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State of Kerala vs. N.M.Thomas (1976)  

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This article is written by Advocate Devshree Dangi. It talks about the scope of various equality rights under the Constitution of India. This article is a summary of a milestone case, i.e., the State of Kerala vs. N.M. Thomas (1976), before the Supreme Court, concerning reservation policies and their scope. The present case discusses the interpretation of the equal rights of opportunities in public employment and their connection with the special rights of backward classes, specifically, the Scheduled Castes and Scheduled Tribes.  

“Equal opportunity is a hope, not a menace.” – Supreme Court of India 

This article has been published by Shashwat Kaushik.

Table of Contents

Introduction 

The present case is a significant legal milestone that holds crucial importance in connection with the reservation policies, specifically made for State Government employment in India. The Hon’ble Supreme Court highlighted the scope of various Articles concerning the reservation and clarified that the State Government has the right to make policies to ensure equality among the citizens of India. When it comes to equality, it shall be reflected in the laws to achieve its objective. This case revolves around a controversy that occurred when the Kerala State Government passed a Rule concerning the appointment of individuals in subordinate services of the State. The Rules were challenged on the grounds of being violative of certain provisions of the Indian Constitution. The Supreme Court explained in detail the scope of all the Articles that came into question with respect to their scope. Also, it highlighted the right of the States to make laws concerning the reservation.

Historical background 

This entire controversy dates back to the implementation of the Kerala State and Subordinate Rules, 1958 (hereinafter referred to as “the Rules”), specifically Rule 13A in line with Article 309 of the Indian Constitution in 1958. The mandated Rule requires certain qualifications and departmental tests for the appointments to various positions within Kerala State Subordinate Services. Subsequent to this Rule, an amendment took place in January 1972. It introduced Rule 13AA to facilitate the individuals belonging to Scheduled Castes and Scheduled Tribes (hereinafter referred to as “SC and ST”) for two more years to clear such tests as mentioned under Rule 13A. The controversy occurred when the State granted promotions to certain individuals even though they had not made it to the prescribed criteria. In this controversy, the constitutional validity of these Rules was questioned on the grounds of their contradiction with Articles 16 and 46 of the Indian Constitution. These Articles deal with the right to equal opportunity in connection with the employment and promotions of the educationally and economically weaker sections of society respectively. Ultimately, this case served as a critical event in the legal discourse around reservation policies in India.

Power of State to make rules on reservation under the Constitution

Article 15(4) of the Indian Constitution

Article 15(4) of the Indian Constitution acts as an important exception to the general principle of non-discrimination guaranteed under Article 15(1). Article 15(1) prevents the State or anyone from discriminating against any citizen on grounds like religion, race, caste, sex, or place of birth whereas, Article 15(4) empowers the State with special provisional actions by which the State can make policies for uplifting the disadvantaged section of the society. The policies like reservations in State Government jobs and educational institutions for Scheduled Castes, Scheduled Tribes, and other backward classes. These policies help these disadvantaged sections of society by providing them with opportunities and the State achieves its goal of forming an equitable society.

Article 16(4) of the Indian Constitution

The Constitution of India empowers the State to make laws on reservation-related matters under Article 16(4). It talks about the equality of opportunity in terms of appointment in public employment for the citizens of India. This Article also enumerates the provision which says that the State can frame laws for appointments in public employment in favour of certain backward categories such as scheduled caste and scheduled tribes.   

Article 46 of the Indian Constitution

Article 46 of the Indian Constitution directs the State to promote the educational and economic interests of backward classes, specifically the SC and ST. It imposes a duty on the State to protect these classes from social injustice and discrimination.

Article 309 of the Indian Constitution

Under this Article, the States are empowered to make laws in relation to the recruitment and service conditions for the people who represent the Union or State. This Article strengthens the States to make laws on such matters but it shall be in line with the provisions of equality under Articles 14 and 16 of the Constitution. These Articles provide equality provisions which assure the citizens of India with exclusive equal protection without discriminating against them on the grounds of caste, race, religion, place of birth, sex, descent or residence.  

Article 335 of the Indian Constitution

Article 335 of the Indian Constitution intends to promote opportunities for disadvantaged or weaker sections of society such as SC and ST in the State Government sector. As per this article, it is mandatory for the State to consider claims of the members of SC and ST candidates in the making of appointments to services and posts in connection with the affairs of the Union or of a State, but it is provided that the candidate should have the basic qualifications required for the post the candidate has applied for. Thus, Article 335 promotes State Government jobs for SC and ST candidates while ensuring that the appointments for the specific positions are based on the merits of the candidate, this helps in maintaining a balance between reserved and general category candidates.

Understanding Rules 13(a), 13A and 13AA of the Kerala State and Subordinate Services Rules

The listed Rules belong to the Rules framed for the subordinate services of the Kerala State. These Rules regulate the service conditions for the State Government employees, specifically the State’s subordinate services. Let’s discuss what these Rules talk about: 

Rule 13(a)

This Rule sets the eligibility criteria for the appointments to any service or post within Kerala State’s subordinate services. According to this Rule, specific qualifications and certain designated special tests were mandated for the appointment and employment of individuals in subordinate services of the State. This simply means that a person will only be qualified for the appointment in said subordinate services if he possesses or has passed such designated tests as required under this Rule.

Rule 13A

For the promotion from the lower division clerk to the next higher post of upper division clerk, it was mandated by the State for the employees to pass certain departmental tests. 

This Rule outlines a set of provisions concerning the appointment and temporary exemption of persons belonging to backward classes, specifically the SC and ST. It says that the State State Government can allow the appointment of a service member of an employee belonging to SC and ST to a category, grade, or post no matter whether they have passed the required departmental tests or not. However, these employees should otherwise be qualified and suitable. Also, it is provided that in a case where certain new tests are introduced a temporary appointment can be made within two years from their introduction. 

Subsequently, it provides the employees with a temporary exemption to pass such departmental tests for a period of two years for their further promotions. However, this Rule came with a condition that the employees have to pass those departmental tests within the provided two years and if they fail to do so, they would be reverted to the lower post. Moreover, such employees would not be eligible for further employment under this Rule ever. A proviso to this Rule provides the members of SC and ST with an additional 3 years extension beyond the specific period provided to pass the mentioned tests. 

In case new tests of high standards are introduced, all the employees will be given extended time to pass those tests. Also, the penalties for not passing such tests will be held off until the period ends. This Rule contains provisions for civil servants returning from military duty during emergencies who will be given temporary exemptions from passing the departmental tests. Additionally, an extension of four years will be given to them upon resuming civilian roles.

Rule 13AA

It came into force on January 13, 1972. This Rule allows the State State Government to exempt the members of the SC and ST who are already in service from passing certain tests as required under Rule 13 and Rule 13A. The State Government can determine any specific period under this Rule to be granted to the backward classes.  It can be executed through an official order by the government. The exemption under this Rule exclusively denies its application in matters concerned with the promotions of executive staff below the rank of Sub-Inspectors within the Police Department. 

Facts of State of Kerala vs. N.M.Thomas (1976) 

  1. By the time, the State of Kerala was formed, i.e., November 1st, 1956, various state governments had already framed certain regulations concerning the standard of qualifications for individuals belonging to Scheduled Caste and Scheduled Tribes. For the very first time, on June 14, 1956, the Travancore-Cochin State Government made directions concerning the qualification standards for examinations relating to various tests.
  2. The State Government in favour of Scheduled Caste and Scheduled Tribes directed that such qualification standards should be lower for people belonging to these classes as compared to others. Subsequently, another State Government on June 27, 1958, ordered the extended period of exemption from passing the tests by two years for individuals belonging to Scheduled Caste and Scheduled Tribes.
  3. The period of exemption for these classes was further extended to three years on January 2, 1961. On January 14, 1963, two new tests were introduced, a unified account test (lower) and a test in-office procedure. These new tests replaced the old tests. Again, the members of Scheduled Caste and Scheduled Tribes were given extra time to clear these tests. A circular dated February 9, 1968, was issued in order to grant the members of Scheduled Caste and Scheduled Tribes a period of seven years from January 14, 1963, to pass the unified tests. Again, an order dated January 13, 1970, extended the time for these people belonging to Scheduled Caste and Scheduled Tribes by another year, expiring on January 14, 1971. Subsequently, an order dated January 14, 1971, extended this period further.
  4. It was brought to the notice of the State State Government of Kerala that a large number of State Government employees belonging to SC and ST were facing difficulties in their promotion due to the requirement of such qualification tests. Then, the State Government came up with Rule 13AA under the Rules on 13 January 1972 which granted exemption to the State State Government employees belonging to SC and ST from passing the required tests for the period of two years.
  5. The dispute arose when the promotions took place within the Registration Department of the State following these exemptions. Allegedly, one of the respondents was not promoted despite passing all the tests by November 2, 1971. Whereas many lower division clerks belonging to the SC and ST were promoted even when they hadn’t passed the tests.
  6. In response to this, the respondent on 15th March 1972 filed a Writ Petition under Article 226 of the Constitution before the High Court of Kerala. The Respondent argued that such Rules giving additional exemptions to the employees belonging to the SC and ST are violating Article 16 of the Constitution.
  7. The Respondent had submitted before the High Court that out of 51 vacancies for the post of Upper Division Clerks in the year 1972, 34 were filled up by the employees belonging to Scheduled Castes members who didn’t even possess any qualifications. And only 17 posts were filled up by the qualified ones.
  8. The High Court upheld the contentions of Respondent and acknowledged that the application of Rule 13AA is indeed violating Articles 16(1) and 16(2) of the Constitution. The Court ordered to strike down the said Rules.
  9. The matter was then appealed before the Supreme Court challenging the order of the High Court of Kerala. 

Issues raised in State of Kerala vs. N.M.Thomas (1976)

  1. Whether the impugned Rule which provides for temporary exemptions from passing the required tests to the employees belonging to SC and ST contradicts the right of equal opportunity in public employment provided within the Constitution. Does it extend to the other specific Rules and orders that grant such exemptions?
  2. Whether the classification of employees belonging to SC and ST for temporary exemptions from passing the said tests fall within the ambit of constitutional mandates under Article 16?
  3. Whether there is a need of re-interpreting the equality provisions within the Constitution?
  4. Whether there is a need to examine the scope of Articles 16, 46 and 335 of the Constitution of India?
  5. Whether Article 46 of the Constitution should be taken into consideration even when it is not enforceable by the Courts?

Arguments of the parties

Petitioners

  1. The Petitioners argued that equality of treatment doesn’t prohibit reasonable classification. They drew attention to the provisions of Article 14 that permit classification but prohibits class legislation. The Petitioners stated that for such classification to be permissible, it shall be based on an intelligible differentia (there must be a valid and reasonable basis for certain acts). Furthermore, this difference must have a coherent concern for the object sought to be achieved by the statute or policy in dispute. The Petitioners emphasised that the principle of classification is a significant factor in ensuring fairness and equity in the law.
  2. The Petitioners referred to the case of All India Station Masters’ & Asstt. Station Masters’ Assn. v. General Manager, Central Railway, among others (1959) and further pointed out that the Courts have many times recognised the principle of reasonable classification concerning Article 16(1). The Petitioner through this case argued that the legitimate means of addressing different classes of employment categories should be acknowledged.
  3. With regard to the question of whether or not the principle of reasonable classification as stated above can be extended to allowing preferential treatment for people based on their backward classes, including SC and ST, the Petitioners contended that under Article 16(4), the provisions for preferential treatment of such backward classes including SCs and STs are provided which allows the reservation of posts for employees belonging to these classes. The Petitioners argued that the language of Article 16(1) doesn’t warrant any preferential treatment for these categories but Clause (4) to this Article allows and permits reservation for appointments or posts in favour of the individuals belonging to backward classes including SCs and STs.
  4. The Petitioner argued that it should not be appropriate to complicate things in the Constitution especially when dealing with the matters of fair opportunities in employment. They contended that including new classifications under Article 16(1) might disturb the principle of equality. It may empower the State to favour certain segments of the population in case of public employment.
  5. Additionally, it was argued by the petitioners that if it was allowed to give preferential treatment to backward classes including SCs and STs under Article 16(1), then there would have been no requirement to include Clause 4. Simply Clause 4 then, seems unnecessary. And therefore, the Court would decline to adopt an interpretation that makes any provision of the Constitution redundant and superfluous.
  6. The Petitioners in favour of justifying the concessions cited Article 46 of the Constitution. This Article comes from the Directive Principles of the State Policy under the Constitution which directs the State to promote the interests of weaker sections of the society including SCs and STs. The petitioner argued that the exemption given to the members of such classes from passing the tests aligns with the directive principles for the States under the Constitution and thus it doesn’t violate the principle of equality of opportunity under Article 16(1).
  7. The Petitioner contended that Rule 13AA doesn’t fall under the ambit of reservation as outlined under Article 16(4) and the High Court erred in making an order to strike down the Rule on the grounds of exceeding the permissible limits mentioned under Article 16(4).  
  8. One of the main arguments presented by the Petitioner was that the Scheduled castes and tribes are not just a caste, but represent a distinct class with a privileged status under the Constitution because it has historical reasons. It was contended by the Petitioner that Article 16(1) doesn’t restrict the State from making reasonable classification for the people belonging to SCs and STs by providing concessions but it shall not compromise the efficiency of services. 

Respondent

  1. The Respondents contended that concessions provided to the employees belonging to backward classes including SCs and STs allowed them to secure promotions without passing the required tests as per the Rules. It resulted in their promotion before the respondent.
  2. The Respondent argued that such exemptions may violate the principle of equality provided under Article 16(1).
  3. They further challenged the statements of the State that the Rules in question are legal and valid. The respondent in this regard argued that Article 14 allows a wide range of classifications and they are rational and in line with the objective. Similarly, Article 16 which specifically deals with the right of equal opportunities in public employment, creating favoured classes for the same except as specifically allowed under Article 16(4) would contradict the motive of Article 16(1).
  4. The Respondent contended that Rule 13AA exceeds permissible limits and causes discrimination among the employees belonging to the other castes and those belonging to the backward classes including SCs and STs.

Views and opinions of different judges 

The present case is significant, in this case, a seven-judge bench of the Court, with a majority of 5:2 upheld the validity of an amendment made by the State State Government of Kerala. The amendment was concerned with the service rules that exempted the members of SC and ST from passing the departmental tests for their promotions. It was held by the majority of judges that Article 16(4) is not merely an exception but a fundamental aspect of equality rights as outlined under Articles 14 and 16(1). The Court emphasised that action taken for providing preferential treatment to the backward classes does not contradict the broader principles of equality under Articles 14, 16(1) or 16(2).

Chief Justice A.N. Ray

Justice Ray who headed the bench believed that the classification of classes of persons belonging to SC and ST is just and reasonable. He was of the view that granting exemption to such classes to ensure their equality of treatment and equal opportunities in terms of public employment is justified. Various Constitutional provisions give a mandate to the State to give special treatment to these classes. He opined that Articles 14, 15, and 16 are interconnected and enumerate provisions for equality rights. They supplement each other. He stated that Article 16 comes from an objective of ensuring equality under Article 14. These Articles allow reasonable classification linked with achieving the objective of ensuring equality. In matters concerning employment, if there exists any discrimination, it should serve legitimate aims to ensure fairness and equality. He explained that Article 16 permits flexibility as to how the employees are classified and treated specifically in matters of employment and appointments upholding the principles of equality. 

Justice Ray further explained that the principle of equality must be based on reasonable grounds to avoid violation. It simply means that the concept of equality has limitations due to various situations and thus it can’t be treated the same. The people having similar circumstances shall receive equal treatment. Further, for making any classifications in matters of employment, there must be significant differences between groups so that it could be justified to treat them differently. He stated that such classifications must have the objective of achieving equality and it shall have a rational basis. He interpreted the concept of equality within Article 16(1). He stated that equality of opportunity of employment within Article 16(1) is the right to equal opportunity between members of the same class and not between the members of separate or independent classes. He also made it clear that as stated in the case of Bhaiyalal v. Harikishan Singh And Others (1965), SC and ST don’t fall within the ordinary meaning of castes. 

He criticised the decision of the High Court about the excessive or exorbitant nature of the Rules in question. He opined that the promotions made in the services are not as extensive as claimed and do not fall short of constituting 50% of the total number of posts available. Rule 13AA and related orders are not just implemented in line with Article 336 but also with the directive principles as given under Article 46. 

Justice Kuttyil Kurien Mathew

Justice Mathew outlined the concept of equality of opportunity specifically in matters concerning employment for members of SC and ST. He opined that equality can be truly achieved by ensuring that access to limited posts for employment is not restricted based on factors that inappropriately avoid any section of society. But, it also involves framing of standards for such employment that ensure and offer an equal opportunity for people from all backgrounds to qualify. He highlighted that, for the people belonging to the SC and ST, their social, educational, and economic conditions may be different from those of others. He suggested that to achieve the main objective of the principle of equality, it is necessary to implement such compensatory measures to bridge the gaps between SC and ST, and other classes. These measures may include actions to be taken to ensure the representation of SC and ST adequately in public service roles. The State must not compromise the minimum criteria required for administrative efficiency and effective governance.

Justice M. Hameedullah Beg

Justice Beg highlighted the decision of the High Court which was against the Rules and orders that provided benefits to the people belonging to SC and ST. The High Court believed that such Rules fell outside the purview of Article 16(4). Justice Beg opined that such reasoning is unsubstantiated and the burden of proving the constitutionality of unwarranted discrimination was on the Respondent which he failed to do. He emphasised that once an individual is employed in a certain grade as a State Government employee, the background they came from becomes less important. For the purpose of promotion, all of them form a single class regardless of their backgrounds. He further stated that there must be specificity and clarity in the actions taken to achieve the objectives of Article 16(4). It must be straightforward and spelt out and should not be implied. He interpreted this using the maxim “expressio unius est exclusio alterius”, which means that when one thing is expressly stated, it is to the exclusion of others.

He further explained that Article 16(4) is a balance of two significant constitutional aspects- the need for equal opportunity in public services as mentioned under Article 16(1) and the duty of the State as provided under Articles 46 and 335. The main objective of these provisions is to uplift economically, educationally, and socially backward groups to ensure social justice. He opined that it is crucial to ensure fairness and equality in State Government employment. Still, it doesn’t go beyond what is specifically allowed in the Constitution to achieve the principle of equality. 

