TMI BlogNational Company Law Appellate Tribunal Rules, 2016X X X X Extracts X X X X X X X X Extracts X X X X ..... ase before the Appellate Tribunal as provided under section 432 of the Act ; (e) form means a form set forth in Annexure 'A' to these rules. (f) interlocutory application means an application in any appeal already instituted in the Appellate Tribunal, but not being a proceeding for execution of the order or direction of the Appellate Tribunal; (g) party means a person who prefers an appeal before the Appellate Tribunal and includes respondent of any person interested in the appeal; (h) Registrar means the Registrar of the Appellate Tribunal; (i) section means a section of the Act; (j) All other words and expressions used in these rules but not defined herein and defined in the Act and National Company Law Tribunal Rules, 2016 shall have the meanings respectively assigned to them in the Act and in the said rules. 3. Computation of time period - Where a period is prescribed by the Act and these rules or under any other law or is fixed by the Appellate Tribunal for doing any act, in computing the time, the day from which the said period is to be reckoned shall be excluded, and if the last day e ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... e Tribunal. 12. Calendar - The Calendar of days of working of Appellate Tribunal in a year shall be as decided by the Chairperson and Members of the Appellate Tribunal. 13. Listing of cases - All urgent matters filed before 12 noon shall be listed before the Appellate Tribunal on the following working day, if it is complete in all respects as provided in these rules and in exceptional cases, it may be received after 12 noon but before 3.00 P.M. for listing on the following day, with the specific permission of the Appellate Tribunal or Chairperson. 14. Power to exempt - The Appellate Tribunal may on sufficient cause being shown, exempt the parties from compliance with any requirement of these rules and may give such directions in matters of practice and procedure, as it may consider just and expedient on the application moved in this behalf to render substantial justice. 15. Power to extend time - The Appellate Tribunal may extend the time appointed by these rules or fixed by any order, for doing any act or taking any proceeding, upon such terms, if any, as the justice of the case may require, and any enlargement may be ordered, although the application therefore ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... each paragraph shall contain as nearly as may be, a separate fact or allegation or point. (4) Where Saka or other dates are used, corresponding dates of Gregorian calendar shall also be given. (5) Full name, parentage, description of each party and address and in case a party sue or being sued in a representative character, shall also be set out at the beginning of the appeal and need not be repeated in the subsequent proceedings in the same appeal. (6) The names of parties shall be numbered consecutively and a separate line should be allotted to the name and description of each party and these numbers shall not be changed and in the event of the death of a party during the pendency of the appeal, his legal heirs or representative, as the case may be, if more than one shall be shown by sub-numbers. (7) Where fresh parties are brought in, they may be numbered consecutively in the particular category, in which they are brought in. (8) Every proceeding shall state immediately after the cause title and the provision of law under which it is preferred. 20. Particulars to be set out in the address for service - The address for service of summons shall be filed wi ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... English language intended to be used in any proceeding before the Appellate Tribunal shall be received by the Registry accompanied by a copy in English, which is agreed to by both the parties or certified to be a true translated copy by the authorised representative engaged on behalf of parties in the case. (2) The Registrar may order translation, certification and authentication by a person approved by him for the purpose on payment of such fee to the person, as specified by the Chairperson. (3) Appeal or other proceeding shall not be set down for hearing until and unless all parties confirm that all the documents filed on which they intend to rely are in English or have been translated into English and required number of copies are filed with the Appellate Tribunal. 26. Endorsement and scrutiny of petition or appeal or document (1) The person in charge of the filing-counter shall immediately on receipt of appeal or document affix the date and stamp of the Appellate Tribunal thereon and also on the additional copies of the index and return the acknowledgement to the party and he shall also affix his initials on the stamp affixed on the first page of the copies and ent ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... ry application for stay, direction, condonation of delay, exemption from production of copy of order appealed against or extension of time prayed for in pending matters shall be in Form NCLAT-2 and the requirements prescribed in that behalf shall be complied with by the applicant, besides filing a affidavit supporting the application. 