Caveat

What is a Caveat?

The term caveat comes from the Latin term cavere which means to “let a person beware”. According to the Merriam-Webster Dictionary, it is defined as “a warning enjoining one from certain acts or practices” or “an explanation to prevent misinterpretation.”

A caveat in the context of Indian law, caveats are used as mechanisms in civil proceedings to caution the court to not pass any judgement, ex parte order, etc. before giving prior notice or without hearing the person who can be called a caveator. . Section 148A of Civil Procedure Code (as amended in 1976) deals with the right to lodge caveat in all proceedings in any court of civil jurisdiction. The legal provisions related to caveat are also explicitly covered in other legislations.

The rules of Supreme Court and some High Courts also provide for caveats to ensure that the opposing party is formally notified about pending cases and can contest the maintainability of petitions at the earliest stage.

Official Definition of Caveat

The term caveat has not been officially defined in any statute. However, the legal framework for caveat petitions is covered in various legislations. In India, a caveat can be filed at various stages of civil litigation to protect a person’s right to be heard before any adverse order is passed against them. The timing and forum for filing a caveat depend on the stage and nature of the proceedings.

A caveat petition is only filed in civil matters. It was recommended by the Law Commission of India's 54th Report and subsequently, Section 148A of the Civil Procedure Code, 1908 which deals with a caveat petition, was inserted by the Civil Procedure Code (Amendment) Act, 104 of 1976. Prior to that, Caveat could only be filed in Supreme Court within a fixed 90 day validation period, under the the Supreme Court Rules, 1966 and in testamentary proceedings under Section 284 of The Indian Succession Act, 1925

Legal Provisions related to Caveat

Code of Civil Procedure, 1908

• Section 148A(1), Civil Procedure Code, 1908 prescribes qualifications for who may lodge a caveat. According to sub section (1) of Section 148 A, a person who asserts a right to appear in court may submit a caveat petition in the following situations:
  1. Where there is concern about its application.
  2. Where a previous application has been submitted.
  3. In a lawsuit that is likely to be brought against him/her.
  4. In a suit that was already filed.
• Under Sub-section (2) of Section 148A, the caveator has also to serve a notice of the caveat on the person by whom the application has been, or is expected to be, made under Sub-section (1).
• Sub-section (3) of Section 148A imposes duties on the court. It states that the court must notify the caveator of the application if it is filed after a caveat has been filed in accordance with Section 148 (1).
• Sub-Section (4) of Section 148A states that the applicant must provide, at the expense of the caveator, any notice of any caveat that the applicant receives.
  1. The application copy.
  2. Documents that he has submitted in support of his application, including copies.
  3. Documents and papers that he can submit in support of his application.
• Sub-section (5) of Section 148A, a caveat must be filed within no more than ninety days. A new caveat may be filed after the 90-day period has expired.

The main objective of Section 148A, which is a salutary provision, is to safeguard and protect the interests of the caveator because he is concerned about a potential case. This is done to ensure that he is afforded an opportunity to be heard before any order (including ex-parte order) is made against him. This is in accordance with audi alteram partem and is also used to avoid multiplicity of proceedings. The court must hear the caveator before passing any interim order against him. But an interim order passed without hearing the caveator is not without jurisdiction and operates unless set aside. The provision relating to caveat is applicable to suits, appeals and other proceedings under the Civil Procedure Code, 1908 or under other enactments.

The language in the Code is wide and includes not just a necessary party, but even a proper party. Hence, a caveat may be filed by any person who is going to be affected by an order. Once a caveat is lodged, the court and the Caveator have a duty to serve a notice of an application on the caveator.

No form of caveat has been prescribed under the Civil Procedure Code. It may be filed as a petition where the caveator has to specify the nature of the application which is expected to be made or has been made and also his right to appear before the court at the hearing of such application.

Picture: Sample Form of a Caveat [Source: MP Jain: The Code of Civil Procedure including Limitation Act, 1963, 5th edn., published by LexisNexis

Civil Rules of Practice

The Karnataka Civil Rules of Practice provides for maintenance of Caveat Register with the following particulars

1. Number of Caveat
2. Date of Lodging
3. Caveater's Name and Address
4. Name and address of the plaintiff/applicant in suit or proceedings.
5. Date of filing application in a suit or proceeding in respect of which Caveat is filed.
6. Suit or proceedings number if any (with reference to application) in which the application is filed.
7. Date of destruction of the Caveat Petition.
8. Remarks

Further, Rule 16-C(2) provides that when a caveat ceases to be in force in accordance with Section 148-A(5) the Code of Civil Procedure, 1908, the same shall be destroyed, after a lapse of one year from the date on which it has ceased to be in force. The date of destruction of the caveat shall be entered in the Caveat Register.