He stated that taking or passing a test earlier doesn’t make anyone better regarding promotion matters in State Government employment. When any employee belonging to any backward class or SC and ST gets a temporary promotion supported by any law, the post stays reserved for them for a limited period. If they do not achieve any specified criteria within a given time, they get reverted to their previous position. If they succeed, they get confirmed for that position. In his view, the impugned Rules and orders were justified with a view of implementing a policy of partial or conditional reservation that fulfils the duties of the State as outlined under Articles 46 and 335.

Justice V.R. Krishnaiyer

Justice Iyer said that the Indian Constitution is a visionary document that aims to reshape society from a mediaeval hierarchical society into a modern and egalitarian democracy. Its provisions are beyond a mere legalistic approach that requires an in-depth understanding rooted in social science to grasp its transformative motive. 

He stressed that the preamble of the Indian Constitution emphasises on the need for a justice-oriented community. Directive principles under Article 46 direct the State to uplift the interests of marginalised groups, specifically the SC and ST. This ensures safeguarding them from social injustices. Avoidance of such provisions leads to the violation of Article 46 which is a duty of the State. It undermines the economic and social progress of the people of such classes and their representation in State Government services. He pointed out that two crucial parts of the Constitution, the Directive principles and the fundamental rights should be considered together. He said that Articles 46 and 335 must be considered important when understanding Articles 16(1) and 16(4). Articles 14 and 16 which outline the provisions for equality rights aim to reduce inequality and by adding provisions like Article 16(4), it doesn’t make everything exactly equal. Simply, relaxing the mandatory requirement for backward classes, specifically SC and ST can help boost the economic and social progress of such classes that have been ignored for a long time. 

Justice Syed Murtaza Fazalali

Justice Fazalali opined that Rule 13AA which provides exemptions to the members of Scheduled Caste and Scheduled Tribes from passing a certain test required for promotion in the State services is justified. He upheld its validity and stated that it constitutes a reasonable classification under Article 16(4). He reasoned that this Rule provides a temporary concession to such backward classes with the intent to uplift and advance their interests and enable them to compete with the strong sections of the society. But, he also suggested that such reservations or exemptions must not compromise the efficiency of the services and destroy the principles of equality. 

Judgement in State of Kerala vs. N.M.Thomas (1976)

The judgement is based on various provisions of the Indian Constitution that play a significant role in ensuring equal rights and opportunities in public employment. The present case revolved around the privileges and preferential treatment for backward classes, specifically the Scheduled Caste and Scheduled Tribes. The Court highlighted that the provisions of Articles 14, 15 and 16 which commonly provide equality rights, supplement each other. The Court declared Rule 13AA of the Rules and two orders, Exhibits P-2 and P-6 valid and set aside the judgement of the High Court of Kerala in which it ordered to strike down these Rules and orders. The Court stressed that the reasonable classification is necessary for ensuring fairness and equality and certain compensatory measures may be required to elevate the interests of backward classes, specifically the Scheduled Castes and the Scheduled Tribes. However, the Court opined that such measures shall not compromise the efficiency of the services. The Court was of the view that equality of opportunity shall not be given only to a particular section of the society but it should be given to all the citizens irrespective of their classes. The classification must be rational and should be in a close nexus with the objective intended to be achieved. The State should not discriminate against any individual at the cost of others. The Court interpreted the equality provisions under the Constitution and explained that the State policies concerning public employment must be implemented in line with the principle of equality and social justice.

The Court highlighted that while interpreting the provisions of Article 16(1) and 16(2), it is important to emphasise Article 46 which directs the State to take measures to uplift the interests of backward classes, specifically the SC and ST. Additionally, the Court considered Article 335 which provides for the provisions dealing with reservations within the State services to be more specific in this regard. The Court stated that Article 335 should not be ignored or diluted while considering the scope of Articles 16(1) and 16(2).

The Court stated that the decision of the High Court regarding the denial of benefits to employees belonging to backward classes solely because it fell outside the purview of Article 16(4) seems incomplete. The burden of proving the unjust discrimination against them was on the respondent which they hadn’t fulfilled.  Therefore, the Court dismissed the petition.  

Dissenting opinion 

Justice Hans Raj Khanna opined that the finding of the High Court regarding various promotions that violated Article 335 of the Constitution was reasonable. He stated that it is crucial to maintain standards of efficiency for employees in public employment. Also, the promotion of individuals who haven’t passed the required tests while not promoting those who have passed such tests is unlikely to be conducive to efficiency. It is important to note that reserving seats for members of backward classes must not come at the cost of efficiency. It is outlined under Article 335 and recognized by the Constitution. It requires that the claims of these backward classes should be taken into consideration consistently to ensure the efficiency in the administration of appointments in the State or the Union. He stressed that the reservation of posts in public employment for a particular section of society confers a special benefit, making the equality of opportunity ineffective under the State. Therefore, it is crucial to maintain a balance between the interests of such backward classes and others and to ensure that the efficiency of the administration is not compromised. 

Key points to remember 

Equality is violated only if it based on unreasonable grounds 

The judgement analyzes the importance of understanding the concept of equality. The Court stressed that each provision under the Constitution has been included with utmost care and considering the interests of all the sections of the society. The equality provisions under the Constitution don’t contradict each other and hence, the equality is said to be violated only when there exists any unreasonable ground. In the present case, the provisions of Article 16 were said to contradict each other. In this regard the Court interpreted the provisions of the said Article and explained that a guaranteed right to equal opportunity in public services with a provision which provides privileges to SC and ST is a positive approach to achieve the principles of equality. 

Understanding SCs and STs 

The Court interpreted the grounds of discrimination under Article 16(2). It was explained by the Court that the word “Caste” in Article 16(2) doesn’t include SCs and STs. The SC and ST are recognized under Article 366(24). It explains that SC and ST are the castes which by the virtue of the notification of the President are deemed to be SC and ST. 

Article 16(4) not an exception to Article 16(1)

Justice Mathew expressed his view on Article 16(4) being an exception to Article 16(1). He stated that it would be a narrow understanding of the said Articles. The equality should not be focused on numeric equality but it should include the social, economic, and educational background of individuals belonging to SC and ST. Article 16(4) should be seen as an affirmative action and not as an exception to Article 16(1).

Interpretation of “Weaker sections”

The Court interpreted the term “weaker sections” and stated that it specifically includes SC and ST under Article 46 of the Constitution. Now, every “backward class” doesn’t fall within the ambit of “weaker sections”. It specifically refers to those severely depressed categories who are economically and educationally comparable to SC and ST. 

Critical analysis of State of Kerala vs. N.M.Thomas (1976)

Reservation has been an engrossing topic of debate since the formation of the Constitution of India. Various amendments had taken place regarding the reservation policies that played a vital role in shaping the nation on the principle of equality. This case served as the nuanced exploration of the delicate balance between equality and affirmative actions, specifically, the reservation policy of the State concerning public employment. This case highlighted the need for an appropriate interpretation of equality provisions under the Constitution of India. The question revolved around the provisions of Article 16 regarding equal opportunity rights in public employment. Allegedly, the Rules implemented by the Kerala State for the subordinate services contradicted the provisions of Article 16(1). The Confusion was whether the Rules that provide extra time to the backward classes, specifically the SC and ST to pass the mandatory departmental tests are violative of Article 16(1). And if yes, then what is the scope of Article 16(4) which imposes a duty on the State to make laws to uplift such backward classes? So, the answer is, Article 16(2). Article 16(1) provides equal opportunity rights in public employment in the State. It draws special attention to the fundamental principle that every Indian citizen should be given an equal chance to present themselves for State Government positions based solely on merit, without any discrimination. 

Subsequently, Article 16(2) sets the grounds of discrimination, which exclusively states that no person should be discriminated against on the grounds of religion, race, caste, sex, descent, place of birth, or residence. For the Rules and orders in question, it is crucial to note that they do not merely aim at eliminating discrimination based on caste but also consider the interests of the weaker section. The provisions outlined under these Rules focus on other constitutional safeguards to ensure that every citizen of India has equal rights and opportunities. 

In addition to this, Article 16(4) comes up with a nuanced view. It acknowledges that certain sections of society, the backward classes, specifically the SC and ST, have historically gone through severe social and economic discrimination. Therefore, it sets out provisions of reservations in public employment to address the representation of these undervalued communities in State Government services. 

Many times, it is argued that Article 16(4) contradicts the equal opportunity rights as given under Article 16(1). But the reality is, that it complements this right by ensuring reservations for disadvantaged and underrepresented groups. It seeks to tackle the historical injustices and ensures that each section of society has equal and fair access to opportunities. 

The concept of Article 16(4) is not limited to providing reservation to the backward classes; neither has it compromised the principle of equality. Rather, it is an affirmative action to realise true equality by elevating those segments of society that have been historically marginalised. It aims to create a society where every individual can contribute equally and meaningfully in the nation’s progress. 

Article 16(4) doesn’t conflict with Article 16(1), rather it reinforces the objective of equality provisions as outlined under the Constitution by ensuring that no section of society is left behind due to long-term discrimination and disadvantages. 

No provision under the Constitution can be held redundant, specifically when it comes to reservation-related provisions. This serves an important purpose in realising the foundational principle of equality. 

Conclusion 

The present case underscores an in-depth analysis of the equality provisions under the Constitution focusing on public employment. The concept of equality extends far beyond removing discrimination. It extends to social justice and equal growth. The perspective that guaranteed equal rights to all the citizens of India and the privileges granted to the backward classes contradict each other is incorrect. The accurate interpretation of these provisions is that they complement each other. Article 16 guarantees equal opportunity rights and on the other hand Article 16(4) endeavours to achieve the objective behind it. Simply, no provision under the Constitution is unnecessary. They should be interpreted appropriately to understand the intent of their inclusion under the Constitution. The Court opined that the Rules and orders in question are valid and justified. These Rules and orders made it mandatory to pass certain departmental tests for all State Government employees within the subordinate services of the State. It was an affirmative action to ensure the efficiency of State services and was justified under Article 335 of the Constitution. All the State Government employees were given two years time to pass such tests and subsequently, the State Government of Kerala had taken into consideration the interests of employees belonging to backward classes and made an order to grant them extra time to pass such tests. This was challenged before the Court but the positive approach to this action is that it was again justified under Articles 16(4), 46, and 335 of the Constitution. There’s no question left behind after the comprehensive interpretation by the Supreme Court of India in this regard.

Frequently Asked Questions (FAQs)

What are the present criteria for deciding on the reservation of backward classes? 

Under the Indian Constitution, there are several provisions concerning the reservation of backward classes. Under Article 16(1), there can be a reasonable classification based on their objective of ensuring fairness and equality in public employment. Reservation is quite a profound concept and can’t be limited to a specific policy deciding the criteria. The only thing which can be said is that according to the Constitution of India, every State while making any policy or law to decide the reservation must bear in mind that it shall be in line with the Constitutional aspects and limitations. The State shall ensure to consider the interests of the weaker sections and backward classes while maintaining the efficiency of the services.

What is the ground for challenging the discrimination within the purview of Article 16? 

Article 16 of the Indian Constitution guarantees equal opportunity rights in public employment and Article 16(2) sets the grounds of discrimination such as religion, race, caste, sex, descent, place of birth, or residence. The discrimination can exclusively be challenged on such grounds. It can also be challenged if the principle of equality of opportunity is violated, particularly in cases where certain preferential treatment is granted to a group of people without a reasonable basis. Further, it can be challenged if the efficiency of any public service is compromised. 

Is there any scope for the State to give preferential treatment to certain groups or classes?

Various provisions under the Constitution provide privileges to backward classes, specifically the SC and ST. These provisions include Articles 15(4), 15(5) 15(6), 16(4), 16(4A) , 16(6), 46 and 335. These provisions under the Constitution ensure that no section of society shall be left behind due to any disparity. All these provisions have certain limitations which ensures that such preferential treatments shall not be given at the cost of efficiency. Every provision that guarantees equal rights and gives preferential treatment to certain groups of people has an objective to achieve the principle of equality and social justice. 

Does Article 16(4) violate the Right to equality of opportunity in public employment under Article 16(1)?

No, Article 16(4) doesn’t violate the Right to equality of opportunity in public employment under Article 16(1). The Supreme Court in the present case has made it clear that the provisions of the Constitution regarding equal opportunity Rights and the provisions granting preferential treatment to backward classes aren’t contradictory. Instead, they complement each other. One ensures equal opportunity rights in public employment and the other one makes sure that no section of society is ignored and discriminated against. 

Can Article 46 be applied in justifying the exemptions provided by Rule 13AA?

Yes, the Supreme Court in the present case emphasised that the provision outlined under Article 46 should be taken into consideration while justifying the exemptions provided by Rule 13AA. The rationale behind it is that Article 46 is nothing but a directive principle enshrined under Part IV of the Constitution. It states that the State shall take measures to uplift the interests of the backward people specifically, those of SC and ST. It is more specific toward the formation of such a law which provides special rights to these classes. 

How did differing opinions of the judges clarify  the issue of quantitatively limiting reservations?

In the present case two out of 7 judges opined that there is no general rule of  50% limit on reservations. However, in the case of Janhit Abhiyan vs. Union Of India (2022), it was distinguished and the Court emphasised the significance of reservation percentage to be reasonable and balanced. It was highlighted that there’s a strict need to elevate the interests of the weaker sections while considering the interests of other citizens of India. 

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An analysis of difference between culpable homicide and murder under IPC

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This article has been written by Arati Roy pursuing a Diploma in Corporate Litigation from LawSikho.

 This article has been edited and published by Shashwat Kaushik.

Introduction

Life and personal liberty are inalienable to human existence and natural law rights can be traced to times immemorial. Article 21 of the Constitution of India asserts this right and guarantees preservation and protection of right and liberty to not only citizens but all persons.  To ensure this end, various offences have been made punishable under the Indian Penal Code of 1860.  Chapter XVI of the Indian Penal Code deals with offences affecting the human body.   Culpable homicide and murder are two such offences, which we will investigate in this article.

What is meant by homicide

The word homicide literally means the killing of one person by another person. Death is the ultimate result or consequence of all kinds of homicide. 

A homicide requires only a volitional act or an omission that causes the death of another, and thus a homicide may result from accidental, reckless, or negligent acts even if there is no intent to cause harm. Homicides can be divided into many overlapping legal categories, such as murder, manslaughter, justifiable homicide, assassination, killing in war (either following the laws of war or as a war crime), euthanasia, and capital punishment, depending on the circumstances of the death. 

Different kinds of homicide

Homicide can be either an unlawful criminal act or a non criminal act. Thus where death is caused by accident or misfortune or by mistake of fact by a person who in good faith believes himself bound by law, or where death is caused by a Judge when acting judicially in the exercise of any power which is, or which in good faith he believes to be given to him by law etc, it is said to be lawful homicide.   Lawful homicide is said to be caused when the death is by accident, misfortune or without criminal intention or knowledge in the doing of a lawful act, in a lawful manner, by lawful means and with proper care and caution. Unlawful homicide includes culpable homicide, murder, manslaughter, causing death by dangerous driving, and killing in pursuance of suicide pact. A person is said to commit culpable homicide if the act by which the death is caused is done (a) with the intention of causing death; or (b) with the intention of causing such bodily injury as is likely to cause death; or (c) with the knowledge that the act is likely to cause death. Thus, there are 3 species of  mens rea in culpable homicide.  It does not necessarily involve premeditation or thinking out the killing beforehand.   On the other hand a person is said to commit culpable homicide amounting to murder if the act by which the death is caused is done (a) with the intention of causing death; or (b) 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 (c) 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 (d)with the knowledge that the act is so imminently dangerous that it must in all probability cause death and without any excuse for incurring the risk of causing death or such injury as is mentioned above.

Culpable homicide

Section 299 of the Indian Penal Code (IPC) envisages the following as the essentials of an act amounting to culpable homicide:

  • Causing death of a human being
  • Mens rea: Such death must have been caused by doing an act:
    • with the intention of causing death
    • with the intention of causing bodily injury that is likely to cause death or
    • with the knowledge that the doer is likely, by such an act, to cause death.

Without one or the other of the above mentioned 3 elements mentioned in point 2 above, an act, though it may be in its nature criminal and may occasion death, does not amount to the offence of culpable homicide.

Murder

Section 300 of the IPC provides the definition and punishment for murder.

What converts culpable homicide into murder is the presence of a special mens rea, which consists of the following 4 components:

  • Premeditation
  • No provocation whatsoever
  • Absence of heat of passion
  • Undue advantage taken by the offender or cruel and unusual manner of execution of death crime.

Defences that are considered to label an offence as not murder but culpable homicide:

Grave and sudden provocation

Where ‘A’ came to know of his partner having cheated him of his property by forging his signatures and upon confronting ‘B’ had altercation, following which A picked up a stone from the road and slammed B’s head, causing instant death, it would fall within the meaning of grave and sudden provocation 

Self defence

Where ‘A’ accused of killing ‘B’ establishes that the gun that was used for killing was in fact brought by B for the purpose of killing A and that B in fact intended to kill A but in act of self defence when A tried to pull the gun, it got fired and instead killed B, it would be seen as culpable homicide, not amounting to murder.

Acts of public servant in good faith

Where ‘A’, a police officer in charge of a prison, in the process of arbitrating between 2 inmates of the jail when engaged in a physical fight, ends up killing one inmate, his such act, if done in good faith, is culpable homicide, not amounting to murder. 

Insanity

Where ‘A’, in shock over the death of his child, kills the murderer of the child in the spell of insanity, it will be considered culpable homicide, not amounting to murder.

Accident

Where no reason, intention or plan to kill ‘A’ can be attributed to ‘B’ the accused, the same accident will amount to culpable homicide, not murder.

Consent of the deceased

Where ‘A’ and ‘B’, both suffering from a disease, decide to commit suicide by jumping into a well and where A jumps and B at last changes his mind, it will amount to culpable homicide, not murder.  

In one of the most famous criminal cases of Indian legal history, where Commander. K.M. Nanavati was tried for murdering his wife’s lover, Prem Ahuja, it was held that Nanavati’s act did not amount to murder but culpable homicide, not amounting to murder. This case led to significant changes in Indian criminal law, especially with regard to the application of the defence of provocation. So also in the case of the terrorist attack of 2008, where Mohd. Ajmal Amir Kasab was tried for the offence, he was found guilty of various offences, including culpable homicide not amounting to murder.

Punishment

The death of a person may be the consequence of acts by 2 different persons, each of whom may, in the eyes of the law, stand on a different footing depending on the motive (intention) of the person committing the crime. Thus, depending on the nature of the crime that a person is found guilty of, their extent of punishment will vary. 

