Introduction

A caveat is a legal notice filed in a court by an individual or entity to preempt any ex-parte orders or actions in a proceeding that is anticipated to be initiated against them. The concept of a caveat is derived from the Latin term “caveat,” which means “let him beware.” In the Indian legal context, the provision for filing a caveat is outlined under Section 148A of the Code of Civil Procedure, 1908. It is a formal notice or warning given by a party interested to a Court, judge, or ministerial officer against the performance of certain acts within his power and jurisdiction. A caveat is founded on the principle of “Audi Alteram Partem,” which mandates that both parties must be given the opportunity to present their case before the court.

Understanding Section 148A

Section 148A(supra) was introduced through the Amendment Act of 1976 to address the grievances of individuals or entities who might be affected by ex-parte orders, ensuring they have a chance to present their case before any such orders are passed. This section is a procedural safeguard that provides an opportunity to be heard and prevents surprise or one-sided orders that can cause significant prejudice.

Provisions of Section 148A

1. Filing a Caveat:

According to Section 148A(supra), a person claiming a right to appear before the court upon the hearing of an application which is expected to be made, can file a caveat in the court. This can be done in any civil proceeding instituted, or about to be instituted, in a court.

2. Notice of Caveat:

Once a caveat is filed, the caveator (the person filing the caveat) is entitled to receive notice of any application or motion that may be made in a suit or proceeding instituted against them. This ensures that the caveator is informed and has the opportunity to respond or oppose the application.

3. Duration of the Caveat:

A caveat remains in force for 90 days from the date of its filing unless withdrawn earlier. If the anticipated suit or proceeding is not filed within this period, the caveat lapses, and the caveator must file a new caveat if they still anticipate a proceeding against them.

4. Duty to Serve Notice:

The person filing the caveat must serve a notice of the caveat by registered post, acknowledgment due, to the person on whose behalf the application is expected to be made. This is to ensure that the applicant is aware of the caveat and the need to inform the caveator of any application filed.

5. Costs and Consequences:

If an application is made without serving notice to the caveator, the court, upon receiving information about the caveat, can order a stay of the proceedings until the caveator is heard. The court may also impose costs on the applicant for non-compliance with the caveat provisions.

When can Caveat be lodged?

Under Section 148A of the CPC, individuals have the right to file a caveat if they suspect that a case has been or will be initiated against them in any court. A caveat can be submitted as a petition in the following scenarios:

• During an ongoing lawsuit or legal proceeding where an application has already been submitted or is expected to be submitted.
• When a lawsuit is about to be initiated, it is anticipated that an application will be filed in connection with that lawsuit.

In essence, a caveat is always related to an application within a lawsuit or legal proceeding. The proceeding can either be ongoing (already instituted) or anticipated in the future, where a lawsuit has not yet been initiated but is expected to be. In all these situations, the right to lodge a caveat is applicable.

Who can file a Caveat?

A caveat can be filed by any individual or entity who:

1. Anticipates a Legal Action: The person expects that a case may be filed against them in any court. This anticipation must be specific to an application within a lawsuit or legal proceeding.
2. Is a Party to an Ongoing Proceeding: The person is already involved in an ongoing lawsuit or legal proceeding and anticipates that an application may be submitted in that context.
3. Has an Interest in the Subject Matter: The person has a direct interest in the matter that is likely to be brought before the court. This could be in the form of property disputes, family matters, or any other civil litigation where their rights or interests might be affected.

Entities such as corporations, organisations, or government bodies can also file a caveat if they fall under any of the above circumstances. The primary purpose of filing a caveat is to ensure that the court does not pass any ex-parte orders or decisions without giving the caveator an opportunity to be heard.

Section 148A also specifies that a caveat can be filed by any individual, whether or not they are directly involved in the lawsuit. However, the person filing the caveat must have the legal standing to present themselves before the court in relation to the specific lawsuit. This means that a third party can file a caveat under the CPC if they have some connection or involvement with the case.

It is important to emphasize that a caveat cannot be lodged by an individual who has no significant connection to the case. This principle was affirmed in the case of Kattil Vayalil Parkkum Koiloth v. Mannil Paadikayil Kadeesa Umma by Kerala High Court in 1991.

Where can Caveat be lodged?

A caveat can be lodged in any court where a suit or proceeding is pending or is expected to be filed. The specific courts where a caveat can be lodged include:

1. Civil Courts:This includes District Courts, High Courts, and the Supreme Court of India, depending on the jurisdiction and nature of the anticipated legal action.
2. Specialised Tribunals and Forums:If the legal action pertains to specific matters such as family disputes, consumer complaints, or corporate issues, a caveat can be lodged in the respective tribunals or forums that have jurisdiction over such cases.
3. Lower Courts:This includes any subordinate court where a legal proceeding is likely to be initiated or is already in progress.

The caveat must be lodged in the same court where the anticipated application or proceeding is expected to be filed, ensuring that the caveator is notified of any applications made in that court.

