The National Company Law Tribunal (NCLT) serves as India’s primary quasi-judicial body for adjudicating corporate disputes under the Companies Act, 2013, and the Insolvency and Bankruptcy Code, 2016. Understanding the evidence, documentation, and procedural requirements for NCLT proceedings is crucial for legal practitioners, corporate professionals, and litigants seeking effective resolution of corporate disputes. The tribunal operates under a structured framework that demands strict compliance with specific documentation standards, evidence procedures, and filing requirements.
Pre-Filing Requirements and Document Preparation Standards
All documents filed before the NCLT must comply with strict formatting standards under Rule 20 of the NCLT Rules, 2016. Documents must be in English, and if prepared in any other Indian language, they must be accompanied by an English translation. The documents should be typed or printed in double spacing on one side of standard petition paper with specific margins: 4 centimeters at the top, 2.5 centimeters on the right, and 5 centimeters on the left. The cause title must clearly state “Before the National Company Law Tribunal” and specify the relevant bench. Appeal or petition or application or counter or objections shall be divided into paragraphs and shall be numbered consecutively, with each paragraph containing a separate fact, allegation, or point.
Every petition or application must be filed in triplicate in Form NCLT-1, accompanied by necessary attachments and Form NCLT-2 (Notice of Admission). For interlocutory applications, filing must be done in Form NCLT-1 with Form NCLT-3 (Notice of Motion). Documents must be duly paginated, indexed, and stitched together in paper book form. All documents filed shall be accompanied by an index in triplicate containing their details and the amount of fee to be paid thereon. One copy of the petition, application, or appeal shall also be filed to the opposite party.
Since January 1, 2024, the NCLT has mandated specific e-filing requirements that represent a significant shift in procedural compliance. All documents must be in PDF/A format and electronically signed using a Digital Signature Certificate (DSC) issued by a Certifying Authority. The e-filing process requires both electronic submission and physical filing of two complete sets of hard copies at the NCLT registry. The provisioning of e-Sign based on Aadhaar Authentication has been made available to facilitate the digital signature process.
This blog is a part of our The Complete Guide to NCLT in India: Powers, Structure, and Jurisdiction Blogpost.
Mandatory Affidavit and Verification Requirements
Every petition or application, including interlocutory applications, must be verified by an affidavit in Form NCLT-6. Rule 34(4) provides that every petition or application including interlocutory application shall be verified in an affidavit in Form No. NCLT-6. This general affidavit must be sworn by an authorized person who can verify the contents of the petition based on personal knowledge or information received. The affidavit serves as a crucial verification tool ensuring the authenticity of claims made in the petition. The notice to be issued by the Tribunal to the opposite party shall be in Form NCLT-5.
When a company is the petitioner, specific corporate authorization documents are mandatory. These include a Board Resolution authorizing the filing of the petition, Memorandum and Articles of Association, and a Vakalatnama or Memorandum of Appearance in Form NCLT-12 for legal representation. A true copy of resolution for authorization to sign, verify and institute on behalf of the company shall also be enclosed. The NCLT has specifically directed that all advocates and representatives must file proper Vakalatnama or Memorandum of Appearance, failing which their attendance will not be marked in proceedings.
Depending on the nature of the petition, additional supporting documentation may be required, including documentary evidence supporting statements made in the petition, copies of relevant correspondence with the company, financial documents and records where applicable, and proof of service of notices. All these documents must be properly authenticated and indexed to avoid procedural delays.
Evidence Procedures and Cross-Examination Provisions
Under Rule 39 of the NCLT Rules, 2016, evidence is primarily led through affidavits in Form NCLT-7. This procedure streamlines the evidence collection process while maintaining the integrity of proceedings. The Tribunal may direct the parties to give evidence, if any, by affidavit. Every affidavit filed before the Tribunal must follow the prescribed format and be properly verified. If affidavit is to be filed, it should be in form NCLT-7, and requirements of affidavit are given in rules 125 to 230 of NCLT Rules, 2016.
The NCLT has discretionary power to order cross-examination of deponents when it considers it necessary in the interest of natural justice. Notwithstanding anything contained in sub-rule (1), where the Tribunal considers it necessary in the interest of natural justice, it may order cross-examination of any deponent on the points of conflict either through information and communication technology facilities such as video conferencing or otherwise as may be decided by the Tribunal, on an application moved by any party. However, cross-examination is permitted only when there are “points of conflict” in the evidence produced. One of the major requirements of Rule 39 is that cross-examination can be allowed only if there is a ‘point of conflict’ in the evidence produced. The NCLT has clarified that it can only be said that there are points of conflict when there are two versions from the same person but not conflicting versions between two persons.