For the purpose of fixing punishment, the Indian Penal Code recognises 3 degrees of punishment:

Punishment for culpable homicide of the first degree, i.e., murder, under Section 300 of IPC: Section 302 of the IPC prescribes imprisonment for life or the death penalty for culpable homicide of the first degree, and this is generally reserved for the rarest of the rare cases.

Punishment for culpable homicide of the second degree: This is punishable under Section 304 Part I of the Indian Penal Code, which prescribes punishment of imprisonment that may extend to 10 years and a further fine.

Punishment for culpable homicide of the third degree: This is the lowest type of culpable homicide and amounts to murder. It is prescribed in Section 304, Part 2, of the Indian Penal Code that it prescribes imprisonment for life or imprisonment of either description for a term that is not less than 7 years but which may extend to imprisonment for life.

In Reg vs. Govinda (1876), a person was convicted of murder for poisoning his wife and it was held that a person who administers poison with the intent to endanger life and death ensues amounts to murder even if the person administering the poison believed it to be harmless. Thus, murder is considered to be a much more grave crime than culpable homicide. In Virsa Singh vs. State of Punjab (1969), it was held that it is not enough to show that the injury found to be present was sufficient to cause death but it has to be further proved that the injury was intended to be inflicted.

3-step enquiry

To differentiate murder from culpable homicide, a 3-step inquiry may be conducted as follows:

  • Whether an act of the accused has caused the death of another
  • Whether act of accused amounts to culpable homicide as defined in Section 299 of the IPC and
  • Whether the facts, as proved during the trial, bring the case within the four corners of the definition of murder.

While the reading of the provisions of the IPC may appear to be a clear cut classification, very often the facts of the cases are so complex that it may be a challenge to do justice in every matter. The overlapping of facts very often makes it difficult to distinguish between a culpable homicide of first degree and second degree or culpable homicide of second degree and murder.

While mens rea is a necessary component in culpable homicide, it is the proof of special mens rea, i.e., the intention to cause the death of the person, that converts culpable homicide into murder.  Culpable homicide may be elevated to murder due to further qualifying conditions namely- intent, knowledge and aggravating factors. Thus, in Narshingh Challan’s case, it was held that an offence cannot amount to murder unless it falls within the definition of culpable homicide; in other words, all murder is a culpable homicide but every culpable homicide need not necessarily amount to murder. In State of Andhra Pradesh vs. Rayavarapu Punnayya & Anr. (1976), while laying down parameters to distinguish these two crimes, the Supreme Court emphasised that the degree of probability of death occurring would determine whether an act falls under murder or culpable homicide and that ‘culpable homicide’ is genus and ‘murder its specie. All ‘murder’ is ‘culpable homicide’ but not vice versa. Speaking generally, ‘culpable homicide sans ‘ special characteristics of murder’ is culpable homicide not amounting to murder.

In short, any homicide in which mens rea, i.e., intention and/or knowledge that the act of the offender is likely to cause death, is proved, is a culpable homicide, and any act of culpable homicide in which special mens rea, i.e., premeditated or thought out planned manner of execution, is proved, amounts to murder.

Conclusion

While culpable homicide is an act of causing death of a person by any means, murder is a culpable homicide with the intention of killing the person by deliberate and premeditated act or malice aforethought. Murder involves deliberate intention, while culpable homicide may or may not involve the element of intention. Murder specifically involves the intentional killing of another person, is a consequence of malicious thought, requires a higher level of culpability, is a more serious criminal offence and therefore attracts more severe punishment as compared to culpable homicide.

References

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Plant based diets : nourishing the body and the planet

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Environment law

This article has been written by Mrs Swati Harshal Shirodkar pursuing a Remote freelancing and profile building program from Skill Arbitrage.

This article has been edited and published by Shashwat Kaushik.

Introduction

A plant as the sole source of nourishment is a nightmare to many around the world. Nowadays, due to heightened awareness of the impact of food choices on health and the environment, there has been a significant increase in the number of vegetarians. Plant based diet means minimising or eliminating animal based food products from one’s diet. A plant based diet has become not just a pivotal healthcare choice but also a concern for a sustainable environment and animal welfare. People are getting inclined towards vegetarian diets mainly because they are easy to digest, wholesome, cruelty free and environment friendly. The abundance of vitamins, minerals and antioxidants in plant based foods is essential to the overall well being of the body. An awareness of the numerous health benefits of plant – based diets has encouraged people to take up this dietary shift. Plant based diet offers a diversity of culinary experiences for your taste buds. One can explore a vast array of fruits, vegetables, grains and plant based proteins. Moreover, enjoy a flavorful and satisfying meal while contributing to a healthy planet. 

Longevity is a topic of great interest for many. Plant based diets are proving to be a positive influence on life expectancy. A study published in the American Journal of Clinical Nutrition found that a plant based or vegetarian diet is associated with a lower risk of all cause mortality. Plant based diet is associated with a reduction in the risk of several diseases, for example, hypertension, metabolic syndrome, diabetes and heart disease.

Nutritional aspects of plant based diet

Plants are filled with essential vitamins, minerals, antioxidants, fibres and proteins. Craig et al., 2021 suggest that consumption of aplant based diet is safe for all age groups, even pregnant and lactating mothers. Including fruits, dried fruits, vegetables, whole grains, pulses, beans and nuts in the diet is very important for overall well being. Nutrients obtained from plants are easily absorbed by the body, whether young or adult.

Mariotti and Gardner (2019b), in their article, “found that when replacing animal protein with a mix of protein-rich plant foods (namely legumes, nuts and seeds), a transition towards 100% plant protein could be considered to involve virtually no risk of an insufficient intake of protein, including amino acids. There is no evidence of any adverse physiological effects of the modestly lower protein intake seen in adults consuming vegetarian diets.”  There is a misconception in the western world, that vegetarian or plant based diets lack proteins, calcium and iron. Soya is the richest source of plant based protein. Iron and calcium are readily available in Raggi. Nowadays, Raggi has been incorporated into a ready-mix baby food, for example, Cerelac by Nestle.

Impact on heart health

Plant based diet has proven to play an important role in cardiovascular health, with a lot of studies indicating a positive impact. One such study, carried out by Yokoyama et al. (2014) highlights the significant benefits of plant-centric eating habits. This study shows a connection between a vegetarian diet and blood pressure, providing compelling evidence. The findings explain the potential advantages of regulating blood pressure and enhancing cardiovascular wellness, as heart disease is one of the leading causes of mortality. Fascinatingly, Yokoyama et al.’s research suggests that adopting a plant-based diet could lead to a meaningful reduction in cardiovascular risk factors. This study proves to be a cornerstone in advocating the incorporation of plant centric nutrition for a healthy cardiovascular wellbeing.

Environmental consequences of animal agriculture

Animal agriculture is also known as livestock farming, which includes breeding, raising and harvesting animals and animal products primarily for food production. Livestock farming involves raising and breeding animals such as cattle, poultry, pigs and sheep for meat, milk and egg production. Aquaculture involves the farming of fish, shellfish and aquatic plants. Dairy farming involves the production of milk and dairy products by raising and breeding cattle, goats and sheep. Poultry farming focuses on raising birds like chickens, ducks, and turkeys for meat and egg production. Animal agriculture plays an important role in global food production and supply. However, animal agriculture also has serious environmental impacts associated with it, such as deforestation, greenhouse gas emissions and water pollution. In a study by Steinfeld et al. (2006), the serious environmental impact of animal agriculture was mentioned.

Deforestation is a major concern in animal agriculture, where forests are cleared to create pastureland for cattle grazing or to cultivate feed crops for animals. This is particularly true in the Amazon rainforest.

Greenhouse gas emissions are contributed by livestock farming. Primarily methane and nitrous oxide. These gases are released during fermentation in ruminant animals like cattle and sheep. Feed production and manure management also emit greenhouse gases. Methane has a potent warming effect on climate change.

Water pollution is a critical aspect of animal farming. Water run off from animal farms can contain pollutants like nitrogen, phosphorus, and pathogens. These pollutants can contaminate waterways, even groundwater, and degrade water quality, posing a risk to aquatic ecosystems. The widespread use of antibiotics for disease prevention and control in animal farming has raised concern about the development of antibiotic resistant bacteria. Regulating pollutant discharges is a crucial step in safeguarding water resources.

Water footprint of plant food vs animal meat production     

The amount of water used by the meat production industry is several times greater than plant based food production. Plant based food products or crops, which include fruits, vegetables, grains, and legumes, generally have lower water footprints compared to meat production. In plants, the amount of water required per unit of edible product is less compared to an animal food product. The production of meat is associated with a high water footprint compared to plant based food products, mainly due to the intensive nature of animal husbandry, feed production and processing involved. In an article by Mekonnen, Mesfin & Hoekstra, Arjen. (2012) published that the global average water footprint per ton of crop increases from sugar crops (approx. 200m3/ton) vegetables (~300m3/ton) and pulses (~4000m3/ton). For animal products, the water footprint increases from milk (~1000m3/ton), egg(~3,300m3/ton) and beef (~15,400m3/ton). The article also mentions that the water footprint per gram of protein for milk, eggs and chicken is about 1.5 times larger than pulses. For beef, the water footprint per gram of protein is 6 times larger than that of pulses. In conclusion, from a water resource conservation and preservation point of view, it is more efficient to incorporate and rely on plant-based food compared to animal-based food.  The water intensive nature of the meat production industry contributes to environmental challenges such as water scarcity, pollution, and habitat degradation. This shift towards plant-based diet is the need of the hour, it will contribute to sustainable water management practices.

Culinary diversity

Culinary diversity in a plant based diet showcases a wide variety of flavours, textures and cuisines. Compared to animal based diet, plant based food celebrates a wider range of flavours, textures and cultural influences, making it an appealing and vibrant choice for people seeking flavorful and diverse meals.

The culinary traditions and diversity of the Indian subcontinent are mind blowing with their versatile cooking techniques, which bring out a diversity of flavours, textures and tastes that will touch one’s soul, only involving plant-based ingredients and food products. Indian cuisine is very famous for its rich and mouth watering vegetarian dishes. For those who think a plant based diet is only animal fodder or feed, they should try Indian vegetarian dishes.  

Conclusion

The discussion surrounding plant based diets not only highlights an array of culinary diversity but also emphasises the profound impact they have on the environment and the collective wellbeing of individuals. This article advocating the case of embracing plant centric diet is compelling and multifaceted. The evidence presented regarding water conservation and water footprints between plant based food and meat production factually eliminates the dilemma of making the choice for plant based diet and moving towards a sustainable environment. Choosing a plant based diet reduces the strain on freshwater resources, and minimises pollution from animal farming and habitat destruction associated with animal agriculture for meat production. The decision to embrace a vegetarian diet is a powerful act and represents a conscious commitment to nurturing planet Earth and safeguarding its ecosystem. We, as a society, hold the power to shape a more beautiful, sustainable world through our everyday choices. Together, we can make our planet healthier and create a brighter future for generations to come.

References

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Bhikaji Narain Dhakras and Ors. v. State of Madhya Pradesh and Anr. (1955)

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This article is written by Almana Singh. It deals with the legal analysis of a landmark judgement wherein the validity of provisions of the C.P. & Berar Motor Vehicle(Amendment) Act, 1947 was questioned and it led to the establishment of the “Doctrine of Eclipse”.

Introduction 

In the landmark case of Bhikaji Narain Dhakras and Ors. vs. State of Madhya Pradesh and Anr. (1995), the Indian Judiciary grappled with a crucial constitutional question: Can pre-constitutional laws be entirely invalidated if they infringe upon the fundamental rights enshrined in Part III of the Indian Constitution? Unlike the United States, where constitutional principles often supersede all pre-existing laws, India must navigate a complex legal landscape that includes both pre-constitutional and post-constitutional legislation. This case addressed this fundamental issue and formalised the recognition of the “Doctrine of Eclipse in Indian jurisprudence. The Doctrine of Eclipse applies exclusively to pre-constitutional laws (those enacted before the enforcement of the Constitution). It comes into play when such laws infringe upon fundamental rights outlined in Part III of the Constitution. Rather than rendering the law null and void, it renders it inoperable and unenforceable to the extent it breaches those rights. If an Amendment rectifies the inconsistency, the law regains its force without requiring re-enactment. 

Details of Bhikaji Narain Dhakras and Ors. vs State of Madhya Pradesh and Anr. (1955)

Case name

Bhikaji Narain Dhakras and Ors. Vs. The State of Madhya Pradesh and Anr. 

Petition numbers

189 to 193 of 1955

Equivalent citations

MANU/SC/0016/1955, AIR 1955 SC 781, 1955 INSC 49, (1955) IMLJ 37(SC), [1955] 2SCR 589

Court

Hon’ble Supreme Court of India

Quorum

Justice Sudhi Ranjan Das, Justice N.H. Bhagwati, Justice T.L. Venkatarama Aiyyar, Justice Syed Jaffer Imam, and Justice N. Chandrasekhara Aiyar.

Parties to the case

Petitioners

Bhikaji Narain Dhakras 

Respondents

State of Madhya Pradesh 

Judgement date

29.09.1955

Statutes involved

Background of Bhikaji Narain Dhakras and Ors. vs State of Madhya Pradesh and Anr. (1955)

The Motor Vehicle Act of 1939 (MV Act) granted significant powers over transportation to both the Central and Provincial Governments. In 1947, the C.P. & Berar Motor Vehicles (Amendment) Act was introduced further augmenting governmental authority. This Amendment empowered the government to set fares or freights across the province or specific route areas, revoke permits after three months, shorten licence durations below the MV Act’s stipulated period, and direct designated transport authorities to issue permits to the government or government-affiliated entities. The primary objective behind these Amendments was to enhance the control and influence of British officials, granting them extensive powers to oversee the transportation of goods.

Facts of the case 

The C.P. Transport Service Ltd. and Provincial Transport Company Ltd. were the two major private companies that dominated the motor transport business in the state of Madhya Pradesh. The petitioners had been carrying on the business under a permit granted to them under Section 58 of the Motor Vehicle Act, of 1939. The State and Union governments held 85% of the share capital and the Union government had a monopoly rule over the Motor Transport Business. Five writ petitions (Petition Nos.189 to 193) were filed under Article 32 of the Constitution of India. The petitions filed alleged that with the enactment of the C.P. & Berar Act of 1947, the government was given broad powers over the private transport business, excluding all other motor vehicle operators.

Issues raised in the case

  • Whether the enforcement of the Constitution of India lead to the complete invalidity and nullity of pre-constitutional laws?
  • What does the term “void” mean as interpreted in Article 13(1) of the Indian Constitution, and what is its operational nature?
  • Whether the C.P & Berar Motor Vehicles (Amendment) Act, 1947 is violative of Article 19(1)(g) and Article 31?

Arguments of the parties

Petitioners 

  1. Petitioners averred that Amendments made by the C.P. Berar Act are violative of fundamental rights vested with the citizens of India. Hence, the Act should be declared void. 
  2. The petitioners averred that Amendments made are void under Article 13(1) and cannot be revived after subsequent Amendments. It would have to be re-enacted. 
  3. Petitioners also averred that the C.P. Berar Amendment is violative of Article 19(1)(g) and it remains contradictory against the provisions mentioned in Article 13(1).
  4. Petitioners contended that the First and Fourth Constitutional Amendments cannot be applied retrospectively.

Respondent 

  1. The respondents relied upon the addition of reasonable restriction under Article 19(6) which was added by the First Constitutional Amendment in 1951. They agreed that the law was inconsistent with the Constitution of India. However, the inconsistencies were eliminated by the addition of the above-mentioned provision.
  2. Respondents averred that following the enactments of the First and Fourth Constitutional Amendments, the inconsistencies and irregularities of the C.P. Berar Act were reviewed and subsequently amended. Hence, it regained functionality and its constitutionality cannot be questioned.

Laws involved in the case

This case deals with several articles of the Constitution of India. Major ones have been briefed below:

Article 19(1)(g) is a fundamental right enshrined in Part-III of the Constitution of India which is extended to all the citizens of India. It gives the right to all the citizens in India to freely trade and carry out any occupation or business.

Article 19(6) This article puts “reasonable restrictions” on fundamental rights. It was brought in by the First Constitutional Amendment in 1951 which stated that fundamental rights are not absolute. The right of an individual to carry on trade was made subordinate through this article. It asserts that existing laws, or new laws created by the State, may impose reasonable restrictions on the exercise of rights conferred by Article 19(1)(g) in the interest of the general public. The state is empowered to engage in trade, business, industry, or service, either independently or through a state-owned or controlled corporation, even to the extent of excluding citizens wholly or partially. 

Article 19(1)(g) confers upon citizens of India the right to practise any profession or carry on any occupation, or trade. This fundamental right is reasonably restricted by Article 19(6). Restriction should be reasonable and should be in the interest of the general public. This was considered in the case of Municipal Corporation of the City of Ahmedabad v. Jan Mohammed Usmanbhai (1986), wherein the Supreme Court held that the expression “in the interest of the general public” has to be considered in a wider sense. The court held that the restriction can also be imposed on clause(1)(g) to achieve any fundamental duties enshrined in Part-IV of the Constitution of India. The court held that the expression can be included within its restrictions for the preservation of public order, public health, public security, morality, and the economic welfare of the community. 

Article 13 of the Constitution of India, deals with laws inconsistent with or in derogation of fundamental rights. It also relates to the “Doctrine of Eclipse”

  • Any law in India that contradicts the fundamental rights granted by the Constitution becomes void to the extent of that contradiction.
  • The government cannot make any law that takes away or limits the rights given by the Constitution. Any such law would also be void.
  • “Law” includes any type of legal rule or regulation, and “laws in force” include laws passed before the Constitution came into effect, as long as it hasn’t been repealed.
  • This article doesn’t apply to Amendments made to the Constitution itself under Article 368.

Judgement in Bhikaji Narain Dhakras and Ors. vs State of Madhya Pradesh and Anr. (1955)

Issue-wise judgement is given below for a thorough perusal:

Whether the enforcement of the Constitution of India leads to the complete invalidity and nullity of the pre-constitutional laws

The court introduced the concept of the “Doctrine of Eclipse” in this case. The court cited the case of Keshavan Madhava Menon v. The State of Bombay (1951) which stated that the law does not become void in totality or for all purposes or for all times or all persons but only to the extent of such inconsistency with the provisions of Part-III i.e. the fundamental rights. The court observed that if a pre-constitutional law infringes or hampers a fundamental right, that law will be held unconstitutional to the extent of the inconsistency with the fundamental right and that the law will not be held null and void. Rather, the law will be invalid to the extent of the inconsistency only. It is like a shadow cast over by the Constitution on the inconsistent law, it is “eclipsed” by the Constitution. 

