in controversy. This
Court has at any rate adopted a liberal approach in setting
aside abatement of suits. 
11. In the result this appeal fails and is, hereby, dismissed.
The trial Court shall now proceed to dispose of the suit on
merits as early as possible. No costs.
Contempt Petition (C) Nos.11 of 2011 and No.435 of
2011
12. We have heard learned counsel for the parties and
examined the averments made in the contempt petitions. We
do not consider it necessary to take any further action in
these petitions in which the parties appear to be accusing
8Page 9
each other of committing contempt of this Court. The
contempt petitions are, therefore, dismissed.
………………….……….…..…J.
(T.S. Thakur)
 …………………………..…..…J.
(Gyan Sudha Misra)
New Delhi
February 20, 2013
9

Wednesday, February 27, 2013

Credit Rating Agency (“CRA”) - appeal under Section 15Z of the Securities and Exchange Board of India Act, 1992 (“the SEBI Act”) is directed against the impugned judgment and final order dated 9th November, 2011 passed by the Securities Appellate Tribunal, Mumbai (“the SAT”), in Appeal No. 155 of 2011, by which the appeal filed by M/s Informetics Valuation and Rating Pvt. Ltd., (the respondent herein) was allowed, and the order dated 24th June, 2011 passed by the Whole Time Member of SEBI and communication dated 21st July, 2011 of the Securities and Exchange Board of India (”the SEBI”) was set aside. By the impugned order, the SAT has remanded the matter back to the appellant to consider the application of the respondent seeking registration Page 1 of 29Page 2 as a Credit Rating Agency (“CRA”) without requiring the respondent to produce Audited Annual Accounts of the respondent’s promoters for the two years ending December, 2010.- a CRA had been defined as a body corporate, which is engaged or proposes to be engaged in the business of rating of securities offered by way of public or rights issue. - Surprisingly, however, the Board continued to grant further time to the respondent to remove the objections even beyond the maximum sixty days permissible under the proviso to Regulation 6. It appears that the enquiries continued from 20th August, 2009 till March 1, 2011 when the show cause notice was issued to the respondent. The application of the respondent is not rejected till 21st July, 2011. The delay in the rejection of the application of the respondent was wholly unwarranted. It allowed the respondent a latitude not permissible under the regulations. Taking advantage of this latitude, the respondent has provided the Audited Accounts for the five years preceding the date of application. Not only this, we are informed that by now the respondent has even produced before this Court in a sealed cover the Audited Accounts of M/s. Coment (Mauritius) Limited for the subsequent two years upto 31st December, 2010 also. 29. Since the Board had extended the time to the respondent, even though not permissible in law, we are not inclined to modify the directions issued by the SAT. Especially in view of the submission of Mr. Suri that respondent is willing at this stage to produce the Audited Accounts of the promoter even for the subsequent two years. Page 28 of 29Page 29 30. In view of the above, we see no merit in the appeal and the same is hereby dismissed with no order as to costs.


Page 1
REPORTABLE
IN THE SUPREME COURT OF INDIA
CIVIL APPELLATE JURISDICTION
CIVIL APPEAL NO. 291 OF 2012
SECURITIES AND EXCHANGE
BOARD OF INDIA
….APPELLANT
VERSUS
M/S. INFORMETICS VALUATION
AND RATING PVT. LTD. .…
RESPONDENT
O R D E R
SURINDER SINGH NIJJAR, J.
1. The present appeal under Section 15Z of the
Securities and Exchange Board of India Act, 1992 (“the
SEBI Act”) is directed against the impugned judgment
and final order dated 9th November, 2011 passed by the
Securities Appellate Tribunal, Mumbai (“the SAT”), in
Appeal No. 155 of 2011, by which the appeal filed by
M/s Informetics Valuation and Rating Pvt. Ltd., (the
respondent herein) was allowed, and the order dated
24th June, 2011 passed by the Whole Time Member of
SEBI and communication dated 21st July, 2011 of the
Securities and Exchange Board of India (”the SEBI”)
was set aside. By the impugned order, the SAT has
remanded the matter back to the appellant to consider
the application of the respondent seeking registration
Page 1 of 29Page 2
as a Credit Rating Agency (“CRA”) without requiring the
respondent to produce Audited Annual Accounts of the
respondent’s promoters for the two years ending
December, 2010.
2. We may notice here the skeletal facts which are
necessary for the determination of the limited legal
issue involved in this appeal.
3. On 11th June, 2009, the respondent submitted
an application to SEBI under Regulation 3 of the
Securities and Exchange Board of India (Credit Rating
Agencies) Regulations, 1999 (“the CRA Regulations,
1999”) seeking registration as a CRA.
The respondent
company was incorporated on 23rd June, 1986. The
promoters of the respondent are stated to be:
(a) M/s. Coment (Mauritius) Limited through M/s.
ACE Step Management Ltd.
(b) M/s. V. Malik & Associates, Chartered
Accountants – Consortium Member for all the
Accounting and Management backup.
(c) Infomerics India Foundation – Consortium
Member as Policy Making Board.
4. The appellant (SEBI) is a Statutory Board
established under the SEBI Act to protect the interest of
investors in securities and to promote the development
of, and to regulate, the securities market and for
matters connected therewith or incidental thereto.
Under Section 11 of the SEBI Act, the appellant is duty
Page 2 of 29Page 3
bound to protect the interest of investors in securities
and promote the development of, and to regulate, the
securities market, by such measures as it thinks fit.
Section 11(2) specifically enables SEBI to take the
necessary measures to provide for inter alia registration
and regulating the working of the depositories,
participants, custodians of securities, foreign
institutional investors, credit rating agencies and such
other intermediaries as the Board may, by notification
specify in this behalf. 
5. Pursuant to the aforesaid power, in July, 1999,
SEBI issued a notification to bring CRAs under its
regulatory ambit, in exercise of powers conferred under
Section 30 read with Section 11 of the SEBI Act.
6. The CRA Regulations, 1999 empowers the
appellant to regulate CRAs operating in India.
Under
the CRA Regulations, 1999,
a CRA had been defined as
a body corporate, which is engaged or proposes to be
engaged in the business of rating of securities offered
by way of public or rights issue.
SEBI has also
prescribed a Code of Conduct to be followed by the
CRAs in the aforesaid regulations.
The CRA
Regulations, 1999 inter alia, contain:
A. Regulations pertaining to the registration of
credit rating agencies, application for grant of
initial and permanent certificate, eligibility
Page 3 of 29Page 4
criteria for promoter(s) of the credit rating
agency, furnishing of information,
clarification and personal representation by
the promoter(s), grant of certificate by SEBI,
its conditions, and procedure for refusal of
certificate and its effect.
B. General obligations of Credit Rating Agencies,
Code of Conduct, Agreement with client(s),
Monitoring and process of rating and the
Procedure for review of rating, Appointment
of Compliance Officer, maintenance of proper
books of Accounts and records, etc.
C. Restrictions on rating of securities issued by
promoter(s) or by certain other person(s)
D. Procedure for inspection and investigation
E. Procedure for action in case of default
7. On 11th June, 2009, the respondent submitted
an application to SEBI under Regulation 3 of the CRA
Regulations, 1999.
The office of the respondent was
duly visited and inspected by the appellant. All
information that was required by the appellant was
supplied by the respondent.
Further undertakings and
confirmations as required by the appellant were also
provided.
By letter dated 20th August, 2009, the
appellant required the respondent to furnish complete
details of his promoters, confirm the status of their
eligibility under Regulation 4(e) of the CRA Regulations,
1999, offer comments on a discrepancy noted in the
Page 4 of 29Page 5
promoter’s net worth certificate etc.
In the aforesaid
letter, it was pointed out that under Regulation 4(e) of
the CRA Regulations, 1999, the applicant is required to
show that its promoters have a continuous net worth of
minimum Rs.100 crores as per its Audited Annual
Accounts for the previous five years prior to filing of the
application with the Board for grant of certificate under
the CRA Regulations, 1999.
It is pointed out that
although M/s. ACE Step Management Ltd., as a
promoter of the respondent, has the continuous net
worth of minimum Rs.100 crores as per its Audited
Annual Accounts for the previous five years prior to the
filing of the application, yet the net worth certificate
dated 29th May, 2009, certified by the accountants in
this regard pertains to M/s. Coment (Mauritius) Limited.

Therefore, the respondent was advised to offer
comments on the aforesaid discrepancy and submit the
requisite net worth certificate in compliance with the
relevant provisions of the CRA Regulations, 1999.
8. The respondent through its letter dated 21st
August, 2009 submitted the reply to the aforesaid
discrepancy pointed out by the appellant.
The
respondent stated that M/s. Coment (Mauritius) Limited
has invested in the appellant company through its
associate company M/s. ACE Step Management Ltd.,
which was holding 3,65,000 (Three Lac Sixty Five
Thousand) 10.84% equity shares in their company,
Page 5 of 29Page 6
which is within the parameters of Regulation 4(e) of the
CRA Regulations, 1999.
The respondent also confirmed
that M/s. Coment (Mauritius) Limited is a promoter of
the respondent company having a continuing net worth
of minimum Rs.100 crores as per its Audited Annual
Accounts for the previous five years prior to the filing of
the application with the Board.
Therefore, it was stated
that there is no discrepancy and the net worth
certificate submitted by the respondent is in
compliance with the provisions of the CRA Regulations,
1999.
Still not satisfied, the appellant through an email dated 1st September, 2009 (5.36 PM) directed the
respondent to furnish the Audited Annual Accounts of
the promoters of the appellant company for the
previous five years prior to the filing of the application
with SEBI.