Rule 40 of the NCLT Rules, 2016 places significant restrictions on the production of additional evidence. Parties cannot produce additional evidence (oral or documentary) that was in their possession or knowledge but was not produced before any Inspector appointed by the Central Government during investigation. The Bench may allow additional evidence only for substantial cause and after recording reasons, or if the Inspector so appointed for the said purpose has not given sufficient opportunity to the party to adduce evidence. Such document may be produced or such witness examined or such evidence adduced either before the Bench or before such authority as the Bench may direct.
Electronic evidence is admissible subject to compliance with Section 65B of the Indian Evidence Act, 1872, read with Section 424(2) of the Companies Act, 2013. The NCLT may order forensic examination of electronic evidence through accredited laboratories when matters involve forgery or fabrication. In matters involving forgery or fabrication, forensic examination may be ordered by the Tribunal through accredited laboratories.
Service of Notice and Advertisement Requirements
Under Rule 37 of the NCLT Rules, 2016, upon acceptance of petition by the NCLT, notice must be served on all respondents, along with a copy of the petition. In winding-up proceedings, public advertisement may be directed under Rule 5 of the Companies (Transfer of Pending Proceedings) Rules, 2016. Petitioners may then be permitted to file a rejoinder, thereby ensuring due process and a balanced record before the hearing.
Under Rule 38 of the NCLT Rules, 2016, notices and processes may be served through multiple modes including by post or courier at the email address provided in the petition, by hand delivery through a process server, by registered post or speed post with acknowledgment, and service by the party himself. When service is effected by the party, an affidavit of service must be filed with the Registrar along with proof of delivery.
When petitions require advertisement under Rule 35, they must be published at least 14 days before the hearing date in both vernacular and English newspapers circulating in the district where the company’s registered office is located. Rule 35(1) provides that where any application, petition or reference is required to be advertised, unless otherwise ordered by the Tribunal, the petition shall be in Form No. NCLT-3A. The advertisement is to be issued not less than 14 days before the date fixed for hearing, at least once in a vernacular newspaper in the principal vernacular language of the district in which the registered office of the company is situate and at least once in English language in English newspaper circulating in that district. The advertisement must include specific details such as the petition date, applicant’s name and address, nature of the application, hearing date, and invitation for objections.
Procedural Compliance and Timeline Management
After filing, the Registrar scrutinizes the petition under Rule 28 of the NCLT Rules, 2016. The registration of an application starts with e-filing on the e-filing portal of NCLT. The Registry of NCLT Benches generally issue defect letters in 7 to 15 days and the refiling window is kept open for seven days. If defects are found, they must be rectified within seven days (extendable at the Registrar’s discretion). Failure to rectify defects within the stipulated time may result in the petition being declined for registration. Not removing defects or non-refiling of fresh applications during this period by the applicant/litigants, keeps the application pending in ‘defective stage’ until it is discarded by the Registry which takes 9-12 months.
The timeline management is critical for successful proceedings. Appeals to the NCLAT must be filed within 30 days from the date of the NCLT order, with an additional 15 days available for condonation of delay upon showing sufficient cause. The Supreme Court has emphasized that the 15-day condonable period is absolute and cannot be extended, even if the last day falls on a court holiday. Appeals before the NCLAT require certified copies of the impugned order under Rule 22(2) of the NCLAT Rules. The Supreme Court has clarified that both free certified copies provided under Rule 50 of the NCLT Rules and paid certified copies are equally valid for appeal purposes.
Fee Structure and Legal Representation Requirements
The NCLT has established a comprehensive fee structure under the NCLT Rules, 2016. Fees can be paid through demand draft in favor of “Pay and Accounts Officer, Ministry of Corporate Affairs,” online payment through the MCA portal, or Bharatkosh portal for online transactions. Evidence regarding payment of fee must be included with the petition filing.