Interpretation of the term “void” under Article 13(1) and its nature

The court observed in Para 15 and held that the inconsistencies of Article 13(1) were amended by the First Constitutional Amendment on 18th June 1951 and the law was revivified without having to be re-enacted. The notification declaring the intention of the State to take over the bus routes to the exclusion of all other motor transport operators was published on the 4th of February 1955 when it was perfectly constitutional for the State to do so. In the Keshavan Madhava Menon case, it was held that Article 13(1) was prospective in operation and this observation was upheld in the case at hand. 

Inconsistency with Article 19(1)(g) and Article 31

Article 19(1) guarantees to all citizens the right to freedom under seven heads. None of these rights are absolute, each of them is restricted by clauses mentioned in 19(2) to 19(6). Thus, the right to practise any profession or to carry on any occupation, trade, or business conferred by Article 19(1)(g) was controlled by clause (6). The fundamental rights conferred in Part III of the Constitution are protected by Article 13 which deems a law inconsistent with fundamental rights as “void”, the interpretation of which has been explained beforehand. 

The new provisions introduced by C.P. Berar excluding all private motor transport operators from the field of transport business would be an infraction of provisions under Article 19(1)(g) and prima facie void under Article 13 unless this invasion by the C.P. Berar Act can be justified under Article 19(6). On 18th June 1951, the First Constitutional Amendment was passed and clause (6) was amended, subsequently removing the inconsistency with the fundamental right. The petitioners argued that the challenged Act was inconsistent with Article 31(2). The court noted that if there were no other factors at play, this argument might have been irrefutable. However, unfortunately, for the petitioners, the Fourth Amendment Act of 1955 came into effect on April 27, 1955, amending clause (2) of Article 31. The court affirmed that the C.P. Berar Act had been inconsistent with Article 31 from the inception of the Indian Constitution until April 27, 1955, when the Fourth Constitutional Amendment rectified the inconsistency. The present petition was filed on 27th May 1955, precisely one month after the enactment of the Fourth Amendment, which resolved the inconsistency.

Rationale behind the Judgement

Criminal litigation

The court relied on the judgement given in  Keshavan Madhava Menon v. The State of Bombay (1951). In this case, a pamphlet was published by the publishing house. It violated Section 15(1) and was punishable under the Indian Press Emergency Powers Act, of 1931. The prosecution was initiated against the petitioner, and proceedings were pending in front of the court when the Constitution of India was enforced. The petitioner contended that the provisions of the Press Act violated fundamental rights under Article 19(1)(a) read along with Article 13. It was decided that Article 13(1) does not make the law void ab initio for all purposes. Instead, it only became void to the extent of their inconsistency. This case marks the inception of the Doctrine of Eclipse. 

The Court observed that American authorities cited by the petitioners only pertain to laws post-constitution, which does not apply to India due to its diverse historical context. Both pre and post-constitutional laws must be considered. Article 13 explicitly renders void any pre-constitutional laws inconsistent with the provisions of Part III of the Constitution. However, such laws are not entirely abolished; they continue to apply to pre-constitutional rights and liabilities and also remain enforceable against non-citizens even after the constitution. 

Analysis of the judgement in Bhikaji Narain Dhakras and Ors. vs State of Madhya Pradesh and Anr. (1955)

This judgement raised the question of whether laws infringing fundamental rights can remain valid after the Amendments. Primarily addressing pre-constitutional laws, the case established the formalisation of the doctrine of the eclipse, which is further briefed in later sections of this article. The court noted that, while fundamental rights are inherent to every Indian citizen, they are not absolute and can be reasonably restricted. If a pre-constitutional law infringes upon a fundamental right, that law may be deemed invalid and suspended to the extent of the inconsistency. However, if the inconsistency is later rectified, the law will become operative again without requiring re-enactment. 

Significance and aftermath of the judgement

Although the judgement in Keshavan Madhava Menon v. The State of Bombay (1951) marks the inauguration of the doctrine of Eclipse in India. However, a thorough articulation of this doctrine could be seen in the case at hand. It is pertinent to mention that the Doctrine of Eclipse is applicable only to pre-constitutional laws. It ensures that the pre-constitutional laws remain part of the new legal framework of India, maintaining continuity in governance despite changes brought about by the constitution. This doctrine allows for flexibility in interpreting laws balancing the need for public order with individual rights. This Judgement explained the interpretation of Article 13. 

Doctrine of eclipse 

This judgement formally established the concept of the “Doctrine of Eclipse”. The doctrine is related to Article 13 of the Constitution of India. Clause-wise explanation of Article 13 is provided as:

  • Article 13(1) states that any existing law in force before the start of the Constitution within the territory of India which goes against or is inconsistent with fundamental rights, present in Part III of the Indian Constitution, becomes void to the extent of such inconsistency. 
  • Article 13(2) states that any new law becomes void the moment it comes into violation of fundamental rights, to the extent of such violation.

If a pre-constitutional law infringes or hampers a fundamental right, that law will be held unconstitutional to the extent of inconsistency with the fundamental right meaning that the law will not be held null and void. Instead, the law will be invalid to the extent of the inconsistency. The term “void” in the above-stated Article does not mean outright null and void, rather, it means void to the extent of inconsistency. 

Features of Doctrine of Eclipse 

  • The Doctrine of Eclipse only applies to pre-constitutional laws meaning the laws that came before the enactment of the Constitution on 26th January 1950.
  • The law in question must infringe a fundamental right enshrined in Part III for the Doctrine of Eclipse to come into play.
  • The law when infringes a fundamental right on the application of the doctrine of eclipse does not become null and void, rather, it becomes inoperable and unenforceable to the extent it breaches the fundamental right. 
  • If there is a relevant amendment that is made to rectify the inconsistency in the law and said breach of a fundamental right is mended back to its original position. That law will regain its power and come to light without being re-enacted altogether.
  • In State of Gujarat v. Ambica Mills (1974), The legislature of Gujarat adopted the Bombay Labour Welfare Fund(Gujarat Extension and Amendment) Act, 1961, amending the Bombay Labour Welfare Fund Act, 1953. The 1953 Act aimed to establish a fund supporting initiatives for the welfare of workers in Bombay. The respondents, a corporation formed under the Companies Act, of 1956, contested various provisions of the Act and its accompanying rules. The High Court of Gujarat ruled that the Act contravened Article 19 of the Constitution of India. The issue at hand was whether a law infringing the fundamental rights of citizen-employees under Article 19(1)(f) could be challenged by the Respondent, a non-citizen employer, on the grounds that the law is void against non-citizens. The court held that Ambica Mills, as a non-citizen, could not invoke Article 13(2) to declare the law void against them. The court reasoned that if a law violates the fundamental rights of citizens under Article 19(1)(f), it is void against citizens who have been conferred such rights, but it is operative concerning non-citizens because the law is void only to the extent that the rights conferred on citizens are violated and non-citizens do not have any fundamental rights granted under Article 19. 

Application of Doctrine of Eclipse to post-constitutional laws

Article 13(1) deals with pre-constitutional laws and Article 13(2) deals with post-constitutional laws. A distinction between these two was made in Deep Chand v. State of U.P. (1959) wherein it was observed that no hindrances or inconsistency with the Fundamental Rights can be made as it will render the law void ab initio or invalid. The Supreme Court in another Judgement of  Mahendra Lai Jaini v State of Uttar Pradesh (1963) established that post-constitutional laws that infringe on a fundamental right cannot be made functional by any constitutional amendments, they will have to be re-enacted. 

Applicability of Doctrine of Eclipse in recent cases

The case at hand is a landmark case as it has led to the establishment of the Doctrine of Eclipse. This Doctrine is time and again cited by courts, a few of the cases have been briefed below:

  1. Dularey Lodh v. The IIIrd Ad. District Judge, Kanpur & Ors. (1984)

Dularey Lodh, the Appellant-tenant challenged a decree for ejectment obtained by the landlord(Respondent) in 1971. The decree was initially held inexcusable due to jurisdictional objections raised by the appellant and a judgement of the Allahabad High Court. However, the U.P. Urban Buildings(Regulations of Letting, Rent, and Eviction)(Amendment) Act, 1976, retrospectively made Section 9 of the 1972 Act applicable, effectively removing the bar on executing such decrees. The court held that after the 1976 Amendment, the decree became legally executable. The court observed even if the 1972 Act was applicable, the decree would have been inexcusable but not invalidated. The Doctrine of Eclipse comes into play here, allowing the revival and executability without being re-enacted all over again. 

  1. Km. Shilpi Saini vs State Of Uttaranchal And Ors. (2003)

The petitioner sought a writ petition directing the respondents to grant her provisional admission until the declaration of her compartment examination results and to allocate her a seat based on her merit in counselling. The petitioner had appeared for AIEEE, 2003 but had not qualified for her immediate examination which was a pre-requisite for admission. In the counselling, it was noted that the petitioner had not submitted her pass certificate for immediate examination, but later she submitted it after appearing for compartment examination, thereby fulfilling the eligibility criteria. The court applied the doctrine of eclipse, which essentially means that once a legal obstacle preventing a right is removed, the right becomes immediately enforceable. The court cited the Dularey Lodh case, which has been briefed above. The court was of the opinion since the barrier had been removed, the petitioner should not be hindered from participating.

Conclusion 

In the case at hand, petitioners claimed that the C.P. Berar Act hampered their fundamental rights as citizens of India and according to Article 13, it should be declared null and void. However, The Hon’ble court applied the Doctrine of Eclipse and dismissed the case claiming that the inconsistency in the pre-constitutional law was fixed by subsequent amendments and there is no need to declare the law null and void entirely, scrape it, and re-enact. The court ruled in favour of the respondents underscoring the approach of jurists in constitutional interpretation highlighting the interplay between pre-constitutional and post-constitutional legal frameworks. By affirming the Doctrine of Eclipse, the court recognized the continued relevance of pre-constitutional laws subject to constitutional principles. This case emphasised the rich Indian history and its effects on today’s law.

Frequently Asked Questions (FAQs)

What does “void” mean under Article 13(1) and how is it interpreted in this case?

In Article 13(1) of the Constitution of India, “Void” signifies the invalidity of pre-constitutional laws conflicting with fundamental rights. Such laws are suspended until the inconsistency is resolved, but the entire statute isn’t scrapped off. Amendments, like the First Constitutional Amendment in this case, can rectify inconsistencies, reviving the law without re-enactment. 

Which law does the Doctrine of Eclipse relate to?

It is related to Article 13 of The Constitution of India. If a pre-constitutional law infringes or hampers a fundamental right, that law will be held unconstitutional to the extent of inconsistency with the fundamental right meaning that the law will not be held null and void. Rather, the law will be invalid to the extent of the inconsistency.

Is the doctrine of eclipse applicable to both pre and post-constitutional laws?

The Doctrine of Eclipse is specifically only applicable to pre-constitutional law. The Supreme Court in the case of Deep Chand v. State of U.P. (1959), observed that a post-constitutional law that violates a fundamental right is void ab initio.

What is the operational nature of Article 13(1)?

The court observed that Article 13(1) is prospective in nature. 

What are pre and post-constitutional laws?

Pre-constitutional laws were laws enacted during the British era and predate the enforcement of the Constitution of India on 26th January 1950. Conversely, the laws which came after the enforcement of the Constitution are referred to as post-constitutional laws.

When was the Motor Vehicle Act enacted?

The initial Motor Vehicle legislation was established in 1914 and underwent modifications through the Indian Motor Vehicles (Amendment) Act, of 1920, and subsequently, the Indian Motor Vehicles (Amendment) Act, of 1924. This legislation was later superseded by the Motor Vehicles Act of 1939, which became effective in 1940. Finally, the most recent Motor Vehicles Act of 1988 became operational on July 1, 1989.

References

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State of Gujarat v. Mirzapur Moti Kureshi Kassab Jamat & Ors (2005)

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The article is written by Aditya Sharma. The article aims to analyse the judgement in the case of the State of Gujarat v. Mirzapur Moti Kureshi Kassab Jamat & Ors (2005) with respect to the facts, issues raised, and arguments of the parties, followed by the holding and critical analysis of the case.

Introduction

The Supreme Court, in its landmark ruling in the case of State of Gujarat v. Mirzapur Moti Kureshi Kassab Jamat (2005), once again highlighted the co-existence of Directive Principles of State Policy (hereinafter referred to as DPSP) and fundamental rights. The Supreme Court, through this judgement, held the Bombay Animal Preservation (Gujarat Amendment) Act, 1994 (hereinafter referred to as the 1994 Act/ impugned Act) constitutionally valid. The Act imposed a complete ban on the slaughter of bulls and bullocks, regardless of their age, by amending the parent law, the Bombay Animal Preservation Act, 1954 (hereinafter referred to as the 1954 Act). The constitutionality of the 1994 Act was challenged on the grounds that it violated the fundamental rights of the respondents. These rights included the freedom of religion guaranteed under Article 25 and the right to practice any profession or carry on any business under Article 19(1)(g). The State of Gujarat argued in favour of the legislation by citing Articles 48, 48A, and 51A(g). The State further claimed that the ban was a reasonable restriction and addressed moral and public health issues, as well as the need to stop cruelty to animals. The following article examines the reasoning given by the Apex Court with respect to resolving the conflict between DPSP and Fundamental Rights. 

Details of State of Gujarat vs. Mirzapur Moti Kureshi Kassab Jamat & Ors (2005)

Name of the case: State of Gujarat vs Mirzapur Moti Kureshi Kassab Jamat & Ors

Equivalent Citation: 2005 SCC 8 534

Court: Supreme Court of India

Bench:  R.C. Lahoti, B.N. Agrawal, Arun Kumar, G.P. Mathur, A.K. Mathur, C.K. Thakker, P.K. Balasubramanyan

Appellant: State of Gujrat

Respondent: Mirzapur Moti Kureshi Kassab Jamat

Date of Judgement: 26 October 2005

Important provisions: 

  • Article 48

Article 48 of the Constitution is a part of DPSP. These Directive Principles serve as guiding principles that the legislature ought to follow. Article 48 provides that the State should legislate in order to promote and develop animal husbandry in India, particularly in line with the scientific developments. This Article also directs the legislature to make laws utilising innovative scientific techniques in order to organise agriculture and animal husbandry. This provision also provides that measures should be taken to maintain livestock breeds.

Furthermore, the Article also focuses on the protection of cows from slaughter. This is also a well-known aspect of this Article. This aspect directs the legislature to make laws with respect to the protection of cows, calves, and other milch (milk-giving) and draught cattle (domestic animals that help humans). The foundation of this Article can be associated with the religious and cultural importance of cows in society.

However, it is to be noted that this Article does not explicitly prohibit cow slaughter for two reasons. First, this Article is a part of DPSP, and it is not enforceable in any court of law. Second, it is upon the legislature to make laws with respect to it. Further, it can be observed that there are slaughterhouses that are exempted by getting a proper licence for slaughtering cattle. 

The objective of Article 48 is twofold. First, the Article aims to improve the condition of livestock in India by protecting them from cruelty. Second, it aims to encourage agricultural processes to be more productive and efficient by focusing on scientific approaches.

  • Article 51A(g)

This Article holds moral and social significance; however, is not legally enforceable. Article 51A(g) of the Indian Constitution is a fundamental duty enshrined in Part IVA and provides that the State should take measures to protect and improve the natural environment and conditions of living creatures. 

This Article plays a key role in environmental protection and animal welfare in India. Courts in India have played an important role with respect to interpreting this seemingly simple provision. One such case was Animal Welfare Board of India v. A. Nagaraja (2014), where the Apex Court held, “animal welfare is intrinsically linked to environmental protection.” In this case, the practice of Jallikattu, a bull-taming ritual, was challenged on the grounds that it causes cruelty to animals. The court, citing Article 51A(g) and Article 21, held that the practice was unconstitutional. Further, it also recognised the State’s responsibility and the citizen’s duty to protect animals. This case established Article 51A(g) as a powerful tool in favour of animal rights. The Court emphasised that “compassion for living creatures” includes “ensuring their well-being and freedom from cruelty.

  • Article 19(1)g

Article 19(1)(g) is based on the cornerstone of economic freedom. This Article provides every individual to have the right to practice business, trade, or occupation of their choice freely and contribute to the economy. However, as is the case with other rights, this right is not absolute. The State can impose reasonable restrictions by making laws which are in the interests of the general public as provided under Article 19(6). Further, the State is also empowered to make laws with respect to prescribing minimum professional or technical qualification for carrying on a business.

Moreover, restrictions can also be imposed on the grounds of protecting economic stability and national security. The Supreme Court, in landmark cases such as Excel Wear v. Union of India (1978), has further clarified the limits of this right. The court emphasised that the government should maintain a balance between fundamental rights and the restrictions imposed. In simple terms, the restriction should not be unreasonable. By virtue of Article 19(1)(g), a dynamic economic environment in India is created where necessary regulations coexist with an individual’s rights.

  • Bombay Animal Preservation Act, 1954

The 1954 Act was established with the objective of regulating the slaughter of certain specified animals that played a crucial role in agriculture and milk production. Section 5 of this Act acted as a protective measure by providing that a certificate from a designated authority was necessary before any animal could be slaughtered. To put it simply, it prohibited the indiscriminate killing of essential animals like cows and bulls that were over the age of 16. The Act did not explicitly outline which animals were unfit for slaughter, but the issuing authority was required to consider factors such as age, health, and suitability for breeding or agricultural purposes before granting a certificate.

  • Bombay Animal Preservation (Gujarat Amendment) Act, 1994

The 1954 Act originally applied to the State of Bombay. However, in 1961, the Gujarat government adopted the 1954 Act vide the Bombay Animal Preservation (Gujarat Extension and Amendment) Act, 1961. This Act made certain changes, like specifying the animals that cannot be slaughtered and procedures for obtaining necessary licences. Later, in 1994, an amendment was brought in by the Gujrat government. As per Section 2 of the said Amendment Act, the age limit of 16 years was completely done away with, implying that now there is a complete ban on the slaughter of cows, bullocks, and other specified cattle. 

Facts and background of State of Gujarat vs. Mirzapur Moti Kureshi Kassab Jamat & Ors (2005)

The present case is a result of the Gujrat government’s legislation with respect to the slaughter of certain specified animals. Specifically, the 1994 Act was challenged due to the amendment made by the Gujarat government. Before moving forward, it is pertinent to mention the legislative history of this Act. This Act was originally passed in 1948 by the Bombay government and was applicable in the state of Bombay. This Act highlighted the crucial role that cattle play in agricultural operations. The objective of the Act was to protect certain specified animals by prohibiting the slaughter of these animals. The legislation was later replaced with the Bombay Animal Preservation Act, 1954, incorporating certain new clauses and clarifications into the original version.