Other Legislations

Indian Succession Act, 1925

The provision for lodging a caveat in a testamentary proceeding is contained in Section 284 of the Indian Succession Act. Persons who have some interest in the estate of the deceased are entitled to enter caveats under Section 284. The section 284 of the Indian Succession Act, 1925 provides for lodging of caveats against the grant of probate or administration before district judge or district delegate.Caveat in a probate proceedings, is essentially a legal instrument used to lodge a formal warning or notice. Its purpose is to register an objection to the grant of probate where there exists a direct, inheritable interest. However, the mere filing of a caveat is insufficient unless supported by clear legal objections or evidence of a caveatable interest.

Securitisation and Reconstruction of Financial Assets and Enforcement of Security Interest (SARFAESI) Act, 2002

Section 18-C of SARFAESI Act (Inserted by Enforcement of Security Interest and Recovery of Debts Law (Amendment) Act, 2012 ) enable the banks or any person to file a caveat so that before granting any stay, the bank or such person is heard by the Debt Recovery Tribunal. It grants the right to file a Caveat to the secured creditor or any interested party when the borrower/defaulter is expected to make an application or appeal under Section 17 or 18 of the Act. According to this section, the caveator must serve a notice to the applicant/appellant after lodging the caveat. If the borrower subsequently files an application, the debt recovery tribunal (DRT) is required to serve notice of the application to the caveator.

Uttar Pradesh Revenue Code, 2006

Section 225-B of Uttar Pradesh Revenue Code, 2006 provides for lodging of caveat where an application is expected to be made in any suit, appeal, revision or other proceeding under the Code.

Supreme Court Rules

A caveat can also be filed in the Supreme Court of India, both in civil and criminal appellate jurisdiction. In civil matters, caveats are commonly filed in civil appeals, transfer petitions and Special Leave Petitions (SLPs) under Article 136 of the Constitution. While criminal law does not have an equivalent to Section 148A CPC, the Supreme Court Rules, 2013 permit the filing of a caveat even in criminal SLPs or appeals, ensuring that the caveator is notified before any relief is granted by the Court.

• Order XV Rule 2 of the Supreme Court Rules, 2013 contains the mechanism for lodging a caveat and subsequent issuance of notice to the plaintiff. Order XV Rule 2 provides that any person who expects a petition to be filed against them—particularly a petition that is not connected to a pending appeal already registered in the Supreme Court—may lodge a caveat in the matter. By doing so, the caveator secures a right to receive a notice from the Registrar as soon as such a petition is filed. If the petition has already been filed, the caveator must immediately notify the petitioner after lodging the caveat. Once the petition is filed, the caveator also gains the right to require the petitioner to serve a copy of the petition and to provide, at the caveator’s own expense, copies of any papers filed in support of the petition. This procedural safeguard ensures that no adverse order is passed by the Court without giving the caveator an opportunity to be heard.
• Order XXI of Supreme Court Rules, 2013, which deals with Special Leave Petitions (SLPs) in civil matters, reinforces the protective intent of caveats. Rule 9(1) states that in the absence of a caveat by the parties who appeared in the lower court, SLPs may be heard ex-parte; however, the Court has discretion to direct notice to the respondent. Rule 9(2) mandates that if a caveat is filed, the caveator must be given notice of the hearing, although they are not automatically entitled to costs unless the Court orders otherwise. Rule 11 further clarifies that if the respondent has already been served notice in the SLP, or has filed a caveat or taken notice of the petition, no additional notice is necessary after the appeal is lodged. Significantly, Rule 14(1) allows a caveator to oppose the grant of leave or interim reliefs without needing to file a written objection.

High Court Rules

Regional Variations

There is a variation in practice on the question whether caveat can be filed in relation to writ petitions under Article 226. High Courts have delivered divergent opinions on the question. To clarify, The Bombay High Court has amended its rules expressly stating that Section 148-A of the Code of Civil Procedure, 1908 (hereafter referred to as “CPC”) will not apply to writ petitions filed under Article 226 of the Constitution. High Court like Kerala and Delhi have held that that Section 148-A does not apply to writ petitions under Article 226 of the Constitution; while High Court of Karnataka, Rajasthan, and Orissa have held that caveat apply to writs under Article 226.