Every party may appear either in person or through an authorized representative, who shall make an appearance through filing Vakalatnama or Memorandum of Appearance in Form No. NCLT-12 representing the respective parties. All legal representatives must file appropriate Vakalatnama or Memorandum of Appearance in Form NCLT-12. Failure to do so results in non-recognition of attendance in proceedings. No intern employed by the Authorized Representative shall appear, access the records or obtain copies of the order, unless his/her name is entered in the Register of intern maintained by the bench.
Discovery and Document Production Powers
Rule 43 of the NCLT Rules, 2016 empowers the Adjudicating Authority to direct parties to produce documentary or other evidence as the Tribunal considers necessary. Additionally, Rule 131 provides for discovery and production of documents following the procedures outlined in the Code of Civil Procedure. Parties have the right to inspect records subject to the Tribunal’s directions. The NCLT maintains comprehensive case records that can be accessed by parties to the proceedings under prescribed procedures.
The tribunal’s power extends to examination of witnesses and issue of commissions, disposal of cases and pronouncement of orders, rectification of Order by NCLT, and awarding costs and even exemplary costs on defaulting parties. These comprehensive powers ensure that the NCLT can effectively manage complex corporate disputes while maintaining procedural fairness.
Hearing and Orders of NCLT
Hearings before the NCLT are conducted in open court.
- Witnesses, when examined, must give testimony on oath, recorded as per prescribed procedure.
- Private audio or video recording of proceedings is expressly prohibited.
- The Tribunal may grant interim reliefs such as stay orders, injunctions, or moratoriums in insolvency matters under Section 14 of the IBC to preserve the subject matter of dispute.
Following conclusion of hearings, the Tribunal issues a written, reasoned order in compliance with Rule 150 of the NCLT Rules, 2016. Orders are signed by the bench members in order of seniority and form part of the Tribunal’s permanent record.
A certified copy can be obtained from the Registry under Rule 150. Aggrieved parties may file an appeal before the National Company Law Appellate Tribunal (NCLAT) within 45 days of receipt of the order, as provided under Section 421 of the Companies Act, 2013 and Section 61 of the IBC.
In insolvency cases under the IBC, the NCLT acts as the adjudicating authority for applications under Sections 7, 9, or 10. Such applications must be supported by proof of debt, evidence of default, and details of the proposed interim resolution professional. Once admitted, the Tribunal issues a moratorium, calls for creditor claims, and supervises the appointment of a resolution professional. Given the strict timelines under the Code, these proceedings demand an even higher level of procedural precision
Given the strict timelines of 180 days (extendable up to 330 days) under Section 12 of the IBC, procedural precision is crucial.
It is important to note that , the success of any matter before the NCLT hinges on a blend of substantive legal strategy and procedural diligence. From drafting petitions in compliance with the NCLT Rules, 2016 to producing admissible evidence and adhering to timelines under the IBC, every step is closely scrutinised.
Whether the matter involves corporate governance disputes, oppression and mismanagement, restructuring, or insolvency resolution, the NCLT’s structured processes—guided by the Companies Act, 2013, IBC, 2016, and procedural rules are designed to ensure justice with fairness, speed, and efficiency.
Practical Considerations and Best Practices
Given the mandatory digital signature requirements effective from January 2024, practitioners must ensure proper PDF/A formatting and valid DSC certificates. The NCLT has conducted training sessions for advocates to facilitate compliance with e-filing requirements. Online training was given to the Advocates/Stakeholders on September 4, 2023 and September 11, 2023. Strict adherence to prescribed timelines is crucial, as while some periods like defect rectification may be directory, appeal limitation periods are strictly enforced.
Success in NCLT proceedings requires meticulous attention to documentation requirements, strict compliance with procedural timelines, and thorough understanding of evidence rules. Given the affidavit-based evidence system, careful preparation of comprehensive affidavits with proper verification is essential. All supporting documents should be properly indexed and authenticated to avoid procedural delays. Practitioners should maintain detailed timeline calendars to ensure compliance with all procedural requirements and stay updated with the latest NCLT circulars and Supreme Court pronouncements.
The NCLT’s role in India’s corporate dispute resolution mechanism continues to evolve, with emphasis on efficient case management and technological integration. The evolving digital filing requirements, coupled with traditional procedural mandates, create a complex framework that demands careful navigation. Understanding these essential requirements and maintaining procedural compliance remains fundamental to achieving successful outcomes in NCLT proceedings, ensuring that corporate disputes are resolved efficiently within the structured framework provided by the tribunal.