Criminal litigation

Further, when Gujarat became a state in 1960, the Bombay Animal Preservation (Gujarat Extension and Amendment) Act was passed in 1961 with the objective of formulating a uniform law for cattle throughout the newly formed state. In essence, this Act merely extended the provisions of the 1954 Act to the newly formed state of Gujarat. However, the main issue arose in 1994 with the enactment of the Bombay Animal Preservation (Gujarat Amendment) Act, 1994, which amended the 1961 Act. Previously, the Act allowed the slaughter of specified animals that were over the age of 16. This provision was aimed at striking a balance between preserving agricultural usefulness and allowing cattle commerce by allowing the slaughter of certain kinds of animals. However, the 1994 Amendment, in Section 2, removed the age restriction and made it illegal to slaughter bulls and bullocks of any age. Due to this amendment, the respondents in the present case (predominantly belonging to the Muslim community) approached the High Court of Gujrat for holding the amendment ultra vires to the Constitution on the grounds that it was violative of their fundamental rights under Article 19(1)(g) and Article 25. The respondents contended that a broader interpretation should be given to Article 25(1), which protects not only the core principles of a religion but also customary or traditional practices. They further contended that the complete ban on cow slaughter violated their right to freely practice their religion and that sacrificing cows during religious festivals, like Bakrid, while not mandatory, is a well established tradition within their religion which ought to be protected under Article 25. 

However, the High Court held that the 1994 Act was a valid exercise of legislative powers and that the Act was constitutional. Aggrieved by this, the respondents then approached the Supreme Court. A division bench of the Supreme Court overturned the High Court’s decision and held the Act to be ultra vires. However, later, a constitutional bench of 7 judges was called upon to decide on the matter.

Issues raised 

  • Whether the 1994 Amendment to the Bombay Animal Preservation (Gujarat Extension) Act, 1961, by the Gujarat government, is ultra vires to the Constitution?
  • Whether the restrictions imposed by the 1994 Act were consistent with the directive principles and fundamental rights.
  • Whether the restrictions imposed by the government were reasonable restrictions and if there was a real connection between them and the object sought to be achieved by the Act.
  • Whether the ban imposed by the 1994 Act on slaughter was in the interest of the country’s economy.
  • Whether the restrictions imposed by the 1994 Act were in the interest of the general public despite causing inconvenience or dislocation to respondents.

Arguments of the parties

Appellants

The state of Gujrat contended that the High Court had erred in making its decision with respect to declaring the 1994 Act ultra vires to the Constitution. They further contended that the amendment was a legitimate exercise of its legislative powers, as conferred under Article 246 (Entry 15, List II) and was in furtherance of the provisions contained in the DPSPs.

The government further claimed that the 1994 amendment was necessary to inculcate the State’s policy towards implementing the principles laid down in Articles 47, Article 48, and Article 39 of the Constitution. They claimed that the enactment of the Act was in accordance with the constitutional spirit, that the State should make laws for preventing animal cruelty. Further, they also claimed that DPSPs being non-enforceable in the courts, the respondents have no ground for challenging the Constitutionality of the said Act. Also, there is no denying of the fact that State had the legislative competence to make law in this respect. 

The government also contended that the ban imposed by the impugned Act on the slaughter of cow progeny was not only intra vires to the Constitution but also a step towards the country’s economic growth and the well-being of society. The appellant also placed evidence to show that the cow and its progeny play a crucial role in the agricultural and rural economy of India. They further claimed that the impugned Act’s objective was to preserve and promote cattle wealth, which was essential for the sustainable development of the agricultural sector.

Furthermore, the government contended that the High Court had erred in its conclusion that the restrictions imposed on fundamental rights by the Amendment Act were unreasonable. The appellant further claimed that the restrictions imposed by the impugned Act were on the grounds of public policy, despite causing inconvenience or dislocation to certain groups of people.

Respondents

The respondents claimed that the 1994 Act unreasonably restricted their fundamental rights, specifically their freedom to trade and practice any profession of their choice. They claimed that the ban imposed on the slaughter of certain types of cattle had a real and immediate impact on those involved in the trade and butchering of cattle. This has resulted in a notable reduction in their means of livelihood and economic activities. The respondents further claimed that the Act’s limitations were unreasonable and disproportionate and were not in accordance with Article 19(2). They claimed the ban had negatively impacted their fundamental right to Article 19(1)(g).

Moreover, the respondents contended that the objectives of the Act, i.e., protecting cattle and advancement in agriculture, were not reasonably associated with the limitations imposed by the impugned Act. They also claimed that the absolute ban on slaughter does not serve any public policy issue and was not in consonance with respect to its preamble. They also questioned if a complete ban on slaughter was really necessary to achieve the intended outcome.

The respondents argued for the impugned Act’s constitutionality on the grounds that the government did not adequately balance the fundamental rights of people with the DPSP. They claimed that the complete ban on slaughter was an arbitrary action of the government and violated the principles of reasonableness and fairness as enshrined in our Constitution. This was contended as the government did not provide any justification and failed to give regard to individuals whose lives depended on butchering. They also argued that a more comprehensive strategy that takes into account the rights and interests of all parties concerned could have been adopted but the government failed to do so.

Judgement in State of Gujarat vs. Mirzapur Moti Kureshi Kassab Jamat & Ors (2005)

Concerning the first issue, i.e., the constitutionality of the 1994 Act, the 7-judge bench of the Supreme Court held that the 1994 Amendment was constitutional. The court overturned its previous decision and affirmed the High Court’s decision, holding that the Act was intra vires to the Constitution.

With respect to the second issue, the Court held that the restrictions imposed by the 1994 Act were in consonance with the DPSPs as well as the fundamental rights enshrined in the Constitution. The Court further emphasised the importance of balancing individual rights with broader societal interests, particularly in matters that concern environmental protection and the economic development of the country.

With respect to the third issue, the Court held that there was a reasonable nexus between the restrictions imposed by the Act and the objectives that were sought to be achieved by the Act. The Court further acknowledged that there is a necessity for preserving cattle and promoting agricultural advancements. Hence, the court concluded that the restrictions were justified in light of the objectives mentioned in the preamble of the Act.

Coming to the fourth issue, i.e., with respect to the imposition of a ban on the slaughter of cow progeny and the national economy, the Court held that the ban imposed on the slaughter of cow progeny was in the interest of the nation’s economy. The court further recognised the crucial role that cattle play in Indian agriculture. The Court affirmed the importance of safeguarding cows and their progeny for the sustainable development of the agricultural sector.

With respect to the last issue, the Court held that the restrictions imposed by the impugned Act were in the interest of the general public, despite causing inconvenience or dislocation to respondents. The Court held that the broader societal benefits of preserving cattle and maintaining ecological balance outweigh the individual inconveniences faced by certain groups of people, like the butchers in this case.

Rationale behind the judgement

The clash between Fundamental Rights and Directive Principles of State Policy

In 1945, the Sapru Committee, under the chairmanship of Tej Bahadur Sapru, submitted its recommendations on constitutional principles. One of its recommendations was that fundamental rights should be divided into two types: justiciable and non-justiciable. It is due to this committee’s report only that today, we have two types of rights under our Constitution. 

These two rights are none other than Fundamental Rights in Part III and the Directive Principles of State Policy in Part IV. In many instances, a question was raised with respect to the enforceability of DPSP. However, this proposition was settled in the case of Minerva Mills Ltd. & Ors v. Union of India & Ors (1981). In this case, it was held that Directive Principles are not enforceable before any court of law. These Directive Principles serve as guiding principles for the government to formulate laws. However, in many instances, these both rights, i.e., non-justiciable rights provided under DPSP and Fundamental rights provided under Part III, may collide, and therefore, their harmonious coexistence is necessary.  

The Supreme Court in Akhil Bharatiya Soshit Karamchari Sangh (Railway) v. Union Of India & Ors. (1981) held that the DPSP were included in the Constitution to ensure their consideration by law-making authorities for the welfare of society. Therefore, Article 37, which states that Directive Principles of State Policy are unenforceable in a court of law, was included in the Constitution. This provision was included despite the fact that these directives are fundamental to the nation’s improved governance. However, since these principles serve as a guiding light for governance, they are placed at par with fundamental rights.

The Supreme Court in State of Madras v. Srimathi Champakam Dorairajan (1951), for the first time, considered the issue of balancing Fundamental Rights and the DPSP. It was held that the Fundamental Rights are superior to the DPSP, and DPSPs should be considered a subset of Fundamental Rights. However, it is also the reality that the state’s power to legislate is unaffected by disregard for Directive Principles. However, this debate was subsequently considered in many cases and was finally settled in the case of Ashok Kumar Thakur v. UOI (2008), where it was held that both rights i.e. rights mentioned in FR and in DPSPs should coexist, and no distinction should be made between them.

Moving further, it would be unreasonable to say that all DPSP should be followed at the cost of Fundamental Rights. In Kesavananda Bharati and Ors. v. State of Kerala and Anr. (1973), the Supreme Court of India addressed a similar situation and held that the legislature has a responsibility to maintain a balance between these rights since it is best equipped to understand the needs and demands of the country. Later, the Supreme Court in Supreme Court Advocates-on-Record Assn. v. Union of India (2016), observed that the judiciary will only intervene if a legislation is clearly in violation of Fundamental Rights provided under Part III or if it falls outside the jurisdiction of the legislature.

In I.C. Golak Nath and Ors. v. State of Punjab and Anr. (1967), the Hon’ble Supreme Court observed that there should be no clash between DPSPs and fundamental rights and a harmonious approach should be adopted. The court further held that the legislature and the judiciary should maintain the delicate balance between DPSPs and fundamental rights for achieving a holistic growth of society. 

It is said that Article 48, a Directive Principle, and Article 19(1)(g), a fundamental right, are in conflict with one another. However, with the numerous holdings of the Apex Court and the presence of Article 37, it can be implied that no one can approach the court of law and pray to the court for enforcement of DPSP. This is also one of the reasons that courts are not empowered to issue a writ of mandamus to the Parliament, asking it to legislate on a matter.

The Court, based on the above reasoning and after considering the arguments of the parties, held that there was no clash of DPSP and fundamental rights. The Court held that the Act was intra vires to the Constitution and the State was empowered to legislate upon it. The court further observed that the Act was consistent with both DPSP as well as fundamental rights.

Role of Articles 48A and 51A

At this point, it is relevant to consider the case of Mohd. Hanif Quareshi v. State of Bihar, (1959). This can be considered a predecessor to the present case. Mohd. Quareshi’s case was decided at a time when India’s socio-economic situation was greatly different from the present. Articles 48A and 51A were not enforced at that time. Due to this, the courts had to face challenges in upholding the complete ban against the slaughter of she-buffaloes, bulls, or bullocks in case they were not healthy enough to produce milk, breed, or serve as draft animals. Due to a lack of provisions and considerations at that time, the court had to rule that the ban was contrary to public policy and was unreasonable. However, it is important to note that the present case is different in the context that provisions of Articles 48A and 51A were not part of the Constitution at the time of Quareshi’s case. These provisions were later added in 1976 with the Forty-Second Amendment Act, 1976

Articles 48 and 51A(g) are required to be examined alongside here. Article 51A(g) is a fundamental duty “to protect and improve the natural environment including forests, lakes, rivers and wild life, and to have compassion for living creatures“. Article 48 can be classified into two parts, one being “The State shall endeavour to organise agriculture and animal husbandry on modern and scientific lines…” and the second being “…and shall, in particular, take steps for preserving and improving the breeds, and prohibiting the slaughter of cows and calves and other milch and draught cattle.” The present case specifically pertains to the second part. In AIIMS Students’ Union v. AIIMS and Ors. (2001), a three-judge bench of the Supreme Court held that, even though not enforceable in the courts, fundamental duties hold significant weight in interpreting the Constitution in its true context. Similarly, in T.N. Godavarman Thirumalpad v. Union of India and Ors. (2002), the Hon’ble Supreme Court interpreted these two Articles together in order to address an issue pertaining to the environment. The court held that “the State and the citizens are under a fundamental obligation to protect and improve the environment, including forests, lakes, rivers, wildlife, and to have compassion for living creatures.

Hence, it can be said that even though these Articles are not enforceable in the courts, they play a crucial role in the interpretation of the Constitution. 

Interpreting “Milch” and “draught cattle” under Article 48

In the eyes of the law, every living creature has a right to be protected from harm, irrespective of their age and usefulness to humans. These creatures also include cows and calves. They are also entitled to legal protection, irrespective of whether they are capable of producing milk or not. In the present case, the court interpreted the term “calves and other milch and draught cattle“. It was interpreted in order to mean that this protection is applicable to the entire species, not just a specific age group, as was contended by the respondents. Meaning thereby that the term “calves and other milch and draught cattle” was given a liberal interpretation so as to include all concerned animals under its ambit. This interpretation is in consonance with Article 51A(g), which casts a duty upon the government and citizens to show compassion towards all living beings.

Interpreting the Statement of Objects and Reasons of the Parent Act

In order to determine the true intention of the State Legislature, the court analysed the Preamble of the Act and the relevant provisions. The court was required to do so due to the issue pertaining to the interpretation of the Statement of Objects and Reasons for determining. It is an interesting point to note that the High Court had not considered this issue while giving its decision, and neither did it consider the preamble or statement of reasons of the 1954 Act (parent Act). It was held in the case of State of West Bengal v. Union of India (1964) that the Statement of Objects and Reasons should be considered in order to determine the background and prior circumstances that led to the enactment of a Statute. In this aspect, it was also held in Mohd. Hanif Quareshi v. State of Bihar, (1959), “it is accepted, and the courts must presume that the legislature understands and correctly appreciates the needs of its own people, that its laws are directed to problems made manifest by experience and that its discriminations are based on adequate grounds.”

Hence, it can be said that the courts have the final say in determining whether a law is constitutional or not. It is an irrelevant consideration. Even if the legislature recognises the public interest by passing laws, it must be the courts that have the final say. The court would begin by determining whether the restrictions imposed are reasonable, especially in cases where the facts in the Preamble and the Statement of Objects and Reasons are reasonable and are in support of the creation of the statute for achieving a desired objective. It is evident that the purpose of legislation or an ordinance, for that matter, that makes a significant policy decision has to be determined by the legislature alone, and it cannot be challenged on this sole ground. The statute can only be challenged if the objects and the provisions of the Act are not in consonance (that is, the Act is a colourable legislation).

Interpreting reasonable restriction for Article 19(1)(g)

Article 19 has been interpreted time and again; however, our concern for the purpose of the present case is only with respect to the interpretation of the term “restriction”. In various cases, the Supreme Court was called upon to interpret the term “restriction” under Article 19. The interpretation of “restriction” was one of the main issues, and it was important to interpret it correctly. There are three established interpretations with respect to the term “restriction” that are related to the issue at hand:

In the case of Madhya Bharat Cotton Association Ltd. v. Union of India (1954), where many dealers were prohibited from participating in their regular business, it was held that the limitation was reasonable given the circumstances, and a complete ban was acceptable.

However, in this case, i.e., of a certain breed of cow, there is a complete ban on their slaughter. Butchers and slaughterhouses are allowed to slaughter livestock or cattle other than those specified in the Act. Hence, it does not amount to a complete prohibition. Further, if a complete ban meets the criteria of being reasonable in the best interests of the public, which is met in this case, it will be considered reasonable to impose it. Hence, the ban on the slaughter of cows is only a restriction rather than a prohibition, as it does not completely prohibit the butchers or other concerned groups from carrying on their business, rather, it is merely a restriction.

Bans and public interest

Cows play a very important role in India’s cultural and religious heritage. Cows are even considered sacred in Hinduism, which is a majorly practised religion in India. However, the complete ban on the slaughter of bulls and bullocks in the country has been a contentious issue. On the one hand, it is argued that the ban is unreasonable and not in the public interest, but on the other hand, it is also argued that the slaughter of such animals helps by contributing to the Indian economy.

However, to arrive at a decision, the court examined the record-keeping data and held that the public rather benefited from the ban. It is worth noting that cows and their progeny play a crucial role in India’s economy. For example, cow dung can be used as a natural fertiliser. It can also be used to create biogas, which helps reduce fossil fuel consumption and saving the environment. Cows, bullocks and other such animals act as binding forces and help preserve the equilibrium between agricultural and economic sectors.

India is primarily an agriculture-based country, and animals like cows are important for various purposes, not limited to milch and draught. While cows hold religious and cultural importance, it is to be noted that the slaughter of cows is not an essential religious practice in Islam. The Supreme Court in State of West Bengal & Ors. v. Ashutosh Lahiri (1995) has held that Muslims who kill animals for religious purposes on Bakrīd are not limited to slaughtering cows as the only exclusive means of performing the said practice. That is to say that for one of the religious rituals that Muslims perform on Bakrīd, the slaughter of cows is neither necessary nor obligatory. Hence, the ban is not encroaching upon the essential religious practices of Islam.

Considering these factors, it can be said that the ban is in the wider public interest of society. Finally, it is worth admiring that the Supreme Court has deemed the Bombay Animal Preservation (Gujarat Amendment) Act, 1994, constitutional, and this is a positive step towards the issue of cow slaughter in India.

Important cases relied on

State of Madras v. Srimathi Champakam Dorairajan (1951)

In this case, it was held that the DPSPs are inferior to fundamental rights. It was observed that the DPSP serves as a subset of fundamental rights. However, this observation has changed over a period of time, and the current view is that the DPSP and the fundamental rights are complimentary to each other, and both are on par with each other. 

Kesavananda Bharati v. State of Kerala (1973)

This case is a landmark in Indian judicial history and is also considered a milestone in the evolution of constitutional law in India. This case serves as a turning point in the interpretation of the Constitution. One of the aspects that was considered in this case, which is relevant in the current context, was that a balance should be maintained between the DPSP and the Fundamental Rights. For this purpose, a pragmatic and dynamic approach should be adopted by the courts in India. 

This case also upheld that the DPSP plays a crucial role in the governance of a country and serves as a guiding principle for the state to legislate upon. The court, in the same case, also held that Fundamental rights are not absolute and are subject to reasonable restrictions. It was also held that while interpreting a Fundamental Right and a DPSP, courts should inculcate a harmonious approach so as to give effect to both provisions. 