The respondent through a letter dated 1st
September, 2009 again informed the appellant that
their promoter M/s. Coment (Mauritius) Limited had the
continuous net worth of Rs. 100 crores as per the
Annual Accounts for the previous five years.
Their
accounts are audited and they have provided the
appellant with a certificate of their bankers ING Asia
Private Bank Ltd., Dubai, to that effect.
The certificate
was enclosed with the aforesaid letter.
The certificate
issued by the ING Bank was as under:-
“ING
PRIVATE BANKING
Date: 21 May 2009
Page 6 of 29Page 7
TO WHOMSOEVER IT MAY CONCERN
This is to confirm that M/s. Coment
(Mauritius) Limited, Les Cascade Building,
Edith Cavell Street, Port Louris, Republic of
Mauritius, part of the Kataria Group has had
a continued net worth of over Rs.100 crores
as per its accounts for the previous five
years.
We further confirm that M/s. ACE Step
Management Ltd. is promoted by M/s.
Coment (Mauritius) Limited.
The above information is given in strictest
confidence at the request of our client and
is without responsibility or engagement on
the part of the Bank and/or any of its
officers or employees for its content or any
reliance made upon it. The letter does not
constitute any guidance on the part of the
bank.
Yours faithfully,
Sd/-
Nitin Bhatnagar
Director & Head South Asia Team”
9. The letter further pointed out that “since the
Coment (Mauritius) Ltd. Balance sheet is not a public
document though in terms of holding in our company it
is 10.84 % but in their terms it is a small investment
made they may not like to share balance sheet with us.
However, their bankers have confirmed that as per
certificate it is within the compliance of SEBI
regulation.” In view of the confirmation given by the
bankers of M/s. Coment (Mauritius) Ltd. Promoter
Page 7 of 29Page 8
Company, the respondent requested the appellant to
rely on the bankers certificate.
10. It is further pointed out that in any event the
respondent had submitted the annual accounts for the
last 5 years.
However, inspite of aforesaid, the
appellant vide its letter dated 15th September, 2009
directed the respondent to furnish an undertaking as to
whether the promoter of respondent or any associate of
the respondent are registered with any regulatory
agency abroad and also directed the respondent to
have Audited Annual Accounts of the promoters for the
5 years prior to filing of the application.
11. The respondent by a letter dated 21st
September, 2009 stated that it would furnish the
Balance Sheet for five years period as soon as they
were received by the respondent. The appellant by his
letter dated 21st October, 2009 further directed the
respondent to furnish the Audited Annual Accounts and
detailed profile of the promoters of the respondent. On
26th November, 2009, respondent furnished the detailed
profiles of its promoters and specific details about the
promoters such as their activities in detail, the
composition of the Board of Directors and the summary
of their financial results for the last five years.
However, the Balance Sheet for the five year's period
was not furnished. Having furnished all the
Page 8 of 29Page 9
information, the respondent by its letter dated 11th
January, 2010 requested for approval of its pending
application dated 11th June, 2009, for being registered
as a CRA. However, in spite of repeated requests, the
necessary registration was not granted.
 In fact, the
appellant by letter dated 28th July, 2010 once again
advised the respondent to furnish Audited Annual
Accounts of its promoters - M/s. Coment (Mauritius)
Limited for the period 2006 to 2009.
It appears that till
1st March, 2011, the appellant was not satisfied with the
efforts made by the respondent to supply the necessary
Audited Accounts and issued Show Cause Notice as to
why the application for registration should not be
rejected in terms of Regulation 11(1) of the CRA
Regulations, 1999.
12. We may notice here that in the Show Cause
Notice, it is specifically mentioned that the respondent
has failed to produce the Audited Annual Accounts of
the promoter M/s. Coment (Mauritius) Limited for the
previous five years prior to the filing of the application
with the Board for registration as a CRA. It was pointed
out that the respondent has not fulfilled the
requirement under Regulation 4(e) read with Regulation
7(1) of the CRA Regulations, 1999. Therefore, SEBI was
prima facie of the view that the appellant was unable to
furnish the information sought by the Board during the
course of processing of the application for registration
Page 9 of 29Page 10
in accordance with the provisions of the CRA
Regulations, 1999. The respondent pointed out in its
reply to the Show Cause Notice dated 4th
March, 2011 that the appellant had enquired about the
status of M/s. Coment (Mauritius) Limited directly from
the Mauritius Regulatory Authority and collected all the
details to cross check their credentials.
 In spite of the
aforesaid, the appellant was still insisting upon the
same information which in fact is not a precondition for
registration under the SEBI law or regulations.
 It is
pointed out that even though the information was not
required to be provided under the regulations, the
investor company and the applicant still agree to
furnish the Balance Sheet only to enhance their
credibility and as a mark of their respect to SEBI. 
The
respondent in fact protested that it was not being given
equal treatment under law as others had been granted
registrations without submission of any Annual
Accounts of investor companies. 
Thereafter, the
respondent by its letters dated 15th March, 2011 and
18th March, 2011 submitted the Audited Annual
Accounts of M/s. Coment (Mauritius) Limited
for the periods ending 31st December,
2003 to 31st December, 2007. 
On its request, the
respondent was also granted a personal hearing by the
Whole Time Member of SEBI on 10th June, 2011.
However, even during the personal hearing, the
respondent was advised to file the Audited Accounts of
Page 10 of 29Page 11
M/s. Coment (Mauritius) Limited for the years 2009 and
2010. 
Again on 24th June, 2011, the Whole Time
Member of the appellant directed the respondent to
indicate as to which entity is its promoter(s) along with
the basis of considering the entity as such and to
submit Audited Annual Accounts of the promoter(s) for
the last five years along with computation of net worth
as per the SEBI prescribed formula latest by 15th July,
2011, failing which the application of the respondent
would be deemed to be rejected. 
The Whole Time
Member also directed the appellant to take a decision
on the basis of the details provided by the respondent
in pursuance of the order, latest by 15th August, 2011,
in accordance with law. The respondent on 5th July,
2011 sought review/reconsideration of the aforesaid
order. 
Ultimately, on 21st July, 2011, the appellant
rejected the application of the respondent.
13. Aggrieved by the rejection, the respondent
preferred an appeal being Appeal No. 155 of 2011 on
30th August, 2011 before the SAT.
Against the
communication dated 21st July, 2011 of the appellant
and the order dated 24th June, 2011 passed by the
Whole Time Member of the appellant. The SAT by its
judgment and final order dated 9th November, 2011
allowed the appeal and set aside the impugned order
dated 24th June, 2011 and 21st July, 2011 and remitted
the matter to the appellant to consider the application
Page 11 of 29Page 12
of the appellant without requiring it to produce the
accounts for the two years ending December, 2010.
Being aggrieved by the impugned order of SAT, SEBI is
in appeal before this Court under Section 15Z of the
SEBI Act.
14. We have heard the learned counsel for the
parties at length.
15. Whilst allowing the appeal, the SAT interpreted
Regulation 4(e), Regulation 7 and Form A contained in
the First Schedule of the Regulations. It has been
observed that :
 “An application was filed on June 11,
2009 and it is the requirement of
regulation 4(e) that the net worth of one
of the promoters of the applicant should
be rupees one hundred crores as per the
audited annual accounts for the previous
five years prior to the filing of the
application. As already mentioned above,
Form A prescribes that the applicant
should produce a certificate from a
Chartered Accountant to substantiate the
fact regarding the net worth of its
promoter which was done and the Board
has at no stage questioned its veracity.
Without doing so it (the Board) could not
have asked for the annual accounts of the
promoter.”
16. It is further observed that an application for the
grant of a certificate is to be made in Form A as
prescribed in the First Schedule to the Regulations.
According to the eligibility criteria prescribed therein,
Page 12 of 29Page 13
the applicant is required to enclose a Chartered
Accountant’s certificate, certifying the continues net
worth to be of Rs. 100 crores for five years in the case
of promoter referred to Regulation 4(e). With regard to
the directions issued by the appellant to the respondent
to produce the Annual Accounts of one of its promoters
for the five years preceding the date of application, the
SAT observed:-
“It is pertinent to mention here that neither
the regulations nor the eligibility criteria in
Form A requires the applicant to produce
the annual accounts of the promoter”
Reiterating its earlier view, the SAT further
observed:
“It is doubtful whether the Board could have
asked for this information without doubting
the veracity or correctness of the certificate
of the Chartered Accountant that
accompanied the application.”
“As already mentioned above, Form A
prescribes that the applicant should produce
a certificate from a Chartered Accountant to
substantiate the fact regarding the net
worth of its promoter which was done and
the Board has at no stage questioned its
veracity, without doing so it (the Board)
could not have asked for the annual
accounts of the promoter.”
Apart from the above, it is also noticed by the SAT
that accounts for five years preceding the application
were duly produced by the respondent. However, the
Board then directed the respondent to produce
accounts for another two years for the period ending
Page 13 of 29Page 14
December, 2010. Since the respondent failed to
produce the accounts for the two years, the application
of the respondent for registration as a CRA has been
rejected. It has been held that the direction for
producing two year’s accounts after the date of
application could not be justified under Regulation 7. It
has been held that such further information as referred
to Regulation 7 would mean any information in addition
to the information already furnished by the applicant
alongwith the application. The relevant observations of
SAT are :
“Surely the Board was not asking for any
further information. It was only seeking the
basic material on the basis of which the
Chartered Accountant had furnished a
certificate certifying that one of the promoters
of the appellant had a net worth of rupees one
hundred crores for the previous five years.
This information could be asked for if the
Board at any stage had doubted the
correctness or veracity of the certificate of the
Chartered Accountant.”