Allahabad High Court

The Rule 5 of Chapter XXII of The Allahabad High Court Rules, 1952 provides for lodging of caveat. It states

1. Where an application is expected to be made or has been made, any person claiming the right to oppose such an application, may, either personally or through his counsel, lodge a caveat in the Court in respect thereof.
2. The caveator shall serve a notice of the caveat by registered post, acknowledgment due, on the person by whom the application is expected to be made and submit proof of service in Court.
3. After the caveat has been lodged and the notice thereof has been served on the applicant's counsel, the applicant shall forthwith furnish to the caveator or his counsel, at the caveator's expense, with a copy of the application as well as any miscellaneous application made therein for interim relief.

High Court of Madhya Pradesh

Chapter 10, Rule 34 of the High Court of Madhya Pradesh Rules, 2008 provide for lodging of caveat in in a civil or writ case.

Further, Chapter 11, Rule 13 mentions about special application software customised for caveat matching, it states 'In the presentation centre, all caveats shall be received by caveat assistant, who shall send it immediately to the scrutiny assistant. After scrutiny is over, the entry assistant shall enter the caveats, other than those filed in anticipation of writ cases, in special application software customized for caveat matching. When the relevant case is presented and entered in the computer, the software would alert the entry assistant about the subsistence of a caveat. In writ cases the caveats shall be matched manually and for this purpose a ―Caveat Register for Writ Cases in digital form, shall be maintained by the entry assistant."

Delhi High Court

Chapter XXX of Delhi High Court (Original SIde) Rules, 2018 talks about Caveat and its Format. As per Delhi High Court Rules, Caveat is described as any suit or proceeding to which Section 148-A of the Code applies, the person instituting the same shall state in the plaint, petition or application, whether or not he has received notice of any caveat lodged in the Court in respect thereof, and, if so particulars of the same. Further, e-Filing Rules of the High Court of Delhi 2021 also provide for online filing of Caveats.

Caveat as defined in Official Government Reports

Law Commission Report

• The 54th Law Commission Report on Code of Civil Procedure, 1908 has recommended insertion of Section 148A to authorize a party to who wish to indicate his/her intention to have a notice of an intended application by an adverse party maybe authorised to do so.

Joint Parliamentary Committee Report

• The report of the Joint Parliamentary Committee (JPC) report on The Code of Civil Procedure (amendment) Bill, 1974 suggested that the caveat should be confined to the appeals. In the original trial, if the caveat is inserted, there is a possibility of changing the status quo before a party comes to the court by sheer filing a caveat. It also raised concerns regarding allocation of more workforce at district courts to maintain and operationalsie caveats. However, the committee intervened and introduced the 90 day limit in the form of Section 148A(5). The Committee feel that where a caveat has been lodged under sub-section (1) of the proposed new section 148A, such caveat should not remain in force indefinetely and a time-limit of ninety days should be prescribed. The clause has been amended accordingly.

Appearance in official databases

E-Court Website

The websites of the Supreme Court and High Courts have information pertaining to caveats filed before them. Further, the e-courts services website provide for search functionality to explore details of caveats filed before various court complexes at the district level.

Search functionality for caveats in MP High Court available at https://mphc.gov.in/caveat

E-filing Portal

Delhi High Court

The e-Filing Rules of the High Court of Delhi 2021 have now enabled online filing of Caveats.

Retrieved from - https://delhihighcourt.nic.in/uploads/pdf/NotificationFile_X74GTJ7YAKY.PDF pg 47

Case Type

Depending on practices in different High Court, the Caveat Petitions are classified under different nomenclatures. For example,

• The High Court of Karnataka has 3 casetypes for caveat petition, these include CAV.P, CAVEAT PETITION CAV_WP, and Caveat Writ Petition.

Research that engages with caveat

• Whether Section 148-A CPC applies to writ petitions filed under Article 226 of the Constitution (SCC online) :This blog post by Dormaan Jamshid Dalal explores discrepancy across different jurisdictions results in a lack of uniformity in practice relating to application of Caveat vis-a-vis writ jurisdiction of High Court and makes a strong case for the Supreme Court to lay down the law on this issue in order to bring about a certain degree of uniformity, consistency and clarity.