State of Kerala v. N.M. Thomas (1976)

The N.M. Thomas case reiterated the importance of DPSP in the Indian Constitution, based upon the principles established in the Kesavananda Bharati case. In this case, it was held that the State has a duty to implement these directive principles so as to ensure socio-economic freedom for all citizens. It was further observed that the role of these directive principles in shaping legislative and policy decisions that promote the welfare of society is integral in nature. In other words, the case highlights that these principles should be formulated by the legislature to ensure the welfare of society. 

Conclusion 

In conclusion, it can be said that the above analysis highlights the significant role played by the Supreme Court in maintaining a balance between fundamental rights and Directive Principles of State Policy within the framework of the Indian constitution. By applying the principle of harmonious construction, the court harmonised the constitutional provisions. Further, the judgment plays a significant role in highlighting the judiciary’s steady commitment towards safeguarding individual rights on the one hand and broader societal interests as enshrined in DPSPs, on the other hand. This delicate balance between protecting Fundamental Rights and promoting socio-economic justice reflects a subtle approach that seeks to create a just and equitable society.

Moreover, the case highlights the judiciary’s duty to ensure constitutional harmony, legal certainty, and the preservation of core constitutional values. By balancing public interest and individual rights, the court plays a crucial role in protecting the democratic principles and social objectives enshrined in the Constitution of India. Lastly, this case analysis stresses upon the judiciary’s role as a guardian of the values embodied in the Constitution entrusted with protecting the rights of individuals while also advancing the welfare of society at large.

Frequently Asked Questions (FAQs)

What is considered an Essential Religious Practice?

Essential Religious Practices (ERP) is a constitutional law doctrine which is used to ascertain whether a particular practice of religion is an essential practice for being a follower of that religion. The customs or rituals which are so inherently necessary for the religion that without following them, a person cannot be associated with that particular religion are only considered as ERP. For example, wearing a turban in certain sects of Sikhism is an essential religious practice, but putting a tilak on the forehead is not an ERP for the majority of followers of Hinduism. 

The application of this doctrine can be seen in various landmark judgments like Commissioner, Hindu Religious Endowments, Madras v. Shri Lakshmindra Thirtha Swamiyar of Shri Shirur Mutt (1954), State of Bombay v. Narasu Appa Mali (1951), Shayara Bano v. Union of India (2017) and many more. 

What is the principle of harmonious interpretation?

This is a principle of statutory interpretation. The doctrine of harmonious construction means that when there arises a conflict between different statutes or between the provisions of the same statute, in such circumstances, courts try to interpret them in a way that makes them work together smoothly instead of declaring other statutes void. The main aim of this doctrine is to give effect to all the provisions while maintaining the overall coherence and purpose of the law. 

What was the simplified timeline of the discussed legislation?

1948: The Bombay Animal Preservation Act was first time passed in the State of Bombay.

1954: The Bombay Animal Preservation Act was amended in order to make certain changes in the provisions of the original Act by the Bombay government.

1960: On May 1, 1960, the state of Gujarat was formed when it was separated from the state of Bombay. The separation was based on linguistic grounds. 

1961: Gujrat government adopted the Bombay Act with the enactment of the Bombay Animal Preservation (Gujarat Extension and Amendment) Act, 1961.

1994: A major amendment was brought in by the Gujrat government in order to do away with the age restriction for slaughtering of specified animals with the enactment of the Bombay Animal Preservation (Gujarat Amendment) Act, 1994.

References


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Career opportunities as an in-house counsel in India

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This article is written by Adv. Priyanka. It is an exhaustive article shedding light on the career opportunities that an in-house counsel has in India along with the aspect of why working as an in-house counsel is better, the challenges that in-house counsel faces, related career prospects, skills required to be an in-house counsel and specific FAQs that law professionals must know in relation to the career opportunities as an in-house counsel in India.

Table of Contents

Introduction 

The legal guardian of an Indian company, the person who helps the companies to sail their ship smoothly without facing any legal hurdles and ensures all the legal compliances, drafts and reviews contracts, is the in-house counsel. The real legal superhero behind the door.

Want to know how to find an in-house counsel job in India, how is an in-house counsel job different from those lawyers working in law firms, whether in-house counsel really a nine-to-five job and various other details about in-house counsel? Watch this webinar to learn how to succeed as an in-house counsel and get answers to all your questions.

Who is an in-house counsel 

The CEO of Reebok once made a witty remark to his in-house counsel, “I hate lawyers but not you, you don’t count.” Does this mean that in-house counsel are different from advocates? Who is an in-house counsel? Are they similar to practising advocates or just corporate employees? What are their roles and responsibilities?

Starting with, who is an in-house counsel? An in-house counsel is a lawyer who is not working in a law firm or doing his or her practice but rather working for a company, government agency or any other organisation. This role helps the in-house counsel to develop an in-depth knowledge of the organisation’s operations, its objective, and its working. Their role primarily involves advising and guiding the company they are working in on legal issues/matters.

A company doesn’t consist of only one in-house counsel handling the entire company’s legal matters/issues but there is a team behind it! India Business Law Journal conducted In-house Counsel Awards 2023-24 and the best in-house legal team of the year was the Legal Risk Management Team at YES Bank. The in-house legal team contributes to the success of the company and plays an important role in ensuring that the company’s operation is within the boundaries set by the law.

Is this the right time to become an in-house counsel

Michael Coates, Senior Vice-chair of IBC Corporate and Corporate and Chief Ethics & Compliance Officer at Shell plc said, “In years gone by, many in-house counsels left it to the law firms to negotiate their transactions, but now we are seeing in-house counsel as key members of the negotiating team and, quite often, leading deal negotiations”.

Yes, this is the right time to become an in-house counsel in India because of the following reasons:

Increasing jobs

In-house counsel has extensive knowledge about the corporate culture and the legal framework applicable in the companies and provides extensive strategies to face the potential legal risks. The Association of Corporate Counsel has said that India has one of the world’s largest and fastest-growing in-house populations. There were almost 12000 in-house counsels in 2023.

Regulation of economy

The Indian economy is being formalised, regulated and digitised therefore the requirement for in-house counsel is increasing. The regulatory compliances for companies are getting updated and more contracts are being signed.

Work-life balance

We all have started giving priority to our health but thinking about work-life balance in litigation is a dream. According to the survey done by Legally India, about 72% of the in-house counsels have better work-life balance than those lawyers working in law firms.

Roles and responsibilities as an in-house counsel in India 

About 20 years back, the work of an in-house counsel was confined to ensuring regulatory compliance and other regular matters like attending/appearing before the courts or tribunals. However, in the present time, factors like continuous upgradation in technology and globalisation have made the companies more complex which has broadened the role of in-house counsels. For example, when a company plans to establish its new business line or acquire a new business, it is the in-house counsel who steps in with the legal knowledge about the rules, regulations and other legal compliances that need to be fulfilled. An in-house counsel can be said to be the hero behind the curtains and the backbone of the company. 

Apart from being a go-to legal professional for all legal matters be it drafting, appearing before the Hon’ble courts or tribunals and staying up-to-date with regulatory changes, the following are the roles and responsibilities of the in-house counsel:

Risk management

Looking after the interests of the company is one of the important responsibilities of an in-house counsel. It includes identifying, analysing and developing strategies to mitigate the legal risks that can affect the company’s operations and goodwill. To manage the risk, the in-house counsel should be proactive and understand the functioning of the business, the legal rules and regulations and the external factors as well. 

Let us understand this by an example, consider yourself as an in-house counsel of a company which deals with chemicals. In the company, your role will be to analyse, identify and develop strategies for mitigating the possible legal risks. One of the risks you identified is that a certain chemical used in your company is subject to strict compliance with the laws, especially environmental laws. In the event of a breach of the laws the company will have to be fined or depending on the nature can even lead to the closure of the company. Here are some risk management strategies you might develop:

  • Lay down specific and clear guidelines to handle and dispose of dangerous chemicals.
  • Stay abreast with the laws and legal compliances, so that they can be effectively and without any delay complied with.
  • Set up a tracking system to evaluate the company’s energy consumption, waste production, water pollution and other key environmental metrics.

Dispute resolution

It means solving a conflict or disagreement between the parties in an amicable and peaceful manner. An in-house counsel while resolving such conflicts or disagreements must keep in mind that the relationship between both parties is maintained and there is a win-win situation for both parties and the cost involved should be minimal. The dispute can be resolved through mediation, arbitration, negotiation and litigation.

Consider yourself as an in-house counsel of a manufacturing company. Your company entered into a contract with ABC company for delivery of raw materials. However, there arose a dispute due to a breach of agreement where the supplier claims that your company did not make the payment timely even after delivery of the goods while your company states that the quality of the raw material delivered was not good therefore, the payment was not made. Your course of action to solve this dispute will be:

  • A detailed review of the contract between the parties along with the raw materials delivered. This will help you understand and analyse the main issue of the dispute and the relevant clause which is against/for.
  • Rather than directly going before the court, you will first communicate with the supplier and try to resolve the dispute amicably. Negotiation is the tool!
  • If you are not able to negotiate, suggest arbitration or mediation where a third person will help the parties to settle the dispute.
  • Lastly, if arbitration or mediation also fails, file a case before the relevant court. Herein you need to minutely analyse all the evidence, clauses and identify the relevant regulations/rules in your company’s favour. You will be drafting the application and attending the hearings.

Contract management

Another responsibility of an in-house counsel is to oversee the contracts that the company is entering. Starting from the drafting of the contract and execution (not to forget termination) of the contract, an in-house counsel takes care of every minute detail. Suppose you are an in-house counsel of an IT company; your company and ABC company enter into a contract to develop a website. Your course of action for contract management will be:

  • The first thing would be drafting the contract. While drafting you will ensure to incorporate all the important clauses like the scope of work, breach of contract, payment schedule, timelines etc. The words and the legal terms that are used in the contracts play an important role, therefore, the contract should be drafted with utmost care and diligence.
  • Once the contract is drafted, a thorough contract review is done to ensure all the clauses are drafted correctly, that there is no ambiguous language etc.
  • Then, after negotiations the contract is finalised and all set to be signed by the parties. Here the role of the in-house counsel is to seek necessary approvals (if any) for executing the contract.
  • The next step is the implementation of the contract wherein the in-house counsel will be working together with the team to comply with every provision of the contract.
  • Once the project is complete, ABC company has two options. Either they can renew their contract if they like the work of your company or they can terminate the contract if they are not satisfied with the work. Nevertheless, the contract can also be terminated in the middle of the project. In both cases, the clause mentioned in the contract needs to be complied with.
  • Lastly, all the documents related to the contract must be retained. An in-house counsel maintains all the documentation.

Regulatory compliances

Criminal litigation

An in-house counsel is responsible for complying with all the relevant rules, regulations, codes and guidelines as laid down by the regulatory bodies and the government authorities. An in-house counsel working in the food industry must adhere to various regulations governing the food industry. The following steps must be taken by the in-house counsel to ensure timely compliance are done:

  • The first step should be to understand the food industry, the laws and the compliances issued that are applicable to the industry. Some of the laws applicable to the food industry are the Food Safety and Standards Act 2006, Food Safety and Standards (Laboratory and Sample Analysis) Regulations 2011, Trademark Act 1999, etc.
  • The next step will be to check if your company has been complying with the necessary laws. This can be done by checking if relevant licences (import/export, manufacturing etc) and approvals have been taken and necessary forms (Form D-1 for annual return etc) have been filed in a time-bound manner.
  • Working closely and monitoring the compliance team and the quality assurance team ensuring that the safety standards are maintained.
  • Reviewing and approving the product label and also the advertisement to ensure that they comply with the legal standards and nothing unethical or illegal is printed on the label or shown to the audience.
  • The government officials keep an eye on the companies and they can come for surprise visits to check if the standards are being maintained and complied with. Therefore, the in-house counsel must be prepared for it.
  • Lastly, keeping a record of every document (namely relevant applications, reports, forms receipt, audit register etc) is a must! This will help you in future in case any legal issue is raised regarding non-compliance.

Legal duties

The main responsibility of an in-house counsel is to safeguard the company by preparing measures to prevent litigation in future and continuously monitor the activities of the company. Talking about litigation, it is always good that an in-house counsel tries to avoid litigation in cases where there is a dispute or disagreement between the company (he is working in) and a third person (vendor, government, supplier, customer etc.). But, we also know this might not always be possible. In the cases where litigation can’t be avoided, an in-house counsel must get ready for the legal battle in the court. In this case, an in-house counsel’s responsibilities include drafting the applications, affidavits, written statements, counter-affidavits, evidence collection, negotiations and appearing before the courts.

Maintaining an ethical culture

“Fostering a strong ethical culture is more than a responsibility for business today.” Wondering how an in-house counsel can maintain an ethical culture? 

Below listed are some ways through which an ethical culture can be maintained in the company and in its business operations:

  • There should be a set of guidelines and policies showcasing the company’s values and principles. These are to be drafted by the in-house counsels who will ensure that all the relevant points like sexual harassment, bribery, causing disturbance, corruption, penalties, conduct of employees and employers etc are included in it.
  • Companies should organise training programmes in the company to make the employees aware of ethical issues, code of conduct, reporting mechanisms for ethical violations, whistleblower policy, etc.
  • The in-house counsel being a legal professional should be disciplined and comply with all the regulations laid down. Being the backbone of the company, in-house counsel 
  • Monthly/quarterly checks should be conducted to ensure that the guidelines are being followed and to identify if any area needs to be strengthened. Feedback can also be taken from employees. 

Educational qualifications required to become an in-house counsel in India

The basic qualification that is needed to become an in-house counsel is the completion of an LLB degree from an accredited law school/university. Gaining relevant experience through internships can help in securing a position as in-house counsel. Furthermore, continuous learning is the key to upgrading yourself and advancing your professional development through various online courses, diploma courses in corporate law, attending legal conferences etc.

The focus while studying law should be on corporate law and contract law, as these laws are commonly used in companies. One can also do a masters in corporate law for an in-depth understanding of the company’s structure and the laws that apply to companies.

Key legislation for in-house counsels

Every decision taken by the company has a legal impact and an in-house counsel must ensure that the decision of the company is legally correct. The in-house counsel is the legal guardian of the company. From knowing the compliances in company law to the complex tax laws, your domain should not be restricted! Here are some basic laws that an in-house counsel should know:

The Companies Act, 2013

The Companies Act, 2013 regulates the formation and functioning of companies and lays down the rights, duties and liabilities of the company and its members. Imagine yourself as an in-house counsel and you need to draft an agreement for a new venture of the company, before drafting the agreement you need to know the relevant sections which will be applicable and the relevant compliances with the act.

Intellectual Property laws

The laws relating to IPRs provide legal protection to the creative mind by providing them an exclusive right to safeguard their creation. An in-house counsel has to ensure that the company’s products are protected and not prone to infringement and misuse therefore, having knowledge about the Intellectual property laws which provide what work kind of protection is given by patents, the procedure for registration of trademark, infringement and remedies.  Some of the legislations that the in-house counsel should know are the Copyright Act, 1957, Patent Act, 1970, etc.

Consumer Protection Act, 2019

This Act is a shield for consumer rights. In-house counsels need to strictly follow the Consumer Protection Act, 2019. For instance, while introducing a new product in the market, the in-house counsel has to ensure that the labelling is done in accordance with the law, the advertisement is legally correct etc.

The Indian Contract Act, 1872

Without a contract, no company can run smoothly. It defines the rights, obligations, and liabilities of parties, how a contract can be terminated and the consequences in case of breach of contract. An in-house counsel has to draft, review and negotiate contracts, understand the legal principles in the event of a breach of contract and comply with the relevant laws and regulations as per the Indian Contract Act, 1872.

The laws are not limited to these four. The in-house counsel should also have knowledge about employment laws, environment laws, technology laws, data protection laws, competition laws etc.

Career path of an in-house counsel in the Indian corporate sector 

The Indian corporate sector offers various career opportunities for an in-house counsel across a wide range of industries. Here are some of the industries where an in-house counsel can work in:

Pharmaceuticals

According to the Reserve Bank of India (RBI), the pharmaceutical industry in India is about 2% of India’s GDP. The role of in-house counsel in the pharmaceutical industry is to provide legal advice and represent the company before courts/tribunals on legal matters. Apart from this, regulatory compliance, various approvals for drugs from government authorities and Intellectual property issues will also be handled by the in-house counsel. The in-house counsel should understand in detail, the pharmaceutical industry, the compliances they need to follow and the laws applicable to the industry. The compliance standards are very strict and breach of those standards can lead to heavy penalties. Some of the laws in which the in-house counsel must be well versed include the Drug (Price Control) Order, 1995, Trade Marks Act, 1999, Drugs and Cosmetics Act, 1940, Drugs and Magic Remedies (Objectionable Advertisement) Act 1954, etc.

Technology

India’s technology sector is booming. Currently, the evolution of Artificial Intelligence has made a significant impact on the technology. The minister of State for skill development entrepreneurship and electronic and information technology has said that soon a draft for artificial intelligence will be there.  

An in-house counsel is responsible for contract drafting, data privacy compliances, licensing agreements, cybersecurity and data breach attacks, intellectual property protection and creating internal policies. Some of the important laws related to the technology industry that in-house counsel should be well versed with are the Information Technology Act, 2000, the Digital Personal Data Protect Act, 2023, the Information Technology (Intermediary Guidelines and Digital Medica Ethics Code) Rules, 2021 etc.

Insurance

The insurance sector is regulated by the Insurance Regulatory and Development Authority of India (IRDAI), which has laid down certain licensing requirements, product guidelines and regulations to govern the insurance sector. An in-house counsel has to look after all these requirements/guidelines and comply with them. Other works include policy documentation and review, claim management, litigation for and against the insurance company, and advice on legal issues relating to consumer protection laws, unfair trade practices and market standards.

Telecommunication

The Indian telecommunication sector has become the world’s second-largest telecom market. Since the industry is increasing, so are the legal issues. These legal issues are handled and resolved by the in-house counsels. The role and responsibilities of an in-house counsel include drafting and reviewing the agreements, handling litigation and legal disputes related to licensing, data security and privacy concerns, network infrastructure, consumer rights etc. The regulations that the in-house counsel should have knowledge about are the Information Technology Act 2000, The Telecom Regulatory Authority of India, 1997, the National Digital Communication Policy, 2018 and other relevant acts.