17. In coming to the aforesaid conclusion it is
observed by the SAT that wherever the regulations
wanted the applicant to produce the Annual Accounts, a
specific provision in that regard had been made in the
regulations. On the other hand, for the purpose of
substantiating the fact that the promoter of the
applicant had a net worth of Rs. 100 crores for the
previous five years, regulations do not require the
Annual Accounts of the promoter to be produced. The
Page 14 of 29Page 15
regulations read with Form A prescribed that a
certificate from the Chartered Accountant should be
filed for this purpose. Therefore, it is held that the
information sought by the appellant with regard to the
additional two years was beyond the scope of the
regulations and Form A, hence without jurisdiction.
18. Mr. C.U. Singh, learned senior counsel appearing
for the appellant submitted that at this stage, it would
not have been necessary to press the appeal on merits,
but for the observations made by the SAT that without
questioning the veracity of the certificate submitted by
the Chartered Accountant, the Board could not have
asked for the Annual Accounts of the promoter. He
submitted that these observations would seriously
curtail the powers of SEBI into requiring the applicant to
furnish all relevant information while considering the
application for registration as a CRA. For this limited
purpose, learned senior counsel submitted that it is
necessary for this Court to examine the correctness of
the order passed by the SAT.
19. On the other hand, Mr. Suri, learned senior counsel
appearing for the respondent submitted that necessary
information having been furnished to the Board, the
demand for an additional two years was beyond the
scope of enquiry under Regulation 4(e) and various
clauses of Form A. He emphasised that such an
Page 15 of 29Page 16
information could not be called for under Regulation 7.
According to the learned senior counsel that even for
the five years preceding the date of application, the
respondent is required only to look at the certificate of
the Chartered Accountant which has been duly
submitted by the respondent. However, in order to
comply with the directions issued by the appellant, the
respondent has already submitted the audited accounts
for the five years preceding the date of application.
Therefore, at this stage, there should be no hurdle to
the registration of the respondent as CRA by the
appellant.
20. We have considered the entire material and the
submissions made by the learned senior counsel for the
parties. The controversy raised herein revolves around
the interpretation of the provisions contained in
Regulation 4(e), Form A read with Regulation 7 of the
CRA Regulations, 1999. In order to appreciate the true
scope and ambit of the aforesaid provisions, it is
necessary to take a bird’s eye view of the SEBI Act and
the CRA Regulations, 1999. As noticed earlier, the
regulations have been made in exercise of the powers
conferred on the Board by Section 30 read with Section
11 of the SEBI Act. Section 30 empowers the Board by
notification to make regulations consistent with the Act
and to carry out the purposes of SEBI Act. Section 30
Page 16 of 29Page 17
(2)(d) empowers the Board to make regulations with
regard to the conditions subject to which certificate of
registration is to be issued, the amount of fee to be
paid for the certificate of registration and the manner of
suspension or cancellation of certificate of registration
under Section 12. Section 11 empowers the
SEBI to take measures to protect the interest of
investors and to regulate the security market, inter alia
by regulating and registering the working of stock
progress and other intermediaries such as credit rating
agencies, who may be associated with the securities
market in any manner. Regulation 2(h) defines a CRA
as a body corporate, which is engaged in or proposes to
be engaged in the business of rating of securities
offered by way of public or rights issue.
Regulation 2(b)
defines an associate in relation to a credit rating
agency to include a person:
(i) who, directly or indirectly, by himself, or in
combination with relatives, owns or controls
shares carrying not less than ten percent of the
voting rights of the credit rating agency, or
(ii) in respect of whom the credit rating agency,
directly or indirectly, by itself, or in combination
with other persons, owns or controls shares
carrying not less than ten percent of the voting
rights, or
(iii) majority of the directors of which, own or
control shares carrying not less than ten
percent of the voting rights of the credit rating
agency, or
Page 17 of 29Page 18
(iv) whose director, officer or employee is also a
director, officer or employee of the credit rating
agency;
Regulation 2(p) defines net worth as under:
"net-worth means the aggregate value of the
paid up equity capital and free reserves
(excluding reserves created out of revaluation),
reduced by the aggregate value of accumulated
losses and deferred expenditure not written off,
including miscellaneous expenses not written
of”
21. Regulation 3(1) provides that any person
proposing to commence any activity as a credit rating
agency shall make an application to the Board for the
grant of a certificate of registration for the purpose.
Regulation 3(3) provides that such application shall be
made to the Board in Form A of the Schedule of the
Regulations. Regulations 4, 5, 6 and 7 which are
relevant for the decision of the legal issue involved in
this case are as under:-
“Promoter of credit rating agency
4. The Board shall not consider an application
under regulation (3) unless the applicant is
promoted by a person belonging to any of the
following categories, namely:
(a) a public financial institution, as defined in
section 4 A of the Companies Act, 1956 (1
of1956);
(b) a scheduled commercial bank included
for the time being in the second schedule
to the Reserve Bank of India Act, 1934 (2
of 1934);
(c) a foreign bank operating in India with the
approval of the Reserve Bank of India;
Page 18 of 29Page 19
(d) a foreign credit rating agency recognised
by or under any law for the time being in
force in the country of its incorporation,
having at least five years experience in
rating securities;
(e) any company or a body corporate, having
continuous net worth of minimum rupees
one hundred crores as per its audited
annual accounts for the previous five
years prior to filing of the application with
the Board for the grant of certificate
under these regulations.
Eligibility criteria
5. The Board shall not consider an application for
the grant of a certificate under regulation 3, unless
the applicant satisfies the following conditions,
namely:
(a) the applicant is set up and registered as a
company under the Companies Act, 1956;
(b) the applicant has, in its Memorandum of
Association, specified rating activity as one of
its main objects;
(c) the applicant has a minimum net worth of
rupees five crores. Provided that a credit
rating agency existing at the commencement
of these regulations, with a net worth of less
than rupees five crores, shall be deemed to
have satisfied this condition, if it increases its
net worth to the said minimum within a period
of three years of such commencement.
(d) the applicant has adequate infrastructure, to
enable it to provide rating services in
accordance with the provisions of the Act and
these regulations;
(e) the applicant and the promoters of the
applicant, referred to in regulation 4 have
professional competence, financial soundness
and general reputation of fairness and
integrity in business transactions, to the
satisfaction of the Board;
(f) neither the applicant, nor its promoter, nor any
director of the applicant or its promoter, is
Page 19 of 29Page 20
involved in any legal proceeding connected
with the securities market, which may have an
adverse impact on the interests of the
investors;
(g) neither the applicant, nor its promoters, nor
any director, of its promoter has at any time in
the past been convicted of any offence
involving moral turpitude or any economic
offence;
(h) the applicant has, in its employment, persons
having adequate professional and other
relevant experience to the satisfaction of the
Board;
(i) neither the applicant, nor any person directly
or indirectly connected with the applicant has
in the past been –
(i) refused by the Board a certificate under
these regulations or
(ii) subjected to any proceedings for a
contravention of the Act or of any rules
or regulations made under the Act.
Explanation: For the purpose of this clause,
the expression "directly or indirectly
connected person" means any person who
is an associate, subsidiary, inter-connected
or group company of the applicant or a
company under the same management as
the applicant.
(j) the applicant, in all other respects, is a fit
and proper person for the grant of a
certificate;
(k) grant of certificate to the applicant is in the
interest of investors and the securities
market.
Applicability of Securities and Exchange
Board of India (Criteria for Fit and Proper
Person) Regulations, 2004.
5A. The provisions of the Securities and
Exchange Board of India (Criteria for Fit and
Proper Person) Regulations, 2004 shall, as far as
Page 20 of 29Page 21
may be, apply to all applicants or the credit
rating agencies under these regulations.
Application to conform to the
requirements
6. Any application for a certificate, which is not
complete in all respects or does not conform to
the requirement of regulation 5 or instructions
specified in Form A shall be rejected by the
Board: Provided that, before rejecting any such
application, the applicant shall be given an
opportunity to remove, within thirty days of the
date of receipt of relevant communication, from
the Board such objections as may be indicated
by the Board.
Provided further, that the Board may, on
sufficient reason being shown, extend the time
for removal of objections by such further time,
not exceeding thirty days, as the Board may
consider fit to enable the applicant to remove
such objections.
Furnishing of information, clarification and
personal representation
7. (1) The Board may require the applicant to
furnish such further information or clarification
as the Board may consider necessary, for the
purpose of processing of the application. 
(2) The Board, if it so desires, may ask the
applicant or its authorised representative to
appear before the Board, for personal
representation in connection with the grant of a
certificate.”
22. Form A of the First Schedule has to be submitted
by the applicant together with the supporting
documents along with the application. This was duly
filled and furnished by the respondent.
Page 21 of 29Page 22
23. A bare perusal of the regulations makes it clear
that an applicant to be eligible to be registered as a
credit rating agency has to be a person/entity promoted
by a person belonging to any of the categories
enumerated in Regulation 4. Categories 4(a), (b) and
(c) are financial institutions as defined in Section 4(a) of
the Companies Act; Schedule Commercial Banks
included in the Second Schedule to the Reserve Bank of
India Act, 1934 and foreign banks operating in India
with the approval of the Reserve Bank of India. Foreign
Credit Rating Agency recognized by or under any law
for the time being in force in the country of
incorporation having at least five years experience in
rating securities fall within category 4(d). The
respondent falls within category 4(e), which relates to
any company or a body corporate having continuous
net worth of minimum Rs.100 crores as per its Audited
Annual Accounts for the previous five years, prior to the
filing of the application with the Board for the grant of
certificate under the Regulation. Regulation 5 provides
for the eligibility criteria. It is provided that the Board
shall not consider any application for the grant of a
certificate under Regulation 3 unless the applicant
satisfies the conditions set out therein. Regulation 6
provides that any application for a certificate which is
not complete in all respects or does not conform to the
requirements of Regulation 5 or instructions specified in
Form A shall be rejected by the Board. It is, however,
Page 22 of 29Page 23
necessary that before rejecting any such application,
the applicant shall be given an opportunity to remove,
the objections indicated by the Board within a period of
30 days of the receipt of communication of the
objections by the Board to the applicant. This period
can be further extended at the discretion of the Board
on sufficient reason being shown by the applicant for a
further period not exceeding 30 days.