However, in a judgement the court determined that Section 148A of the Civil Procedure Code is applicable exclusively to civil proceedings. Consequently, caveats cannot be filed against petitions under the Criminal Procedure Code or petitions made under Article 226 of the Constitution of India.

How to file a Caveat?

Filing a caveat involves a few procedural steps to ensure that the court acknowledges the caveator’s right to be heard before any ex-parte orders are issued. Here’s a detailed guide on how to file a caveat:

Process to File a Caveat

1. Drafting the Caveat Petition:
   • Prepare a caveat petition that includes the following details:
     • The name, address, and contact information of the caveator (the person filing the caveat).
     • The name and address of the person against whom the caveat is being filed (expected applicant).
     • Details of the anticipated legal action or proceeding.
     • A statement asserting the caveator’s right to appear and be heard before any order is passed in the anticipated legal action.
   • The caveat should clearly mention the relevant court where the anticipated suit or application is expected to be filed.
2. Affidavit:
   • Attach an affidavit affirming the truthfulness of the information provided in the caveat petition. The affidavit should be sworn before a notary public or an authorised judicial officer.
3. Filing the Caveat:
   • Submit the caveat petition along with the affidavit to the appropriate court where the suit or application is expected to be filed. This could be a District Court, High Court, or the Supreme Court, depending on the jurisdiction of the anticipated legal action.
   • Pay the prescribed court fee, which varies depending on the court and jurisdiction.
4. Serving Notice:
   • Serve a notice of the caveat on the person against whom the caveat is filed (the expected applicant). This is typically done through registered post with acknowledgment due to ensure that the notice is officially received.
   • Ensure that the proof of service is retained, as it may need to be submitted to the court.
5. Court Acknowledgment:
   • After filing the caveat, the court will provide an acknowledgment or a receipt. Keep this acknowledgment for your records, as it serves as proof that the caveat has been duly filed.

Rights and Duties of Caveator and Caveatee under the Code of Civil Procedure (CPC)

Rights and Duties of the Caveator

Rights:

1. Right to Notice:
   • The caveator has the right to receive a notice from the court before any ex-parte order is passed in the case where the caveat has been filed.
   • The caveator must also be notified by the applicant (caveatee) of any application filed against them.
2. Right to Be Heard:
   • The caveator has the right to appear and be heard before the court takes any action on the application against which the caveat is filed.
3. Right to Obtain Copies:
   • The caveator can request copies of the application and any supporting documents submitted by the applicant (caveatee) to the court.

Duties:

1. Duty to Serve Notice:
   • As per clause 2 of the section, the caveator must serve a notice of the caveat to the person against whom the caveat is filed (the expected applicant), ensuring that the notice is delivered in a manner prescribed by law (e.g., registered post with acknowledgment due).

2. Duty to Specify Details:
   • The caveator must clearly specify the details of the anticipated legal proceedings in the caveat petition, including the name of the court, the nature of the expected application, and the parties involved.
3. Duty to Follow Court Procedures:
   • The caveator must adhere to all procedural requirements set by the court, such as paying any prescribed fees and filing the caveat in the appropriate format and within the stipulated time frame.

Rights and Duties of the Caveatee (Applicant)

Rights:

1. Right to Contest:
   • The caveatee has the right to contest the caveat and present their arguments and evidence before the court to support their application.
2. Right to Fair Hearing:
   • The caveatee is entitled to a fair hearing and an opportunity to present their case before the court, even if a caveat has been filed against them.

Duties:

1. Duty to Inform:
   • The caveatee must inform the court if they are aware that a caveat has been filed in relation to their application. This ensures that the caveator is notified and given an opportunity to be heard.
2. Duty to Serve Notice:
   • Clause 4 of the section directs that upon receiving a caveat notice, the caveatee is required to serve a copy of their application and any supporting documents to the caveator. This duty ensures that the caveator is fully informed about the details of the application they are contesting.
3. Duty to Adhere to Court Orders:
   • The caveatee must comply with any court orders or directions issued in response to the caveat, including appearing in court for hearings and providing required documentation.

Conclusion

Section 148A(supra) of the CPC, 1908, serves as a critical procedural safeguard in the Indian judicial system, providing a means to ensure fairness and prevent ex-parte orders that could cause undue harm or prejudice. By allowing individuals to file a caveat, the law ensures that all parties involved in a dispute have an opportunity to present their case and are aware of any impending legal actions against them. This provision underscores the importance of the principles of natural justice and fair play in the legal process.

REFERENCES

1. https://www.livelaw.in/articles/filing-of-caveat-under-section-148a-of-civil-procedure-code-242309#_ftn6
2. https://lawbhoomi.com/caveat-in-cpc/
3. https://www.indiacode.nic.in/show-data?actid=AC_CEN_2_11_00037_200254_1517807324604&sectionId=20664&sectionno=18C&orderno=25
4. https://indiankanoon.org/doc/1724854/

BY

PARKHI AGRAWAL