32. Procedure on production of defaced, torn or damaged documents - When a document produced along with any pleading appears to be defaced, torn, or in any way damaged or otherwise its condition or appearance requires special notice, a mention regarding its condition and appearance shall be made by the party producing the same in the Index of such a pleading and the same shall be verified and initialed by the officer authorized to receive the same. Part IV Cause list 33. Preparation and publication of daily cause list - (1) The Registry shall prepare and publish on the notice board of the Registry before the closing of working hours on each working day the cause list for the next working day and subject to the directions of the Chairperson, listing of cases in the daily cause list shall be in the following order of priority, unle ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... be checked by the Deputy Registrar and initialed once in a fortnight. 36. Order sheet - (1) Order sheet shall be maintained in every proceedings by the Court Master and shall contain all orders passed by the Appellate Tribunal from time to time . (2) All orders passed by the Appellate Tribunal shall be in English and the same shall be signed by the Members of the Appellate Tribunal constituting the Bench: Provided that the routine orders, such as call for of the records, put up with records, adjourned and any other order as may be directed by the Member of the Appellate Tribunal shall be signed by the Court Master. (3) The order sheet shall also contain the reference number of the appeal or petition or application, date of order and all incidental details including short cause title thereof. 37. Maintenance of diary - (1) The Court Master of the Bench concerned shall maintain legibly a Diary, wherein he shall record the proceedings of the Bench for each sitting with respect to the applications or petitions or appeals listed in the daily cause list. (2) The matters to be recorded in the Diary shall include details as to whether the case is adjourned, or part-he ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... following order and it shall be maintained as permanent record till ordered to be destroyed under the rules:- (a) Index; (b) order Sheet; (c) Final order or judgment; (d) memo of appeal or petition as the case may be together with any schedule annexed thereto; (e) counter or reply or objection, if any; (f) (i) oral evidence or proof of affidavit (ii) evidence taken on commission; and (iii) documentary evidence. (g) written arguments. 44. Contents of process file - The process file shall contain the following items; namely, - (a) index; (b) powers of attorney or vakalatnama or memo of appearance; (c) summons and other processes and affidavits relating thereof; (d) applications for summoning witness; (e) letters calling records; and (f) all other miscellaneous papers such as postal acknowledgements 45. Execution file - The execution file shall contain the following items, namely, - (a) index; (b) the order sheet; (c) the execution application; (d) all processes and other papers connected with such execution proceedings; (e) transmission of order to ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... ice board of the Registry. (2) The applicant or petitioner or his authorised representative shall within seven days from the date of the notification, take steps to serve the notice afresh. 51. Consequence of failure to take steps for issue of fresh notice Where, after a summon has been issued to the other side, and returned unserved, and the applicant or petitioner or appellant, as the case may be, fails to take necessary steps within the period as ordered by the Appellate Tribunal from the date of return of the notice on the respondent(s), the Registrar shall post the case before the Appellate Tribunal for further directions or for dismissal for non-prosecution. 52. Entries regarding service of notice or process - The Judicial Section of the Registry shall record in the column in the order sheet 'Notes of the Registry', the details regarding completion of service of notice on the respondents, such as date of issue of notice, date of service, date of return of notice, if unserved, steps taken for issuing fresh notice and date of completion of services etc. 53. Non-appearance of respondent and consequences - Where the respondent, despite effective ser ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... r and fee prescribed therein. (2) Subject to such terms and conditions as may be prescribed by the Chairperson by a general or special order, a person who is not a party to the proceeding, may also be allowed to inspect the proceedings after obtaining the permission of the Registrar in writing. 58. Grant of inspection - inspection of records of a pending or decided case before the Appellate Tribunal shall be allowed only on the order of the Registrar. 59. Application for grant of inspection - (1) Application for inspection of record under rule 58 shall be in the Form NCLAT-3 and presented at the filing counter of the Registry between 10.30 AM and 3.00 PM on any working day and two days before the date on which inspection is sought, unless otherwise permitted by the Registrar. (2) The Registry shall submit the application with its remarks before the Registrar, who shall on consideration of the same, pass appropriate orders. (3) Inspection of records of a pending case shall not ordinarily be permitted on the date fixed for hearing of the case or on the preceding day. 60. Fee payable for inspection - Fee as given in the Schedule of the fees appended to these ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... ants shall submit Memorandum of Appearance. 