24. A reading of Regulations 4, 5 and 6 together
leaves no manner of doubt that the SEBI has no
discretion not to reject the application if it does not
satisfy the conditions laid down in Regulations 4 and 5.
In fact, Regulation 4 mandates that the Board shall not
consider an application for registration under
Regulation 3 unless the applicant is promoted by a
person belonging to any of the categories mentioned
therein. Similarly, Regulation 5 categorically mandates
that the Board shall not consider an application for the
grant of a certificate under Regulation 3 unless the
applicant satisfies all the conditions which are set out
under Clause 5. Regulation 6 again is mandatory in
nature, which provides that an application which is not
complete in all respects or does not conform to the
requirement of Regulation 5 or instructions specified in
Form A shall be rejected by the Board. It appears,
therefore, that the intention of the legislature, as
expressed through the regulations, is to put a closure to
Page 23 of 29Page 24
the consideration of the application on the basis of the
information submitted on the date of application. The
Board has the minimal discretion to extend the period
for removal of objections upon hearing the applicant
firstly for 30 days and thereafter for another 30 days. In
other words, Regulation 7 enables the Board to ask for
further information within the extended time stipulated
in Regulation 6. For the purpose of processing of the
application, the information/material for removal of
objections has to be provided within the time stipulated
by Board. But the maximum period provided is sixty
days. There is no scope under the regulations for the
time to be extended any further. The information
sought must be in relation to the five years preceding
the date of the application. In this view of the matter,
we are of the opinion that the directions issued by the
SAT that the Board could not have directed the
respondent to produce the Audited Accounts for the two
years beyond the date of the application, are in
consonance with the provisions of the regulations.
Under Regulation 7, the Board would have the power to
seek further information or clarification for the purpose
of processing of the application. This further
information would relate only to the basic information
with regard to the Audited Accounts for the five years
preceding the date of the application. Therefore, the
observations made by SAT as noticed above are
perfectly justified.
Page 24 of 29Page 25
25. This now brings us to the final submission made by
Mr. C.U. Singh that the Board was within its power to
ask for the Audited Accounts of the applicant for the 5
years preceding the date of the application.
It is true
that under Regulation 4(e), an applicant has to show
that it has continuous net worth of minimum
Rs.100 crores as per its Audited Annual Accounts for
the previous five years prior to the filing of the
application with the Board. 
Clause 2 of Form A provides
the “Eligibility Criteria”. 
Under Clause 2(1), the
applicant has to indicate the category to which the
promoters of the applicant company belong under
Regulation 4, which in this case was 4(e). 
Clause 2(3) provides that the applicant shall “enclose a Chartered
Accountant’s certificate certifying the continuous net
worth of Rs.100 crores for five years, in case the
promoter referred to in Regulation 4(e)”. 
As noticed
above, Regulation 4(e) postulates that the proof of net
worth on the basis of the audited accounts for five
years prior to the filing of the application has to be
given.
It is not disputed before us that the applicant
has submitted the Chartered Accountant’s certificate
certifying the continuous net worth of Rs.100 crores for
five years on the basis of M/s. Coment (Mauritius)
Limited bankers certificate. 
It is noticed by the SAT in
the impugned order that the certificate was accepted
by the Board and no clarification was sought from the
Page 25 of 29Page 26
respondent in regard to the certificate furnished by the
Chartered Accountant.
Mr. C.U. Singh submitted that
the certificate submitted by the Chartered Accountant
was issued on the basis of the certificate of ING Private
bank dated 29th May, 2009 confirming that M/s. Coment
(Mauritius) Limited had a continued net worth of over
Rs.100 crores as per its Annual Accounts for the
previous five years. 
It is not certified on the basis of
the Audited Accounts, therefore, the certificate did not
satisfy the requirements under the regulations. 
26. We are of the opinion that the submission made
by Mr. C.U. Singh has substance and cannot
be brushed aside.
The certificate actually provided by
the Chartered Accountants is as under:-
“NET WORTH CERTIFICATE
We certify that for previous five years
continuous Net worth of M/s. Coment
(Mauritius) Limited, Les Cascade Building,
Edith Cavell Street, Port Louis, Mauritius is
over Rs.100 crores (Rupees One Hundred
Crores).
The above information is given in strictest
confidence at the request of our client for
the purpose of filing application before
Securities and Exchange Board of India.
FOR M/S RAJNISH & ASSOCIATES
CHARTERED ACCOUNTANTS
Certified True Copy
Sd/-
(PARTNER)
Place : New Delhi Membership
No. 081180
Page 26 of 29Page 27
Date: 29.05.2009”
27. We are satisfied that the aforesaid certificate did
not conform to the provisions contained in the
regulations which requires that the certificate of the
Chartered Accountant should be in confirmation of the
Audited Accounts of the promoters/applicant for the five
years preceding the date of the application. 
We are
unable to approve the observations made by SAT that
“neither the regulations nor the eligibility criteria in
Form A requires the applicant to produce the annual
accounts of the promoter.”
We are also unable to
approve the observations of SAT that “it is doubtful
whether the Board could have asked for this
information without doubting the veracity or the
correctness of the certificate of the Chartered
Accountant that accompanied the application.”
The
certificate of the Chartered Accountant is evidence of
the required net worth of the promoter. 
Therefore, it
has to be in strict conformity with Regulation 4(e).
Since the certificate issued by the Chartered
Accountants did not categorically state that it is based
on the audited accounts for the 5 years preceding the date of application, 
the Board certainly
had the power to direct the respondent to produce the
audited accounts. 
That being so, under Regulation 6, it
was the duty of the Board to have rejected the
application of the respondent. 
Page 27 of 29Page 28
28. Surprisingly, however, the Board continued to
grant further time to the respondent to remove the
objections even beyond the maximum sixty days
permissible under the proviso to Regulation 6.
It
appears that the enquiries continued from 20th August,
2009 till March 1, 2011 when the show cause notice
was issued to the respondent. The application of the
respondent is not rejected till 21st July, 2011.
The delay in the rejection of the application of the
respondent was wholly unwarranted.
It allowed the
respondent a latitude not permissible under the
regulations. 
Taking advantage of this latitude, the
respondent has provided the Audited Accounts for the
five years preceding the date of application. Not only
this, we are informed that by now the respondent has
even produced before this Court in a sealed cover the
Audited Accounts of M/s. Coment (Mauritius) Limited for
the subsequent two years upto 31st December, 2010 also.
29. Since the Board had extended the time to the
respondent, even though not permissible in law, we are
not inclined to modify the directions issued by the SAT.
Especially in view of the submission of Mr. Suri that
respondent is willing at this stage to produce the
Audited Accounts of the promoter even for the
subsequent two years. 
Page 28 of 29Page 29
30. In view of the above, we see no merit in the
appeal and the same is hereby dismissed with no order
as to costs. 
……………………………..J.
 [Surinder Singh Nijjar]
……………………………..J.
[M.Y.Eqbal]
New Delhi;
February 19, 2013.
Page 29 of 29

whether the accused-appellant herein can be stated to have intentionally caused such bodily injury to the deceased, as he knew was so imminently dangerous, that it would in all probability cause his death. First and foremost, it is apparent from the factual narration of the witnesses produced by the prosecution, that the accused-appellant was not carrying the ‘darat’ but had picked up the same from the house of Kishan Singh (PW2). A ‘darat’, as noticed above, is a traditional agricultural implement used for cutting branches of trees. It is also used by butchers for beheading goats and sheep. A ‘darat’ has a handle and a large cutting blade. Having picked up the ‘darat’ for committing an assault on the deceased, it is apparent that the accused-appellant was aware of the nature of injury he was likely to cause with the weapon of incident. From the statements of Dr. Suman Saxena (PW4) and Dr. B.M. Gupta (PW5), the nature of injuries caused to the deceased has been brought out. A perusal thereof would leave no room for doubt, that the accused-appellant had chosen the sharp side of the ‘darat’ and not the blunt side. The ferocity with which the aforesaid blow was struck clearly emerges from the fact that the blow resulted in cutting through the skull of the deceased and caused a hole therein, resulting in exposing the brain tissue. When a blow with a deadly weapon is struck with ferocity, it is apparent that the assailant intends to cause bodily injury of a nature which he knows is so imminently dangerous, that it must in all probability cause death. The place where the blow was struck (at the back of the head of the deceased) by the accused- appellant, also leads to the same inference. It is not the case of the accused-appellant, that the occurrence arose out of a sudden quarrel. It is also not his case, that the blow was struck in the heat of the moment. It is not even his case, that he had retaliated as a consequence of provocation at the hands of the deceased. He has therefore no excuse, for such an extreme act. Another material fact is the relationship between the parties. The accused-appellant was an uncle to the deceased. In such circumstances, there is hardly any cause to doubt the intent and knowledge of the accused-appellant. Besides the aforesaid factual position, it would be incorrect to treat the instant incident as one wherein a single blow had been inflicted by the accused. As many as five witnesses of the occurrence have stated in unison, that the accused-appellant was in the process of inflicting a second blow on the deceased, when they caught hold of him, whereupon one of them (Mohinder Singh – PW6) snatched the ‘darat’ from the accused-appellant, and threw it away. In such a situation, it would improper to treat/determine the culpability of the accused appellant by assuming, that he had inflicted only one injury on the deceased. Keeping in mind the parameters of the judgments referred to by the learned counsel for the rival parties (which have been extracted above), we have no doubt in our mind, that the accused-appellant must be deemed to have committed the offence of ‘culpable homicide amounting to murder’ under Section 302 of the Indian Penal Code, as the accused-appellant Som Raj had struck the ‘darat’ blow, with the intention of causing such bodily injury, which he knew was so imminently dangerous, that it would in all probability cause the death of Sardari Lal.