Food

Nestle India Limited, ITC Limited, Hindustan Unilever Limited and Britannia Industries Limited are some of the food industries that hire in-house counsels to ensure that their company is complying with the regulations imposed by the Food Safety and Standards Authority of India and other regulatory bodies, address requirements related to packing, labelling hygiene standards, provide legal guidance on product development (labelling standards, allergen declarations etc), protecting the trademark, copyright and patents of the company’s products, draft contracts and negotiate with the third parties, advice on legal issues regarding the advertisement and marketing campaigns, manage litigation for and against the company and to stay abreast with the emerging legal laws, regulations and guidelines.

Energy

Companies like NTPC Limited, Tata Power and Oil and Natural Gas Corporation hire in-house counsel to look after all the legal compliances issued by the Ministry of Power, Petroleum and Natural Gas, Central Electricity Regulatory  Commission and state electricity regulatory commissions, assist in the negotiation of project financing transactions for energy infrastructure projects (including pipelines, power plants etc), draft and review various agreements including transmission agreement joint venture agreement, power purchase agreement etc, comply with the environment laws and regulations which govern the pollution, waste and emissions standards, conducting due diligence and negotiations for land acquisition projects

Real estate

Did you know the real estate sector is expected to reach a market of one trillion dollars by the end of 2030? The role of in-house counsel in the real estate industry includes handling all the legal aspects of land acquisition for real estate projects (due diligence, negotiation of sale deed, drafting sale deed, compliance with the land laws), drafting and negotiating various types of agreements including sale agreement and lease agreement, obtaining necessary approvals for land development and construction projects and handling all the legal disputes. An in-house counsel should know about real estate laws like the Real Estate (Regulation and Development) Act, 2016, Transfer of Property Act, 1882, the Registration Act 1908 etc. DLF Limited, Godrej Properties Limited and Prestige Group are some of the real estate industries that hire in-house counsels.

Media and entertainment

As an in-house counsel in the media and entertainment sector, your role will be drafting various contracts and agreements like production contracts, director agreements and actor agreements etc, ensuring intellectual property rights are protected, advice on legal issues related to compliance, music licensing etc, ensuring compliance with government agencies like Telecom Regulatory Authority of India, Board of Film Certification etc. Moreover, you will be taking legal action against piracy, infringement of copyright, unauthorised use of logos, trademarks etc. The sector will bring new legal challenges and opportunities every day.

Companies like Walt Disney, Reliance Entertainment and Sony Pictures Network India do hire in-counsels to manage their day-to-day legal affairs. Keep an eye on their website for any such vacancy!

Automotive

Maruti Suzuki India Limited, Mahindra & Mahindra Limited and Tata Motors Limited are the leaders in the automotive sector. Working in these companies will give your career good growth.

As an in-house counsel, your responsibility will be to ensure the company’s automotive products comply with the safety standards and regulations, handle the legal disputes arising due to product defects and warranty claims and ensure compliance with the regulations imposed by the Ministry of Road Transport and Highways,  Bureau of Indian Standards and other regulatory bodies, negotiating and drafting of agreements, taking approvals for licensing from government, complying with the environmental laws governing automotive sector and staying updated with the government policies on electric vehicles etc

Why choose to become an in-house counsel

One of the Association of Corporate Counsel members rightly said “The beauty of in-house counsel is that every day brings new challenges and experiences”.

We all have seen that the majority of students after completing their law degree, prefer going to a reputed law firm rather than going in-house. But they don’t know that choosing to become an in-house counsel offers various advantages:

No billable working hours

The law firms generally charge their clients based on the time they have spent working on the case (including drafting, researching, attending meetings, negotiating and representing clients in the court). Billable working hours are a key performance indicator of the lawyers working in law firms. They have to meet monthly or quarterly billing targets. Depending on the billing hours, they are compensated and given promotions. Don’t you think this creates pressure on the lawyers and might lead to frustration among them?

However, an in-house counsel doesn’t have any such billable working hours system. The company pays their in-house counsel by monthly salaries/benefits/bonuses.

Work-life balance

One of my friend’s work experience working in a law firm. According to him, working in a law firm is pretty tiring. He never used to come back home at 6 pm (that’s when his official office timings were) and always ended up going back home by 8 pm because of the workload. I have even heard of my friend staying back at his office due to workload and deadlines and working on weekends as well. On the contrary, some of those who are working as in-house counsel have fixed working hours (except when there is a workload), don’t work on weekends, and have flexible work arrangements.

Career progression

As a lawyer in a law firm with zero experience, you join as a junior associate, get promoted to a senior associate and then a direct partner (that’s not even confirmed). Whereas, in companies, the positions are in-house counsel, senior in-house counsel, specialist, general counsel, Chief Legal Officer and Board member (may be appointed as). The career progression as an in-house counsel is broader and can be obtained easily as compared to law firms.

Variety of work

If you are under the impression that becoming an in-house counsel will restrict your knowledge and you will be working only under one law, then you are WRONG. The companies have more diverse and complex transactions to work on. From contract drafting to negotiation, regulatory compliances, risk management and dispute resolution everything is handled by an in-house counsel.

Overseas assignment

Working on overseas assignments as an in-house counsel can broaden their practical experience and also build networks. In India, many big companies operate globally. Working as an in-house counsel in these companies can enhance your knowledge about international business operations and legal frameworks. Moreover, this will help in professional growth and development. Many companies in India also send their in-house counsel outside India to work with their client on the legal assignment where the client lives. How cool is that?

Challenges faced by an in-house counsel in India

As we all know and have seen there has been a significant change in the role of in-house counsel in India. Earlier their role was limited to providing legal advice. However, today, the whole company is managed legally, and safeguarded against legal risks, and strategies are planned to mitigate potential legal risks. Since their role has broadened, so have the challenges that they might face.

Complex legal environment

The Indian legal system has numerous laws, rules, regulations, and guidelines laid down for the regulation of businesses. It sometimes becomes a task to comply with all of them. Moreover, these laws and regulations are continuously being changed and amended, making it difficult for the in-house counsel to stay up to date with them. Keeping abreast with the legal developments and implementing them in the company is important but can be a time-consuming process.

Overseeing litigation

The in-house counsel is so engrossed in ensuring that the company is complying with all the regulatory compliances and preparing strategies for potential legal risks and internal legal compliances that they forget to manage the legal disputes and litigation matters, including outsourcing lawyers for litigation matters, preparing written statements, controlling costs etc.

Technology transformation

Remember during the time of COVID-19, how hearings went online and lawyers faced problems while attending the hearings? Well, that’s true in the case of in-house counsels as well. They avoid changing and adapting new technologies, and they prefer to spend hours doing a simple job that can be done in less time using software. There are many software that are not easy to learn and learning to use these requires a significant time.

Managing external lawyers/law firms

There are a lot of cases pending in the court against companies. It is practically not possible for the in-house counsel to attend them all. Therefore, external lawyers/law firms are hired to manage their litigation matters. However, many times confusion/dispute may arise between these two parties due to a lack of communication, billing practices, unexpected expenses, quality of work etc.

Strategies to survive and thrive in times of uncertainty and change

There is no denying that in-house counsels play a pivotal role in companies/organisations dealing with complex legal matters. However, the current environment is changing and is uncertain like competition, layoffs, downfall in business, etc. The question that arises here is, what can an in-house counsel do to survive and thrive amidst uncertainty and change? Here are some strategies that can help an in-house counsel to strive and thrive in times of uncertainty and change:

Stay informed

An in-house counsel must stay updated about legal developments, emerging trends, and regulatory compliances. For example, if the company is a pharmaceutical company, the in-house counsel must constantly keep an eye on the Food and Drug Administration regulations/rules amendments so that if there is any amendment in the regulations/rules, the same can be complied with the existing drug or new drug process. 

Embrace the change positively

The uncertainty and change can be due to our decisions, imposed by external forces or a combination of both. No matter what the change is, an in-house counsel must be prepared for it. With change comes opportunities, and if in-house counsel has the right mindset, then those hard times will sail away swiftly.

Teamwork

There are situations when you are alone and as an in-house counsel, you are not able to handle it or find a solution to it. So, what do you do in such a case? It is simple. Work as a team as it is much easier to face and deal with such situations in a team rather than alone. You can:

  • Do team meetings
  • Keep things transparent between each other
  • Ask each other for help whenever needed
  • Always be ready to help
  • Be kind to each other

Enhance your skillset

Continuous development of your skill set is important too! As an in-house counsel, you should broaden your skill set not only in the area of your expertise but also in areas where you lag and the ones that are emerging like cyber laws. Let us explain this by an example, if you are a lawyer specialising in commercial contracts, you can learn data privacy. You should not restrict yourself to the work that is given to you or your legal department because you never know what new may come out of the blue. 

Flexible approach

There is a Spanish proverb, “Stubborn men make lawyers”. How many of you agree that lawyers are stubborn? Adapting new changes in the legal system is not accepted by many of the lawyers. However, in-house counsels should always be ready to adapt to new laws/legal compliances. For example, during the COVID-19 pandemic, a few of the in-house counsels and their teams smoothly adjusted the clauses related to the COVID-19 pandemic after discussing it with the other party. 

Enhance your soft skills

In-house counsel has to interact with the company’s clients. Therefore, they must know how to present their knowledge. You can always control how you respond to situations. An in-house counsel must have the following soft skills (the list is not exhaustive):

  • Problem-solving
  • Proactive
  • Active listening
  • Good communication skills
  • Flexibility
  • Responsibility
  • Working well under pressure
  • Positive attitude

Be practical

All the points I have discussed above are fine, but what comes on top is “being practical”. Like, when you as an in-house counsel are negotiating a contract at a time when the economy is changing and emerging, the first thing that you need to prioritise is the clauses of the contract, they should not only be in your favour but the third party should also be satisfied with it. Win-win situation! You should be practical while giving legal advice and always be practical with your time (every second counts).

Throughout the journey as an in-house counsel, you will face many challenges, but each challenge will make you strong and allow you an opportunity to grow (it depends on how you handle the challenge!).

Tips for aspiring in-house counsel

Are you planning to start your career as an in-house counsel, maybe shifting your career from litigation to in-house counsel or maybe looking for some tips that can help you become a successful in-house counsel? Entering the world of corporate law as an in-house counsel is not easy but as rightly said by Winston Churchill, “Continuous effort – not strength or intelligence- is the key to unlocking our potential”. If you are confident, diligent, always ready to learn, a practical thinker and adapt to the environment easily, you will excel as an in-house counsel.

Here are some tips for an in-house counsel:

Basic knowledge of finance

You must be wondering why finance. How is this related to the legal field? Well, business has a language which is numbers. Don’t worry, you don’t need an MBA or finance degree for this, just a basic knowledge about finance is enough. But the question is what is termed as basic knowledge and how can one have it? 

Knowing how to read balance sheets, profit and loss statements, cash flow statements and financial terms like non-performing assets, return on assets, debt financing, corporate guarantee, letter of credit, consortium lending, syndicate loan etc. Regarding how to learn, you can easily learn through YouTube and of course, you will gradually learn as you work.

Be curious

Debasish Mridha rightly said, “Be curious! Curiosity of the mother of all knowledge”.  Learning never ends. You should never be afraid to ask questions and seek feedback. Asking questions and seeking feedback is not a negative thing in corporate culture, rather, it is a gift.

For example, in your team meeting, your senior said that the company is planning to enter into the food industry by opening a subsidiary and the details regarding this will be shared in the next meeting. As an in-house counsel, before the next meeting date, you should research the food industry laws and regulations, how to open a subsidiary, what forms will be filed, what compliances need to be taken care of while opening a subsidiary, the potential challenges that may be faced and the penalties for non-compliance (the list will be never-ending once you start your research). Since you have done research, you might have a lot of queries in your mind, which can be asked in the next meeting when your seniors give you the details of the project.

Build your network/relationships

This tip is definitely going to help you in future if you implement it! You should not limit yourself but make networks and build good relationships with your seniors and colleagues. It is an investment, my friend.

While you are searching for an in-house counsel job, you can connect to legal professionals through LinkedIn.

And if you are working as an in-house counsel, try to become an invaluable asset to your seniors (that really works). Learn about them, take advice from them, ask others who have worked with them or for them and try to incorporate all the good points that you have noted down while doing this research.

Build relationships with your business clients. Before going for a meeting with the client, do a little research about the client’s business. Understand their legal problem, the challenges faced by them and don’t forget to build a friendly relationship with them.

Build relationships with your colleagues in your legal department. Don’t restrict yourself. Build your image amongst your colleagues as someone who is polite, helpful, and friendly. 

With everyone you build relations with; you must make it clear (through your actions or words) that you are there for them whenever they land in trouble.

Understand your role

A very basic thing yet very important tip. You must know what your role in the company is and why you have been hired. Maybe the workload of the company is more and they needed a legal professional to help them or maybe a person had left the company (due to personal reasons or unsatisfactory performance) and you have been hired to replace them. Ask your colleagues (but don’t sound desperate while doing so).

The main role of the in-house counsel is to safeguard the company against potential risks, comply with all regulatory compliances, appear before the courts/tribunals, draft applications/written statements/contracts, do negotiations and give legal advice. However, you will not be burdened by all the work, therefore it is important you understand what your role is.

Be practical and clear

Leave the practice of saying NO. There is always a way out of the problem, it’s just that you have to go into detail and analyse it. Your senior won’t be impressed if you outrightly say no to the question they are expecting a solution to. Take time, do your research and even if the answer is no (legally) come up with an alternative solution.

Use simple and clear language while drafting legal documents or communicating with others. Communicate in such a manner that the other person can understand quickly. Avoid the habit of writing long emails or giving long legal advice. Further, while drafting any legal documents (even email) avoid using jargon, words like likely, might, possible etc.

Understand the company’s culture

Learn about your company’s and the legal department’s goals and values. If you are confused, clarify regarding the same from your colleague. Understand the product of the company, find out who are the competitors, what strategies are used by the company and other relevant information.

Improve your soft skills

At all times an in-house counsel should improve their soft skills including communication, problem-solving skills, leadership, time-management, critical thinking etc. Just remember that no one is perfect and learning is endless. The in-house counsel has to interact with the clients and appear before the courts. Therefore, it is very important for them to have a good command of communication.

Continuous learning

We all must have heard, “The beauty of learning is that no one takes it away from you”. The more you get knowledge of the related laws, regulations and guidelines of the industry that the company is working in, it will be beneficial for you. By continuous learning is to enhance your knowledge by enrolling in relevant legal courses, attending conferences, webinars and seminars which are related to your legal field, stay updated about the latest legal developments even though it is not related to your specialisation (extra knowledge is never bad and you never know when it might come to use).

Conclusion

Working as an in-house counsel in India is a boon as well as a bane. There are various challenges that in-house counsel face but it’s a rewarding profession, you get to make a significant impact on the company and its success. The in-house counsel is a valuable asset for the company which acts as a pillar against the external forces and safeguards the company from legal risks. The role includes advising the company on legal issues, handling litigation matters, managing legal risks and complying with the law. The Indian economy is growing and so is the need for in-house counsels, making way for aspiring legal professionals.

Frequently Asked Questions (FAQs)

What is the difference between communication skills and negotiating skills?

Negotiation skills are a subset of communication skills. To explain in simple words, communication skills are all about the way you speak and present your words and expressions, whereas, in negotiation skills, you use those words and expressions to convince someone of your viewpoint. Both of these skills are closely connected with each other.

What are the roles and responsibilities of an in-house counsel?

In today’s time, the roles and responsibilities of the in-house counsel are not just restricted to providing legal advice but also includes:

  • Drafting and reviewing contracts;
  • Staying abreast with the latest laws relating to employment, contract, company, insurance etc.;
  • Possessing a business acumen to provide tactical insights;
  • Ensuring regulatory compliance;
  • Expertise in intellectual property including patents, copyrights and trademarks;
  • Performing contract negotiation;
  • Appearing before the courts or tribunals;
  • Resolving disputes through arbitration or mediation; and
  • Developing strategies to mitigate potential legal risks.

What qualifications are needed to work as an in-house counsel?

The main qualification that you need to work as an in-house counsel is a law degree from a recognised university. You can also go for a master’s degree in business law or any other diploma or certificate course that enhances your knowledge about the laws related to the companies. However, pursuing a master’s or diploma is not mandatory.

What type of industries hire in-house counsel?

Industries such as entertainment, healthcare, manufacturing, real estate, finance, telecommunications etc. hire in-house counsels. Nevertheless, almost all types of industries require in-house counsel to safeguard them against legal attacks.

How can I get a job as an in-house counsel?

You can secure a job as an in-house counsel by:

  • Successfully completing your law degree;
  • Gaining relevant experience through internships or entry-level jobs in law firms or legal departments;
  • Building a professional network which can be done by attending seminars, conferences, legal events or connecting on LinkedIn or online forums;
  • Developing your drafting, researching, negotiating and problem-solving skills; and
  • Applying rigorously for jobs through the company’s website or LinkedIn job posts. 

What is the salary of an in-house counsel in India?

According to Ambition Box, the average salary of an in-house counsel in India is Rs 6.1 lakhs. You can get a detailed insight into the salaries of an in-house counsel in India here.

Why is being an in-house legal counsel important in a company?

In-house legal counsel is the backbone of the company. They act as a barrier between the external forces and the company against the potential legal risks and develop strategies to overcome/mitigate these risks. 

How to decide whether to work in a law firm or as an in-house counsel?

That’s a tough choice to make There are some points that you should consider before choosing the right career path:

  • What is your area of interest? For example, if you have an inclination towards mergers and acquisitions, you should work in a law firm whereas if you are interested in media law, choose to work as an in-house counsel.
  • Analyse the scope of growth. One of my friends started his first job in a boutique law firm wherein he learned a lot as there were fewer team members. It’s you who has to decide whether you want to go for a brand name firm/company or learn a multitude to work in a small firm/company.
  • Analyse the roles and responsibilities of both positions. The role of in-house counsel is much broader than working in a law firm as an associate. 

How should an in-house counsel deal with potential legal risks?

The in-house counsel should have a volatile, uncertain, complex and ambiguous (VUCA) mindset to deal with the potential legal risks. Let’s take an example, go back to the time when the pandemic hit due to COVID-19, the #MeToo movement and gender identity awareness raised a plethora of legal issues. Currently, the booming artificial intelligence and cybersecurity are raising various legal issues. As our economy is continuously developing, such issues will rise and evolve every year. Therefore, it is very important that the in-house counsel has a VUCA mindset.

What are the advantages of becoming an in-house counsel?

The following are the advantages of becoming an in-house counsel:

  • No stress of billable hours;
  • Flexible work arrangements;
  • More exposure to advice and decisions;
  • Broader roles and responsibilities;
  • Complex nature of work, leading to enhanced learning.