65. Restriction on party's right to be heard - The party who has engaged a authorised representative to appear for him before the Appellate Tribunal shall not be entitled to be heard in person unless permitted by the Appellate Tribunal. 66. Professional dress for the authorised representative - While appearing before the Appellate Tribunal, the authorised representative shall wear the same professional dress as prescribed in their Code of Conduct. Part XI AFFIDAVITS 67. Title of affidavits - Every affidavit shall be titled as Before the National Company Law Appellate Tribunal. followed by the cause title of the application or other proceeding in which the affidavit is sought to be used. 68. Form and contents of the affidavit - The affidavit as per Form NCLAT-4 shall conform to the requirements of order XIX, rule 3 of Civil Procedure Code, 1908 (5 of 1908). 69. Persons authorised to attest - Affidavits shall be sworn or affirmed before an Advocate or Notary, who shall affix his official seal. 70. Affidavits of illiterate, visually challenged persons - Where an affidavit is sworn or affirmed ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... unal exhibits shall be marked as 'C series. (2) The Appellate Tribunal may direct the applicant to deposit with Appellate Tribunal by way of Demand Draft or Indian Postal Order drawn in favour of the Pay and Accounts Officer, Ministry of Corporate Affairs, New Delhi, a sum sufficient to defray the expenses for transmission of the records before the summons is issued. 76. Return and transmission of documents - (1) An application for return of the documents produced shall be numbered and such application shall be entertained after the destruction of the records. (2) The Appellate Tribunal may, at any time, direct return of documents produced subject to such conditions as it deems fit. Part XIII EXAMINATION OF WITNESSES AND ISSUE OF COMMISSIONS 77. Procedure for examination of witnesses, issue of Commissions - The provisions of section 424 of the Act and relevant provisions of the Orders XVI and XXVI of the Code of Civil Procedure, 1908 (5 of 1908), shall apply in the matter of summoning and enforcing attendance of any person and examining him on oath and issuing commission for the examination of witnesses or for production of documents. 78. Examinat ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... rar well before the summons is issued. (4) If the witness is summoned as a court witness, the amount estimated by the Registrar shall be paid as per the directions of the Appellate Tribunal. (5) The aforesaid provisions shall govern the payment of allowance to the interpreter as well. 86. Records to be furnished to the Commissioner - (1) The Commissioner shall be furnished by the Appellate Tribunal with such of the records of the case as the Appellate Tribunal considers necessary for executing the Commission. (2) Original documents shall be furnished only if a copy does not serve the purpose or cannot be obtained without unreasonable expense or delay. (3) Delivery and return of records shall be made under proper acknowledgement. 87. Taking of specimen handwriting, signature etc.. -The Commissioner may, if necessary, take specimen of the handwriting, signature or fingerprint of any witness examined before him. Part XIV PRONOUNCEMENT OF ORDERS 88. Order - The final decision of the Appellate Tribunal on an appeal or proceedings before the Appellate Tribunal shall be delivered by way of Judgment. 89. Operative portion of the order - All orde ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... him. 95. Transmission of order by the Court Master - (1) The Court Master shall immediately on pronouncement of order, transmit the order with the case file to the Deputy Registrar. (2) On receipt of the order from the Court Master, the Deputy Registrar shall after due scrutiny, satisfy himself that the provisions of these rules have been duly compiled with and in token thereof affix his initials with date on the outer cover of the order. (3) The Deputy Registrar shall thereafter cause to transmit the case file and the order to the Registry for taking steps to prepare copies and their communication to the parties. 96. Format of order - (1) All orders shall be neatly and fairly typewritten in double space on one side only on durable foolscap folio paper of metric A-4 size (30.5 cm long and 21.5 cm wide) with left side margin of 5 cm and right side margin of 2.5 cm and corrections, if any, in the order shall be carried out neatly and sufficient space may be left both at the bottom and at the top of each page of the order to make its appearance elegant. (2) Members constituting the Bench shall affix their signatures in the order of their seniority from right to le ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... iling of appeal or proceedings through electronic mode such as online filing and provide for rectification of defects by e-mail or internet and in such filing, these rules shall be adopted as nearly as possible on and form a date to be notified separately and the Central Government may issue instructions in this behalf from time to time. 104. Removal of difficulties and issue of directions - Notwithstanding anything contained in the rules, wherever the rules are silent or not provisions is made, the Chairperson may issue appropriate directions to remove difficulties and issue such orders or circulars to govern the situation or contingency that may arise in the working of the Appellate Tribunal. SCHEDULE OF FEES S.No. Section of the Companies Act, 2013/ Rule Nature of Appeal etc Fees (in Rupees) 1. Sec. 218(3)) Protection of employee during investigation 1,000/- 2. ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... Jurisdiction of the Appellate Tribunal The appellant declares that the subject matter of the appeal is within the jurisdiction of this Tribunal. 6. Limitation The Appellant/s declare that the appeal is within the period specified in sub-section (3) of section 421 of the Act. {Explain how the appeal is within the period prescribed in case the appeal is preferred after the expiry of 45 days from the date of order/direction/decision against which this appeal is preferred}. In case the appeal barred by limitation, the number of days of delay should be given along with interlocutory application for condonation of delay. 7. Facts of the case The facts of the case are given below: (Give here a concise statement of facts in a chronological order followed by elaboration of issues including the question of law arising in the appeal. Each paragraph should deal with, as far as ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... No . . . . . . . Date. 16. List of enclosures: 1. 2. 3. 4. 17. Whether the order appealed as communicated in original is filed? If not, explain the reason for not filing the same. 18. Whether the appellant/s is ready to file written submissions/arguments before the first hearing after serving the copy of the same on Respondents. 19. Whether the copy of memorandum of appeal with all enclosures has been forwarded to all respondents and all interested parties, if so, enclose postal receipt/courier receipt in addition to payment of prescribed process fee. 20. Any other relevant or material particulars / details which the appellant( s ) deems necessary to set out: 21. Reliefs Sought ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... ich interim orders prayed for 4. Balance of convenience, if any : (All interlocutory applications shall be supported by an affidavit sworn by the Applicant/on its behalf and attested by a Notary Public). DECLARATION The applicant above named hereby solemnly declare that nothing material has been concealed or suppressed and further declare that the enclosures and typed set of material papers relied upon and filed herewith are true copies of the originals or fair reproduction of the originals or true translation thereof. Verified at . . . . . .dated at . . . . . . .this day .. . . . . . . of . . . . . . . . . 20 . Counsel for Applicant Applicant VERIFICATION I. . . . . (Name of the applicant) S/o.W/o.D/o. (indicate any one, as the case may be ) . . . . . . . age . . . . . .working as . . . . . in the office of . . . . . resident of . . . . . . do hereby verify that the contents of the paras . . . . . . to. . . . . . . . are true to my personal knowledge / derived from official record ) and para . . . . . . to . . . . . . are believed to be true on legal advice and that I have not sup ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... ife of . . . .. (name and occupation of the deponent) . . . . . residing at (Full address) .. . . . do hereby swear in the name of God/solemnly affirm and state as follows : Para. 1 Para. 2 Para. 3 . . . . . . . Contents of Paragraphs Nos . . . . . . .are within my personal knowledge and contents of Paragraphs Nos . . . . . are based on information received by me which I believe the same to be true (state the source of information wherever possible and the grounds for belief, if any ). Place : Signature of the Deponent Date : Name in Block Letters No. of corrections on page nos. Identified by : Before me *. . . . . . . . . . . . . . . . . Sworn/solemnly affirmed before me on this the . . .. . day of .. . 200 . . . Signature (Name and Designation of the Attesting Authority with Seal) *To add endorsement in Form No. when necessary FORM NCLAT-5 IN THE NATIONAL COMPANY LAW APPELLATE TRIBUNAL [See Rule 70] Certification when deponent is unacquainted with the language of the ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... uly sworn/ solemnly/ affirmed Examination-in-chief: By : Date: . . . . . . . . . . . . . . . . . . . . . . . . . . . . Cross examination: By . . . . . . . . . . . . . . . . . . . . . . . . Re-examination, if any: . . . . . . . . . . . . . . (Signature of the witness on each page) Statement of witness as recorded was read over/translated to the witness, who admitted it to be correct. Signature of the Member of the Appellate Tribunal with date FORM NCLAT-8 [See Rule 84] CERTIFICATE OF DISCHARGE Certified that . . . . . . appeared before this Appellate Tribunal as a witness/in/ No . . . . . . , on behalf of the appellant or respondent as Court witness on this . . . . . . day of . . ..... X X X X Extracts X X X X X X X X Extracts X X X X
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