Page 1
‘REPORTABLE’
IN THE SUPREME COURT OF INDIA
CRIMINAL APPELLATE JURISDICTION
CRIMINAL APPEAL NO.1772 OF 2008
Som Raj @ Soma … Appellant
Versus
State of H.P. … Respondent
J U D G M E N T
Jagdish Singh Khehar, J.
1. Consequent upon an intimation to the police, by Dr. B.M. Gupta
(PW5), Senior Medical Officer, Community Health Centre, Indora
(hereinafter referred to as the CHC, Indora); the statement of Nek Ram,
(PW1) was recorded at the CHC, Indora, on 29.7.2000; leading to the
registration of First Information Report bearing no.123 of 2000 under
Section 302 of the Indian Penal Code, 1860, at Police Station, Indora.
The aforesaid statement was recorded by ASI Shiv Kanya (PW12). In
his statement, Nek Ram (PW1) asserted that there was a ‘bhandara’
(feast for devotees, during a Hindu ceremonial congregation) following
a ‘yagya’ (Hindu ritual ceremony) at the residence of Kishan Singh
(PW2) at village Khanda Saniyal on 29.7.2000. Nek Ram (PW1)
disclosed, that he along with his brother Sardari Lal (since deceased)
had been invited to the ‘bhandara’ and were present at the residence ofPage 2
Kishan Singh (PW2). The complainant Nek Ram (PW1) affirmed, that
he was helping in serving food at the ‘bhandara’. Whilst he was in the
kitchen at about 9.30 p.m., he (Nek Ram, PW1) was informed by his
nephew Sohan (PW3) and Shamsher Singh (PW8) that the accusedappellant Som Raj alias Soma was quarrelling with his brother Sardari
Lal. On being so informed, he had immediately reached the place of
altercation, and had found the accused-appellant Som Raj assaulting
his brother Sardari Lal. He also pointed out, that he had seen Som Raj
picking up a ‘darat’ (a traditional agricultural implement used by
agriculturists in northern India, for cutting branches of trees. It is also
used by butches for beheading goats and sheep. The implement has a
handle and a large cutting blade), from the house of Kishan Singh
(PW2) and giving his brother Sardari Lal a blow with it, on the back
portion of his head. After the first blow, the accused-appellant was in
the process of giving a second blow when the complainant Nek Ram
(PW1) along with others present at the place of occurrence, had caught
hold of him. The ‘darat’ was then snatched from his hands. According
to Nek Ram (PW1), blood was oozing from the injury suffered by
Sardari Lal. Accordingly, Sardari Lal was immediately taken to the
CHC, Indora. Sardari Lal had reached the hospital at about 10.45 p.m.
He was declared dead at about 11.15 p.m.
2. Consequence upon the registration of First Information Report
no.123 of 2000 at Police Station, Indora, on 29.7.2000, the Police
initiated investigation into the matter. On completion of the same, the
accused-appellant was sent to face trial for commission of the offence
2Page 3
under Section 302 of the Indian Penal Code. During the course of the
trial, the prosecution examined as many as 13 witnesses including six
witnesses of occurrence (Nek Ram - PW1, Kishan Singh - PW2, Sohan
- PW3, Mohinder Singh - PW6, Vakil Singh - PW7 and Shamsher Singh
- PW8). The prosecution also examined two doctors who had
examined Sardari Lal when he was taken to the CHC, Indora. One of
them had treated Sardari Lal when he was brought to the CHC, Indora,
whereas the other had conducted the post mortem examination. The
other witnesses were formal police witnesses. The prosecution also
produced various exhibits to prove the charge levelled against the
accused-appellant.
3. The statement of the accused-appellant was recorded under
Section 313 of the Code of Criminal Procedure after the prosecution
had concluded its evidence. In his statement under Section 313 of the
Code of Criminal Procedure, the accused-appellant projected a different
version of the incident. According to the accused-appellant, there was
an altercation between his brother Hari Singh (DW5) at the entrance of
the residence of Kishan Singh (PW2) during which a “gorkha” (a Nepali
living in India) named Rana gave a ‘darat’ blow to his elder brother Hari
Singh (DW5) which accidentally hit the deceased Sardari Lal. He
further stated, that information about the occurrence (as narrated by
him) was given by his brother Hari Singh (DW5) to the Magistrate,
Nurpur, on the day following the incident, i.e., on 30.7.2000. The
accused-appellant examined five witnesses in his defence including
Hari Singh (DW5) and Dr. V.K. Singla (DW2), Medical Officer,
3Page 4
Community Health Centre, Choori, who had examined Hari Singh -
DW5 and had recorded the injuries found on his person.
4. Having narrated a birds eye view, of the accusation levelled
against the accused-appellant as also his defence, it is considered
expedient to summarily narrate the assertions made by witnesses
produced by the prosecution, in respect of the occurrence of
29.7.2000 :
(i) Nek Ram, the complainant, was examined by the prosecution as
PW1. He affirmed that on 29.7.2000, he and his brother Sardari
Lal, had gone to the house of Kishan Singh (PW2), for a
‘bhandara’. He deposed that he (Nek Ram - PW1) along with
Sohan (PW3), Mohinder Singh (PW6) and others were helping in
serving food at the ‘bhandara’. At about 8.00-8.30 p.m., Sohan
(PW3) and Shamsher Singh (PW8) came to him while he was
serving meals to the guests, and told him about exchange of hot
words between Sardari Lal (deceased) and Som Raj (the
accused-appellant) in the courtyard of Kishan Singh (PW2).
Thereupon he asserted, that he had proceeded to the courtyard
where he saw the accused-appellant Somraj giving a ‘darat’ blow
to Sardari Lal (the deceased) which landed on the back portion of
his head. He pointed out, that when the accused-appellant made
a second attempt for giving a second ‘darat’ blow to Sardari Lal,
he (Nek Ram - PW1), Mohinder Singh (PW6), Sohan (PW3),
Kishan Singh (PW2) and others overpowered Sardari Lal. He
further asserted, that Mohinder Singh (PW6) had snatched the
4Page 5
‘darat’ from the hands of the accused-appellant Som Raj and had
thrown it away. He also testified, that having received the ‘darat’
blow, Sardari Lal had fallen on the ground, and was bleeding
profusely. Sardari Lal was immediately taken to the CHC, Indora,
where he succumbed to his injuries. He confirmed, that the
Police had reached the hospital and had recorded his statement.
He also stated, that the accused-appellant Som Raj alias Soma
was his uncle. The statement of Nek Ram (PW1) was in
consonance with the prosecution version of the occurrence.
During the course of his cross-examination, Nek Ram (PW1) was
confronted with the version of the incident depicted by the
accused-appellant during the course of his statement recorded
under Section 313 of the Code of Criminal Procedure. Nek Ram
(PW1), however, denied the correctness thereof.
(ii) Kishan Singh, at whose residence the ‘bhandara/yagna’ was
held, was examined as PW2. He reiterated the factual position of
the occurrence, in identical terms and in consonance with the
statement of Nek Ram (PW1). While doing so, he also affirmed
that the accused-appellant had tried to inflict a second blow with
the ‘darat’ on Sardari Lal. However, he was held by those at the
spot, and the ‘darat’ was snatched from his hands by Mohinder
Singh (PW6). He also reiterated, that on receipt of the injury at
the hands of the accused-appellant, Sardari Lal had fallen down
and blood was oozing from his head. He also deposed, that he
had recovered the ‘darat’ used by Som Raj and had handed over
5Page 6
the same to the Police, during the course of investigation. He
also acknowledged, that the ‘darat’ produced in the court was the
same one with which Sardari Lal had been assaulted by the
accused-appellant. As in the case of Nek Ram (PW1), Kishan
Singh (PW2) was also confronted with the version of the incident
narrated by the accused-appellant during the course of his crossexamination. He, however, denied the same.
(iii) Karnail Singh was examined by the prosecution as PW3. The
statement of Karnail Singh (PW3) was on the same lines as those
of Nek Ram (PW1) and Kishan Singh (PW2). He too was
confronted during the course of cross-examination with the
version of the accused-appellant, namely, that the injury in
question had been caused by a “gorkha” named Rana. The
aforesaid suggestion put to the witness, was denied by him.
(iv) Mohinder Singh appeared before the Trial Court and recorded his
statement as PW6. He affirmed the quarrel between the rival
parties, namely, the deceased Sardari Lal and the accusedappellant, Som Raj. He also acknowledged, that Kishan Singh
(PW2) and Nek Ram (PW1) had caught hold of the accused. He
admitted, that he had seen the accused-appellant with the ‘darat’
in his hand. He also admitted, that he had snatched the ‘darat’
from the hands of the accused-appellant, and had thrown it away.
He admitted having seen the injury on the head of Sardari Lal,
who had fallen to the ground, and was in a pool of blood. He
however denied in his examination-in-chief, that he had actually
6Page 7
seen the incident by asserting, that he did not know how the
deceased Sardari Lal had received the injury. Based on the
aforesaid statement made by Mohinder Singh (PW6), he was
declared hostile, and was permitted to be cross-examined by the
Public Prosecutor. During the course of his cross-examination,
he again acknowledged having seen the ‘darat’ in the hands of
the accused-appellant Som Raj, and additionally, that the
accused-appellant who had inflicted the first blow with the ‘darat’
on the person of Sardari lal. He further confirmed that the
accused-appellant had also tried to inflict another blow on Sardari
Lal, but was prevented by him and others from doing so. He
testified, that he had caught the hands of the accused-appellant,
and had thereby stopped him from inflicting the second blow. He
also reiterated, that he had forcibly snatched the ‘darat’ from the
hands of the accused-appellant, and had thrown it away.
Mohinder Singh (PW6) was cross-examined on the same lines as
the previous three witnesses referred to above, but he reiterated
the factual position recorded by him in his examination-in-chief,
as also during the course of his cross-examination by the Public
Prosecutor.
(v) The prosecution then produced Vakil Singh as PW7. Vakil Singh
affirmed before the Trial Court, that he had seen the deceased
Sardari Lal lying in an injured condition, and he was informed that
the injuries on Sardari Lal were caused by the accused-appellant
Som Raj with a ‘darat’. He asserted, that when he had seen
7Page 8
Sardari Lal in the injured condition during which he could not
speak anything. People who had gathered at the place of
occurrence, had informed him that the accused-appellant had run
away from the spot after inflicting injuries on Sardari Lal. Based
on the fact that Vakil Singh (PW7) was denying of having himself
witnessed the incident, he was declared hostile. Thereupon, the
Public Prosecutor was permitted to cross-examine him. When
confronted with the statement made to the Police, he reiterated
that his statement had not been recorded correctly. He stated,
that he had not seen the accused Som Raj inflicting injuries on
the person of the deceased Sardari lal. He however deposed
that the people who had gathered at the place of the occurrence
had informed him, that the accused-appellant Som Raj had
inflicted injuries on the person of the deceased Sardari Lal with a
‘darat’. He also denied the version of the accused pertaining to
the “gorkha’ named Rana.
(vi) Shamsher Singh (PW8) was the last of the witnesses of
occurrence. He fully supported the prosecution version of the
incident. He deposed on the same lines as Nek Ram (PW1),
Kishan Singh (PW2), Karnail Singh (PW3) and Mohinder Singh
(PW6). He also endorsed the fact, that the accused-appellant
Som Raj had tried to inflict a second blow with the ‘darat’, but had
not succeeded in doing so because Nek Ram (PW1), Kishan
Singh (PW2) and Mohinder Singh (PW6) had caught hold of him.
He also denied the version narrated by the accused-appellant.
8Page 9
5. In so far as the accused-appellant is concerned, after recording
his statement under Section 313 of the Code of Criminal Procedure, he
examined five witnesses in his defence. The statement of Dr. Deepak
Sharma, Block Medical Officer Gangath was recorded as DW1. DW1
affirmed that on 30.7.2007, he had examined Hari Singh (DW5) and
had found bruises over his lower jaw and also found three shaky teeth.
During the course of his cross-examination, he acknowledged that no
application was filed by Hari Singh (DW5) before him, requiring him to
conduct his medical examination. He denied as incorrect, the
suggestion that he had prepared the medico-legal certificate (Exhibit
D3) in connivance with Hari Singh (DW5). He also acknowledged, that
the injuries suffered by Hari Singh, could result from falling on a hard
surface. Dr. V.K. Singla, Medical officer CHC, Choori, was examined
as DW2. DW2 stated that on 31.7.2000 (two days after the
occurrence), he had examined Hari Singh in his capacity as Dental
Surgeon, Gangath, and had given his opinion as at Exhibit D1. Harnam
Singh, Havaldar Head Constable, Police Station Nurpur, appeared as
DW3. He confirmed that a rapat roznamacha (entry in the Daily Diary
of the Police Station) was recorded at Police Station Nurpur, in respect
of the injuries suffered by Hari Singh. He pointed out, that no action
had been taken in the matter, as the incident in question was within the
jurisdiction of Police Station, Indora. The statement of Dev Raj,
Hawaldar Head Constable, Police Station, Indora, was recorded as
DW4. He merely produced the original ‘rapat roznamcha’ of Police
Station, Indora, to affirm the factual position depicted by Harnam Singh,
9Page 10
Havaldar Head Constable (DW3). The statement of Hari Singh was
recorded as DW5. In his statement, he acknowledged, that the
accused-appellant was his younger brother and the deceased Sardari
Lal was his nephew. He also acknowledged, that he alongwith his
family members, attended the ‘yagya’ held by Kishan Singh (PW2) at
his residence on 29.7.2000. During the course of his deposition, he
attempted to provide an alibi to the accused-appellant by asserting, that
the accused-appellant Som Raj had gone to Chintpurni on the date of
occurrence. He further stated, that Som Raj was visiting their other
younger brother who lived at Chintpurni. He also endeavoured to
substantiate the factual position asserted by the accused-appellant in
his statement under Section 313 of the Code of Criminal Procedure. In
this behalf he deposed, that a ‘gorkha’ named Rana had an altercation
with him outside the house of Kishan Singh (PW2). During the
aforesaid altercation, Rana had given him a blow on his mouth, which
had resulted in one broken tooth. He further stated, that when the
aforesaid Rana attempted a second blow with a ‘darat’ at him, he had
ducked, whereupon the blow had landed on the deceased Sardari Lal,
which resulted in the death of Sardari Lal. Hari Singh (DW5) further
testified, that he had lodged a report with the police. He deposed, that
he had also gone to the Civil Hospital, Nurpur for treatment, whereupon
he was referred to the Dental Surgeon at Gangath. Hari Singh (DW5)
deposed further, that having noted down his complaint, the same was
forwarded by Police Station, Nurpur, to the Police Station, Indora.
1Page 11
6. Based on the statements of witnesses noticed hereinabove, we
shall endeavour to answer the legal issues canvassed at the hands of
the learned counsel for the accused-appellant. Suffice it to state, that
almost all the witnesses, whose statements have been noticed
hereinabove including the deceased, as well as, the accused-appellant,
are cousins, nephews or uncles. Consequently, it is apparent, that a
large number of relations have collectively deposed against the
accused-appellant, whereas, only the brother of the accused-appellant
Hari Singh (DW5) has deposed in his favour. On merits, there can
hardly be any doubt about the fact, that the accused-appellant inflicted
the fatal blow with a ‘darat’ on the back of the head of the deceased
Sardari Lal. The said singular blow proved to be fatal. The affirmation,
that the aforesaid blow had been inflicted by the accused-appellant
emerges from the statements of Nek Ram (PW1), Kishan Singh (PW2),
Sohan (PW3), Mohinder Singh (PW6) and Shamsher Singh (PW8). All
the aforesaid witnesses were present at the place of occurrence. All
the aforesaid witnesses were related to the deceased Sardari Lal, as
also the accused-appellant Som Raj. There is no reason for us to
doubt the veracity of their statements. In order to set up an alternative
version, the accused-appellant has narrated his own version of the
incident, wherein he acknowledges his presence at the
‘bhandara/yagna’ held at the residence of Kishan Singh (PW2) on
29.7.2000, when the occurrence in question took place. The statement
of Hari Singh (DW5), in our considered view, is insufficient to overturn
the statements of the prosecution witnesses. The statement of Hari
1Page 12
Singh (DW5), to our mind, does not inspire any confidence. The
statement of Hari Singh (DW5), in our considered view, was recorded at
the behest of the accused-appellant, who is his real brother. We would
describe it as untrustworthy. In view of the overwhelming evidence
produced by the prosecution, we have no doubt in our mind, that the
fatal ‘darat’ blow was inflicted by the accused-appellant Som Raj on the
back of the head of the deceased Sardari Lal. We, therefore, affirm the
aforesaid conclusion drawn by the Trial Court, as well as, by the High
Court.
7. It would be relevant to mention, that learned counsel for the
accused-appellant vehemently contended that even if the singular fatal
blow is taken to have been inflicted by the accused-appellant Som Raj,
he could only be punished for the offence under Section 304 Part-II of
the Indian Penal Code, and not for the offence of murder under Section
302. In this behalf, it was the submission of the learned counsel, that
there was no premeditation to commit the offence on the date of
occurrence. It was also pointed out, that the evidence produced by the
prosecution, does not reveal any prior enmity between the accusedappellant and the deceased. Therefore, according to learned counsel,
the action should be treated as ‘culpable homicide not amounting to
murder’. It was sought to be explained, that the action attributed to the
accused-appellant, did not include any ingredient of intention of causing
such bodily injury as is likely to cause death. To support his aforesaid
submission, it was vehemently contended, that all the prosecution
1Page 13
witnesses had stated in unison, that the accused-appellant had inflicted
a singular blow on the deceased Sardari Lal.
8. In order to support his aforesaid contention, learned counsel for
the appellant, in the first instance, placed reliance on the judgment of
this Court in Jagrup Singh Vs. State of Haryana, (1981) 3 SCC 616,
wherein this Court held as under:-
“5. In assailing the conviction, learned Counsel for the
appellant contends that the appellant having struck a
solitary blow on the head of the deceased with the blunt
side of the gandhala, can be attributed with the knowledge
that it would cause an injury which was likely to cause
death and not with any intention to cause the death of the
deceased. The offence committed by the appellant,
therefore, amounted to culpable homicide not amounting to
murder, punishable under Section 304, Part II of the Code.
He further contends, in the alternative, that there could be
no doubt that the appellant acted in the heat of the moment
when he hit the deceased and is, therefore, entitled to the
benefit of Exception 4 of Section 300 of the Code. On the
other hand, learned Counsel for the State contends that the
matter squarely falls within clause Thirdly of Section 300 of
the Code. He submits that merely because the appellant
rendered a solitary blow with the blunt side of the gandhala
on the head would not necessarily imply that the offence
amounted to culpable homicide not amounting to murder
punishable under Section 304, Part II of the Code.
6. There is no justification for the assertion that the giving of a
solitary blow on a vital part of the body resulting the death
must always necessarily reduce the offence to culpable
homicide not amounting to murder punishable under
Section 304, Part II of the Code. If a man deliberately
strikes another on the head with a heavy log of wood or an
iron rod or even a lathi so as to cause a fracture of the
skull, he must, in the absence of any circumstances
negativing the presumption, be deemed to have intended to
cause the death of the victim or such bodily injury as is
sufficient to cause death. The whole thing depends upon
the intention to cause death, and the case may be covered
by either clause Firstly or clause Thirdly. The nature of
intention must be gathered from the kind of weapon used,
the part of the body hit, the amount of force employed and
the circumstances attendant upon the death.
1Page 14
xxx xxx xxx xxx xxx
9. Looking at the totality of the evidence, it would not be
possible to come to the conclusion that when the appellant
struck the deceased with the blunt side of the gandhala, he
intended to cause such bodily injury as was sufficient in the
ordinary course of nature to cause death. A gandhala is a
common agricultural implement consisting of a flat,
rectangular iron strip, three sides of which are blunt,
embedded in a wooden handle. The length of the iron strip
is in continuation of the wooden handle and the end portion
is sharp, which is used to dig holes in the earth to set up
fencing on embankments in the field. If a man is hit with the
blunt side on the head with sufficient force, it is bound to
cause, as here, death. There can be no doubt that it was
used with certain amount of force because there was
cerebral compression. But that by itself is not sufficient to
raise an inference that the appellant intended to cause
such bodily injury as was sufficient to cause death. He
could only be attributed with the knowledge that it was
likely to cause an injury which was likely to cause the
death. The matter, therefore, does not fall within clause
Thirdly of Section 300 of the Code.”
Reliance was also placed on the decision rendered by this Court in
Jagtar Singh Vs. State of Punjab, (1983) 2 SCC 342, wherein it has
been held as under:-
“5. The only question that we are called upon to examine in
the facts and circumstances of this case is whether the
appellant could be said to have committed murder of
deceased Narinder Singh punishable under Section 302 of
the Indian Penal Code.
6. A quarrel took place on the spur of the moment. The
appellant never expected to meet the deceased. When the
deceased was just passing by the road in front of the house
of the appellant, his forehead dashed with the parnala of
the house of the appellant which provoked the deceased to
remonstrate the appellant. It is in evidence that there was
exchange of abuses and at that time appellant gave a blow
with a knife which landed on the chest of the deceased.
7. Undoubtedly, PW 2 Dr H.S. Gill opined that the blow on the
chest pierced deep inside the chest cavity resulting in the
injury to the heart and this injury was sufficient in the
ordinary course of nature to cause death. The question is
whether in the circumstances in which the appellant gave a
1Page 15
blow with a knife on the chest, he could be said to have
intended to cause death or he could be imputed the
intention to cause that particular injury which has proved
fatal? The circumstances in which the incident occurred
would clearly negative any suggestion of premeditation. It
was in a sudden quarrel to some extent provoked by the
deceased, that the appellant gave one blow with a knife.
Could it be said that para 3 of Section 300 is attracted. We
have considerable doubt about the conclusion reached by
the High Court. We cannot confidently say that the
appellant intended to cause that particular injury which is
shown to have caused death. There was no premeditation.
There was no malice. The meeting was a chance meeting.
The cause of quarrel though trivial was just sudden and in
this background the appellant, a very young man gave one
blow. He could not be imputed with the intention to cause
death or the intention to cause that particular injury which
has proved fatal. Neither para 1 nor para 3 of Section 300
would be attracted. We are fortified in this view by the
decision of this Court in Jagrup Singh v. State of Haryana,
(1981) 3 SCC 616. It was subsequently followed in Randhir
Singh v. State of Punjab, (1981) 4 SCC 484, and Kulwant
Rai v. State of Punjab, (1981) 4 SCC 245. Following the
ratio of the aforementioned decisions, we are of the opinion
that the appellant could not be convicted for having
committed murder of the deceased Narinder Singh. His
conviction for an offence under Section 302, IPC and
sentence of imprisonment for life are liable to be set aside.
8. The next question is what offence the appellant is shown to
have committed? In a trivial quarrel the appellant wielded a
weapon like a knife. The incident occurred around 1.45
noon. The quarrel was of a trivial nature and even in such a
trivial quarrel the appellant wielded a weapon like a knife
and landed a blow in the chest. In these circumstances, it is
a permissible inference that the appellant at least could be
imputed with a knowledge that he was likely to cause an
injury which was likely to cause death. Therefore, the
appellant is shown to have committed an offence under
Section 304 Part II of the IPC and a sentence of
imprisonment for five years will meet the ends of justice.
9. Accordingly this appeal is partly allowed. The conviction of
the appellant for an offence under Section 302, IPC and
sentence of imprisonment for life are set aside. Appellant is
convicted for having committed an offence under Section
304 Part II of the Indian Penal Code and he is sentenced to
suffer RI for five years. Conviction of the appellant for an
offence under Section 304 and the sentence imposed for
1Page 16
the same are confirmed. Both the substantive sentences
are directed to run concurrently.”
9. In order to controvert the aforenoticed submission advanced at
the hands of the learned counsel for the accused-appellant, it was the
vehement assertion of the learned counsel for the respondent State,
that the weapon of offence would constitute a material basis for
determining the purely legal contention advanced at the hands of the
learned counsel for the appellant. It was pointed out, that a ‘darat’ had
been used by the accused-appellant for inflicting the blow on the
deceased Sardari Lal. It was submitted, that a ‘darat’ is used by
agriculturalists for cutting branches and trees. It was also submitted,
that butchers use a ‘darat’ for beheading goats and sheeps. Based on
the aforesaid factual position it was submitted, that the very nature of
the weapon of offence is sufficient to infer, that the accused-appellant
had the intention of causing such bodily injury as is likely to cause
death. It was also the contention of the learned counsel for the
respondent State, that it would be wrongful to adjudicate the present
controversy under the assumption, that the accused-appellant had
caused a singular injury. As a matter of fact, it was the vehement
contention of the learned counsel for the respondent State, that the
accused-appellant was in the process of inflicting a second ‘darat’ blow
on the deceased Sardari Lal, but was prevented from doing so by those
present at the place of occurrence. Insofar as the instant aspect of the
matter is concerned, learned counsel for the respondent State placed
reliance on the statements of Nek Ram (PW1), Kishan Singh (PW2),
Sohan (PW3), Mohinder Singh (PW6) and Shamsher Singh (PW8), who
1Page 17
unequivocally stated, that they had caught hold of the accusedappellant when he was in the process of inflicting a second ‘darat’ blow
on the deceased. They all affirmed, that the ‘darat’ was snatched away
from the accused-appellant by Mohinder Singh (PW6). Accordingly, it
was contended, that left to himself, the accused-appellant would have
inflicted a second blow, and probably still further blows, had he not
been restrained by those present at the place of occurrence. Besides
the aforesaid, there is a third reason highlighted by the learned counsel
for the respondent State, namely, the place on the body of the
deceased and the nature of injury caused to the deceased. Insofar as
the instant aspect of the matter is concerned, it was submitted, that the
injury in question was inflicted on the head of the deceased Sardari Lal.
Learned counsel invited our attention to the statements of Dr. Suman
Saxena (PW4) and Dr. B.M. Gupta (PW5). Having examined Sardari
Lal, they had deposed, that the deceased bore an incised wound 6 cm
x 4 cm brain deep, cutting parts of the underlying bone. The injury
under reference was caused just lateral to the midline on the left side of
the occipital bone. The underlying brain tissue, according to these
witnesses, could be seen and felt through a hole at the place of the
wound. The size of the hole in the occipital bone was 3 cm x 2 cm.
The underlying brain membranes were found to have been torn off, and
brain tissues were found lacerated. It was accordingly his submission,
that the fact that the accused-appellant had aimed the ‘darat’ blow on
the head of the deceased with such force, that it caused a hole in the
occipital bone and exposed the brain, was sufficient to arrive at the
1Page 18
conclusion, that the same was inflicted with the intention, that it would
cause death of the person hit.
10. In order to support his contention, that the offence committed by
the accused-appellant constitutes ‘culpable homicide amounting to
murder’, reliance was placed by the learned State counsel on the
decision rendered by this Court in State of Andhra Pradesh Vs.
Rayavarapu Punnayya & Anr., (1976) 4 SCC 382, wherein it has been
held as under:-
“13. The academic distinction between ‘murder’ and ‘culpable
homicide not amounting to murder’ has vexed the courts for
more than a century. The confusion is caused, if courts
losing sight of the true scope and meaning of the terms
used by the legislature in these sections, allow themselves
to be drawn into minutae abstractions. The safest way of
approach to the interpretation and application of these
provisions seems to be to keep in focus the keywords used
in the various clauses of Sections 299 and 300. The
following comparative table will be helpful in appreciating
the points of distinction between the two offences.
Section 299 Section 300
A person commits culpable
homicide if the act by which the
death is caused is done –
Subject to certain exceptions
culpable homicide is murder if
the act by which the death is
caused is done -
INTENTION
(a) with the intention of causing
death; or
(b) with the intention of causing
such bodily injury as is likely to
cause death; or
(1) with the intention of
causing death; or
(2) with the intention of
causing such bodily injury as
the offender knows to be likely
to cause the death of the
person to whom the harm is
caused; or
(3) with the intention of
causing bodily injury to any
person and the bodily injury
intended to be inflicted is
sufficient in the ordinary
course of nature to cause
death; or
1Page 19
KNOWLEDGE
(c) with the knowledge that the
act is likely to cause death
(4) with the knowledge that
the act is so imminently
dangerous that it must in all
probability cause death or
such bodily injury as is likely to
cause death, and without any
excuse for incurring the risk of
causing death or such injury
as is mentioned above.
14. Clause (b) of Section 299 corresponds with clauses (2) and
(3) of Section 300. The distinguishing feature of the mens
rea requisite under clause (2) is the knowledge possessed
by the offender regarding the particular victim being in such
a peculiar condition or state of health that the internal harm
caused to him is likely to be fatal, notwithstanding the fact
that such harm would not in the ordinary way of nature be
sufficient to cause death of a person in normal health or
condition. It is noteworthy that the “intention to cause
death” is not an essential requirement of clause (2). Only
the intention of causing the bodily injury coupled with the
offender's knowledge of the likelihood of such injury
causing the death of the particular victim, is sufficient to
bring the killing within the ambit of this clause. This aspect
of clause (2) is borne out by Illustration (b) appended to
Section 300.
15. Clause (b) of Section 299 does not postulate any such
knowledge on the part of the offender. Instances of cases
falling under clause (2) of Section 300 can be where the
assailant causes death by a fist blow intentionally given
knowing that the victim is suffering from an enlarged liver,
or enlarged spleen or diseased heart and such blow is
likely to cause death of that particular person as a result of
the rupture of the liver, or spleen or the failure of the heart,
as the case may be. If the assailant had no such
knowledge about the disease or special frailty of the victim,
nor an intention to cause death or bodily injury sufficient in
the ordinary course of nature to cause death, the offence
will not be murder, even if the injury which caused the
death, was intentionally given.
16. In clause (3) of Section 300, instead of the words “likely to
cause death” occurring in the corresponding clause (b) of
Section 299, the words “sufficient in the ordinary course of
nature” have been used. Obviously, the distinction lies
between a bodily injury likely to cause death and a bodily
injury sufficient in the ordinary course of nature to cause
death. The distinction is fine but real, and, if overlooked,
may result in miscarriage of justice. The difference between
1Page 20
clause (b) of Section 299 and clause (3) of Section 300 is
one of the degree of probability of death resulting from the
intended bodily injury. To put it more broadly, it is the
degree of probability of death which determines whether a
culpable homicide is of the gravest, medium or the lowest
degree. The word “likely” in clause (b) of Section 299
conveys the sense of ‘probable’ as distinguished from a
mere possibility. The words “bodily injury … sufficient in the
ordinary course of nature to cause death” mean that death
will be the “most probable” result of the injury, having
regard to the ordinary course of nature.
17. For cases to fall within clause (3), it is not necessary that
the offender intended to cause death, so long as the death
ensues from the intentional bodily injury or injuries
sufficient to cause death in the ordinary course of nature.
Rajwant v. State of Kerala, AIR 1966 SC 1874, is an apt
illustration of this point.
18. In Virsa Singh v. State of Punjab, AIR 1958 SC 465, Vivian
Bose, J. speaking for this Court, explained the meaning
and scope of clause (3), thus (at p. 1500):-
“The prosecution must prove the following facts
before it can bring a case under Section 300,
“thirdly”. First, it must establish quite objectively, that
a bodily injury is present; secondly the nature of the
injury must be proved. These are purely objective
investigations. It must be proved that there was an
intention to inflict that particular injury, that is to say,
that it was not accidental or unintentional or that
some other kind of injury was intended. Once these
three elements are proved to be present, the enquiry
proceeds further, and fourthly it must be proved that
the injury of the type just described made up of the
three elements set out above was sufficient to cause
death in the ordinary course of nature. This part of
the enquiry is purely objective and inferential and has
nothing to do with the intention of the offender.”
19. Thus according to the rule laid down in Virsa Singh case of
even if the intention of accused was limited to the infliction
of a bodily injury sufficient to cause death in the ordinary
course of nature, and did not extend to the intention of
causing death, the offence would be ‘murder’. Illustration
(c) appended to Section 300 clearly brings out this point.
20. Clause (c) of Section 299 and clause (4) of Section 300
both require knowledge of the probability of the act causing
death. It is not necessary for the purpose of this case to
2Page 21
dilate much on the distinction between these corresponding
clauses. It will be sufficient to say that clause (4) of Section
300 would be applicable where the knowledge of the
offender as to the probability of death of a person or
persons in general — as distinguished from a particular
person or persons — being caused from his imminently
dangerous act, approximates to a practical certainty. Such
knowledge on the part of the offender must be of the
highest degree of probability, the act having been
committed by the offender without any excuse for incurring
the risk of causing death or such injury as aforesaid.
21. From the above conspectus, it emerges that whenever a
court is confronted with the question whether the offence is
‘murder’ or ‘culpable homicide not amounting to murder’, on
the facts of a case, it will be convenient for it to approach
the problem in three stages. The question to be considered
at the first stage would be, whether the accused has done
an act by doing which he has caused the death of another.
Proof of such causal connection between the act of the
accused and the death, leads to the second stage for
considering whether that act of the accused amounts to
“culpable homicide” as defined in Section 299. If the
answer to this question is prima facie found in the
affirmative, the stage for considering the operation of
Section 300 of the Penal Code, is reached. This is the
stage at which the court should determine whether the
facts proved by the prosecution bring the case within the
ambit of any of the four clauses of the definition of ‘murder’
contained in Section 300. If the answer to this question is in
the negative the offence would be ‘culpable homicide not
amounting to murder’, punishable under the first or the
second part of Section 304, depending, respectively, on
whether the second or the third clause of Section 299 is
applicable. If this question is found in the positive, but the
case comes within any of the exceptions enumerated in
Section 300, the offence would still be ‘culpable homicide
not amounting to murder’, punishable under the first part of
Section 304, of the Penal Code.
22. The above are only broad guidelines and not cast-iron
imperatives. In most cases, their observance will facilitate
the task of the court. But sometimes the facts are so
intertwined and the second and the third stages so
telescoped into each other, that it may not be convenient to
give a separate treatment to the matters involved in the
second and third stages.”
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11. We shall now venture to apply the parameters laid down by this
Court, to determine
whether the accused-appellant herein can be stated
to have intentionally caused such bodily injury to the deceased, as he
knew was so imminently dangerous, that it would in all probability cause
his death.
First and foremost, it is apparent from the factual narration of
the witnesses produced by the prosecution, that the accused-appellant
was not carrying the ‘darat’ but had picked up the same from the house
of Kishan Singh (PW2). A ‘darat’, as noticed above, is a traditional
agricultural implement used for cutting branches of trees. It is also used
by butchers for beheading goats and sheep. A ‘darat’ has a handle and
a large cutting blade. Having picked up the ‘darat’ for committing an
assault on the deceased, it is apparent that the accused-appellant was
aware of the nature of injury he was likely to cause with the weapon of
incident.
From the statements of Dr. Suman Saxena (PW4) and Dr.
B.M. Gupta (PW5), the nature of injuries caused to the deceased has
been brought out. 
A perusal thereof would leave no room for doubt,
that the accused-appellant had chosen the sharp side of the ‘darat’ and
not the blunt side. The ferocity with which the aforesaid blow was
struck clearly emerges from the fact that the blow resulted in cutting
through the skull of the deceased and caused a hole therein, resulting in
exposing the brain tissue. When a blow with a deadly weapon is struck
with ferocity, it is apparent that the assailant intends to cause bodily
injury of a nature which he knows is so imminently dangerous, that it
must in all probability cause death. The place where the blow was
struck (at the back of the head of the deceased) by the accused-
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appellant, also leads to the same inference.
It is not the case of the
accused-appellant, that the occurrence arose out of a sudden quarrel.
It is also not his case, that the blow was struck in the heat of the
moment. It is not even his case, that he had retaliated as a
consequence of provocation at the hands of the deceased. He has
therefore no excuse, for such an extreme act.
Another material fact is
the relationship between the parties. The accused-appellant was an
uncle to the deceased. In such circumstances, there is hardly any
cause to doubt the intent and knowledge of the accused-appellant.
Besides the aforesaid factual position, it would be incorrect to treat the
instant incident as one wherein a single blow had been inflicted by the
accused. As many as five witnesses of the occurrence have stated in
unison, that the accused-appellant was in the process of inflicting a
second blow on the deceased, when they caught hold of him,
whereupon one of them (Mohinder Singh – PW6) snatched the ‘darat’
from the accused-appellant, and threw it away. In such a situation, it
would improper to treat/determine the culpability of the accused
appellant by assuming, that he had inflicted only one injury on the
deceased.
Keeping in mind the parameters of the judgments referred to
by the learned counsel for the rival parties (which have been extracted
above), we have no doubt in our mind, that the accused-appellant must
be deemed to have committed the offence of ‘culpable homicide
amounting to murder’ under Section 302 of the Indian Penal Code, as
the accused-appellant Som Raj had struck the ‘darat’ blow, with the
intention of causing such bodily injury, which he knew was so
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imminently dangerous, that it would in all probability cause the death of
Sardari Lal.
Having recorded the aforesaid conclusion, we are satisfied,
that the accused-appellant was justifiably convicted of the offence under
Section 302 of the Indian Penal Code and sentenced to undergo
Rigorous Imprisonment for life, as also, to pay a fine of Rs.10,000/- (and
in default, to undergo further simple imprisonment for a period of one
year).
12. In view of our aforesaid conclusions, the instant appeal being
devoid of merit, is dismissed.
 …………………………….J.
 (P. Sathasivam)
 …………………………….J.
 (Jagdish Singh Khehar)
New Delhi;
February 22, 2013.
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