Do companies hire recent law graduates as in-house counsel ?

Yes, the companies do hire recent law graduates who have the zeal to work as in-house counsel. For example, Hewlett Packard (HP) recruits law students to become a part of their legal department. Law graduates should keep an eye on the company’s website for such vacancies.

What are the career opportunities available for in-house counsels in India?

The in-house counsels in India have ample career opportunities across various sectors like banking, technology, food, media and entertainment, automotive, pharmaceuticals etc. The roles for which they are hired range from being a legal advisor to a general counsel, contract manager and contract specialist. However, the role depends on the number of years of experience.

How to prepare for an interview for an in-house counsel?

There are two things that you need to focus on while preparing for an interview as an in-house counsel. The first thing is to do good research about the company, the kind of business they do, its business model, the risk areas and its competitors. I think the more you know about the company and the relevant laws, the more you will be prepared for the legal questions that will be asked in your interview. Second, you should be well-versed in whatever you have written in your CV.

Which type of companies hire in-house counsel in India?

Many companies in India hire in-house counsel to handle the legal work. Some of the companies are engaged in finance, manufacturing, energy, entertainment, healthcare, technology, consulting etc.

What laws do I need to study as an in-house counsel in India?

The law that you need to study depends on which type of corporate sector you are working in. Like, if you are working in the media and entertainment industry you need to study legislation like the Copyright Act 1957, Trademark Act 1999, Information Technology Act 2000 and Cinematograph Act 1952. In general, you need to have a good command of the companies law, contract law, intellectual property law, environment law, property law and data privacy law. (This is not an exhaustive list of the laws)  

How should an in-house counsel stay updated with the emerging laws or amendments in the current laws?

The in-house counsel should attend seminars and conferences, subscribe to various legal newsletters, join legal Whatsapp groups, read a newspaper, subscribe to legal magazines and interact with colleagues and industry experts to stay updated with the emerging laws or amendments in the current laws.

How to find job opportunities as an in-house counsel?

Regularly visiting the career pages of the companies, networking with industry peers and recruiters, online job platforms like LinkedIn, Naukri.com and Indeed, joining WhatsApp groups sending job opportunities and references for colleagues or friends already working at the company are some of the ways in which you can find job opportunities as an in-house counsel.

What is the role of in-house counsel in startup and emerging companies in India?

The in-house counsel in startup and emerging companies in India provide legal advice, complies with all the necessary regulatory compliances, applies for trademarks, patents and copyrights (whichever is necessary), drafts all the necessary agreements, provides guidance on fundraising and laws governing such startups and companies.

Does an in-house counsel need prior experience in a law firm or corporate legal department?

It is not mandatory for an in-house counsel to have any prior experience in a law firm or corporate legal department. However, prior work experience will be advantageous for aspiring in-house counsels. Experience in various legal issues and practical knowledge of in-house counsel will be a valuable addition to the company.

How does an in-house counsel contribute to corporate governance?

Developing compliance programs and implementing them, conducting internal audits, conducting risk assessments ensuring that the company complies with the regulatory requirements and promoting an ethical culture in the company are some of the ways by which an in-house contributes to corporate governance.

Are there any specific educational qualifications required for being an in-house counsel in different sectors?

The basic requirement of an LLB degree from an accredited law college/university remains the same for every in-house counsel. However, some sectors or industries prefer the candidates to have specialised knowledge. For example, a real estate company would seek in-house counsel to have knowledge about the Transfer of Property Act 1882, Real Estate (Regulation and Development) Act 2016, Indian Stamp Act 1899 etc.

Is it mandatory for the in-house counsel to enrol themselves with the Bar Council of India?

It is not mandatory to enrol with the Bar Council of India to work as an in-house counsel. But there are some companies which hire in-counsel counsel to handle their legal disputes, especially litigation matters, in such cases, it becomes necessary to get enrolled in the Bar Council of India.

Do I need to do any specific legal course as an in-house counsel in India?

Yes, you can pursue your master’s or diploma in corporate law, intellectual property, or commercial contracts, as these courses will provide you with in-depth knowledge and skills relevant to the role of in-house counsel. Please note that it is not a mandatory requirement to pursue any course, but some companies are looking for lawyers with specialisations.

Reference


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Compulsory licencing under the Indian patent regime

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This article has been written by Divya Bansal pursuing a Diploma in Domestic & International Commercial Arbitration from LawSikho.

This article has been edited and published by Shashwat Kaushik.

Table of Contents

Introduction

“Avashyakta hi aavishkaar ki janani hai” is a common saying in India, meaning that “necessity is the mother of invention.” And whenever anything is invented anywhere in the world, it has to be protected from copying or unauthorised use. The solution to this challenge was to develop laws for the protection of intellectual property rights all over the world.

Understanding the meaning of Intellectual Property Rights (IPRs)

Intellectual Property Rights (IPRs) are a set of rights provided to the person or company who owns a set of intangible assets that include invention, creation, or any kind of creative work in the field of knowledge and wants to protect such assets from copying, outside use, reproduction or implementation without authorised consent.

Brief overview of Intellectual Property Rights (IPRs) in India

With the rapid pace of technological, scientific, and medical developments all over the world, India does recognise the importance of laws to protect intellectual property rights. As a signatory member of the WTO agreement on Trade-Related Aspects of Intellectual Property Rights (TRIPS), India has been constantly updating and developing several new legislations to meet the international obligation in regard to the protection of intellectual property rights. IPRs in India are governed by various laws, such as the Indian Copyright Act, 1957 (latest amended in 2012), the Trademarks Act, 1999 (latest amended in 2019), the Patents Act 1970, the Patents (Amendment) Rules 2023, and the Designs Act, 2000.

Importance of patents in encouraging innovation

A patent is an exclusive right granted to the inventor by the government to protect his invention from unlawful and unapproved copying, manufacturing, selling, or importing. The patent holder enjoys exclusivity on the usage of his invention and earns profits from that for 20 years from the date he filed for the patent. A patent holder can also grant the licence to others for the use of his invention in consideration of royalty or fees. Anything newly invented, if not patented, would be used freely by others and this would not bring any earnings or motivation to the inventor, so it is indeed important to protect the invention by getting a patent for it. It is an agreed fact worldwide that patents have increased the number of inventions in the fields of technology, bioscience, medicine, food, etc., which keeps inventors motivated as they enjoy exclusive rights, monopolies, and big earnings from licences and investors. Patents play a crucial role in encouraging innovation and fostering technological advancements. They provide inventors with exclusive rights to their creations for a certain period, offering several benefits that incentivize innovation.

  • Protection of intellectual property: Patents serve as a legal framework that safeguards the intellectual property rights of inventors. By granting exclusivity, patents prevent unauthorised use, copying, or imitation of inventions by competitors, ensuring that inventors receive due recognition and compensation for their efforts.
  • Financial incentives: Patents offer financial incentives to inventors and companies by allowing them to commercialise their inventions exclusively. The potential for profitable returns on investment encourages individuals and organisations to invest in research and development, leading to the creation of new technologies and products.
  • Market exclusivity: Patents provide market exclusivity, enabling inventors to establish a competitive advantage and secure a share of the market for their innovations. This exclusivity allows inventors to recoup their investment costs and generate profits, which further supports continued innovation.
  • Technology transfer and licensing: Patents facilitate the transfer of technology between inventors and companies. Patent holders can licence their inventions to other entities, leading to the dissemination of new technologies and their application in various industries. Licencing agreements also provide inventors with an additional source of revenue.
  • Collaborative innovation: Patents can promote collaborative innovation by encouraging joint ventures and partnerships between inventors, companies, and research institutions. The pooling of resources and expertise enables the development of more complex and groundbreaking inventions that might not be possible for a single entity to achieve on its own.
  • Economic impact: Patents contribute to economic growth and job creation. By fostering innovation and encouraging the commercialization of new technologies, patents stimulate economic activity and create employment opportunities across various sectors.
  • Public interest patents serve the public interest by ensuring that new and improved technologies are made available to society. The disclosure of inventions through the patent process contributes to the advancement of knowledge and the creation of a more technologically advanced and innovative world.

Patents are essential for encouraging innovation by providing inventors with protection, financial incentives, market exclusivity, and opportunities for collaboration. They play a vital role in driving technological progress, promoting economic growth, and benefiting society as a whole.

Introduction to compulsory licensing

Compulsory licencing is a legal provision where the government grants a licence to a third party, mainly for reasons of public interest or national emergency, to use the patent of the patent holder when he is unwilling to grant such authorization. This provision is mostly used in cases where it becomes difficult to access essential-use items or technology due to high prices or scarcity.

Legal framework for patents in India

The Indian patent regime has a journey of three phases: a period of colonisation, a period post Independence, and a period of globalisation.

Under British rule, the initial laws for patents were made and by the end of British colonisation in India, we inherited the Indian Patent and Designs Act, 1911.

In the Post-Independence period, on the recommendations of two committees: the Bakshi Tek Chand Committee in 1949 and the Justice Rajagopal Ayyangar Committee; India enacted the Patents Act, 1970. This law came into effect when there was a vast expansion of industrial growth, especially in the pharmaceutical industry, where Indian pharmaceutical and drug companies were exporting affordable medicines to different parts of the world.

After 1991, the Indian economy opened up globally. The liberalisation of industrial norms, import and export rules, etc. made India develop stricter patent laws and adhere to the WTO TRIPS agreement. During this phase, India brought various amendments to bring fundamental changes in product patents in technology, food, medicine, bioscience, and agrochemicals.

Explanation of the Patents Act, 1970

In Indian legislation, the patent system is governed by the Patents Act, 1970. This enactment aims to promote innovation, encourage inventions, and protect intellectual property rights. This act comprises 23 chapters with 163 sections in all. It provides for the criteria for patentability, procedures for filing and examination of patent applications, the rights and obligations of patent holders, compulsory licencing by the government, and remedies for infringement.

With scientific and technological advancement and to adhere to the guidelines of the Agreement of Trade-Related Aspects of Intellectual Property Rights (TRIPS) under the WTO, this Act of 1970 has been amended in 1995, 1999, 2002, and 2005.

ChapterNumberChapter TopicSection Numbers
CHAPTER IPRELIMINARY1, 2
CHAPTER IIINVENTIONS NOT PATENTABLE3, 4, 5
CHAPTER IIIAPPLICATIONS FOR PATENTS6, 7, 8, 9, 10, 11
CHAPTER IVPUBLICATION AND EXAMINATION OFAPPLICATIONS11A, 11B, 12, 13, 14, 15, 16, 17, 18, 19, 20,21
CHAPTER VOPPOSITION PROCEEDINGS TO GRANTOF PATENTS25, 26, 27, 28
CHAPTER VIANTICIPATION29, 30, 31, 32, 33, 34
CHAPTER VIIPROVISIONS FOR THE SECRECY OFCERTAIN INVENTIONS35, 36, 37, 38, 39, 40, 41, 42
CHAPTER VIIIGRANT OF PATENTS AND RIGHTSCONFERRED THEREBY43, 44, 45, 46, 47, 48, 49, 50, 51, 52, 53
CHAPTER IXPATENTS OF ADDITION54, 55, 56
CHAPTER XAMENDMENT OF APPLICATIONS ANDSPECIFICATIONS57, 58, 59
CHAPTER XIRESTORATION OF LAPSED PATENTS60, 61, 62
CHAPTER XIISURRENDER AND REVOCATION OFPATENTS63, 64, 65, 66
CHAPTER XIIIREGISTER OF PATENTS67, 68, 69, 70, 71, 72
CHAPTER XIVPATENT       OFFICE        AND       ITSESTABLISHMENT73, 74, 75, 76
CHAPTER XVPOWERS OF CONTROLLER GENERALLY77, 78, 79, 80, 81
CHAPTER XVIWORKING OF PATENTS, COMPULSORYLICENCES, REVOCATION82, 83, 84, 85, 86, 87, 88, 89, 90, 91, 92, 92A,93, 94, 95, 96, 97, 98
CHAPTER XVIIUSE OF INVENTIONS FOR PURPOSES OFGOVERNMENT99, 100, 101, 102, 103
CHAPTER XVIIISUITS CONCERNING INFRINGEMENT OFPATENTS104, 104A, 105, 106, 107, 107A, 108, 109,110, 111, 113, 114, 115
CHAPTER XIXAPPEALS TO THE APPELLATE BOARD116, 117, 117A, 117B, 117C, 117D, 117E,117F, 117G, 117H
CHAPTER XXPENALTIES118, 119, 120, 121, 122, 123, 124
CHAPTER XXIPATENT AGENTS125, 126, 127, 128, 129, 130, 131, 132
CHAPTER XXIIINTERNATIONAL ARRANGEMENTS133, 134, 135, 136, 137, 138, 139
CHAPTER XXIIIMISCELLANEOUS140, 141, 142, 143, 144, 145, 146, 147, 148,149, 150, 151, 153, 154, 155, 156, 157, 157A,158, 159, 160, 162, 163

Other than this statutory provision for patents there also exists a descriptive rulebook that provides updated guidelines for various procedures under patents by the name of Patents Rules 2003 which has been constantly amended.

Under Section 159 of the Patents Act, 1970 the Department for Promotion of Industry and Internal Trade the pursuant authority under the Ministry of Commerce and Industry has issued the Patent (2nd Amendment) Rules, 2024 intending to provide a uniform adjudication process and empower the Adjudicating Officer.

Criteria for granting patents

Section 3 in Chapter 2 of Patents Act 1970, discusses what is not an invention. It gets difficult to list out all those things that are inventions, but there is a definition of what cannot be an invention and this section provides for the criteria for obtaining a patent for a valid invention. The section provides an exhaustive list, so we will concise the points in a few important points as follows:-

  1. Novelty- The invention must be new and not known previously or disclosed on any public platform, anywhere in the world.
  2. Inventive nature- The invention must involve some innovative step, it must not be obvious to someone skilled in the relevant field of technology.
  3. Industrial usage- The invention must have the capability to be used in industry or for industrial purposes.
  4. Patentable subject-matter- The invention must not fall under the category of subject matter that has been explicitly excluded from patentability. The following are the categories:
  • Insignificant, impractical, and contrary to the natural laws.
  • Against public order and morality. To cause harm to life, health, and the environment.
  • Mere discoveries, arrangements, or duplications of already known substances, processes, or devices.
  • Methods of agriculture or horticulture, processes of medical treatment, plants, animals, mathematical or business methods, computer programmes or algorithms, literary or artistic works, and others as specified in the Act.
  1. Practical utility- The invention must have practical usefulness, which means it must serve some specific purpose or provide a tangible benefit.
  2. Not traditional knowledge- The invention must not merely represent traditional knowledge or an aggregation or duplication of known properties of traditionally known components.
  3. Compliance with patent office requirements- To obtain the patent, the inventor must comply with all the requirements and formalities set forth by the patent office regarding application submission, documentation, and procedures.
  4. Section 4 of Chapter 2 of the Patents Act, 1970, states that atomic energy related inventions are not eligible for patent protection as they fall under sub-section 1 of Section 20 of the Energy Act, 1962.

These criteria collectively determine whether an invention is eligible for patent protection under the Patent Act, 1970.

Duration and rights of patent holders

Section 53 of the Patents Act, 1970, states the “term of patent.” With the commencement of the Patents (Amendment) Act 2002, subject to the provisions, the term of every patent that is granted is 20 years from the date of filing the application for the patent. This section also talks about the international patent. The duration of any international patent that is sought under the Patent Cooperation Treaty (PCT), to which India is also a signatory, shall be 20 years from the international filing date.

Section 53 also talks about the renewal of patents by paying renewal fees. Once the patent is granted for 20 years, it becomes crucial to pay the renewal fees before the expiration of the second year and then for every subsequent year to the Patent Office. The patentee (Patent holder) can also pay the renewal fees in advance for two years. If the patentee fails to pay the renewal fees, then the protection for his patented innovation terminates, and the product is open to the public for use by the masses.

Under the Patents Act 1970, many sections provide various rights to the Patentee (patent holder), which allows them to have control over their inventions and potentially profit from them. Let’s get to see their rights in the following:-

  • Exclusive right to exploit the patent- Section 48 of the Patents Act 1970 mentions the exclusive right of the patentee where the subject matter is either the product or the method. Whether the subject matter is the product or the process, the patentee can prevent others from making, using, selling, or importing the product or the process without authorised consent. This way, the patentee can exploit the patent on the product/ process for potential profits and benefits.
  • Right to assign or grant licence- Section 69 & Section 70 of the Patents Act 1970 talk in detail about the right of the patentee to assign or grant a licence to a third party. If there are any co-owners of the patent, then all must consent to assigning or granting the licence, and the application for the same must be submitted in writing to the Patent Controller. The licence for the patent would be considered granted only once the patent controller authorises the request.
  • Right to surrender the patent- A patent holder can surrender the patent as per the provisions of Section 63 of the Patents Act of 1970. The patentee has to submit in writing his intention of surrendering the patent to the Patent Controller. Then the same is published in the official gazette and if this is opposed by any person, then the controller hears it. If there is no opposition, then it is communicated to all those parties who are interested in the same patent. Within a time limit, they can complete the formalities and get the patent transferred to them. Otherwise, the product is in the public domain.
  • Right to get a patent of addition- Chapter IX of the Patents Act 1970 provides for the sections related to a patent of additions made to the original invention. This part of the act allows the patentee to apply for the patent of any improvements, modifications, or additions made to the product/ process that was originally patented.
  • Right to seek redressal in case of patent infringement- Under Chapter XVIII of Patents Act 1970, a patentee (or assignee, licenccee, or agent) can file a civil suit in District Court or higher if he comes across the infringement of his rights for the obtained patent. When any third party is found to make, sell, use or import the patented product/ process without the authorised consent of the patentee, it is said to infringe/violate the exclusive rights of the patent holder. If the defendant fails to provide a defence and proves it, then the court may grant a permanent injunction or award for the damages.
  • Right to conventional application to go international- Section 133 under Chapter XXII of Patents Act 1970 defines “convention countries” as all those nations that are signatories, along with India, to any convention, agreement, or bilateral treaty. Section 135 of the act discusses Conventional Applications, where provisions are given for the patentee to apply for the patent for his invention in the conventional country.

Understanding compulsory licencing

With the preliminary information about patents and a little understanding of the Patents Act 1970 under the Indian Patent Regime, let’s go deep into the topic of compulsory licencing of patents in India.

Definition and purpose

The provisions for the “Compulsory Licence” are contained in Chapter XVI under sections 84-94 of the Patents Act 1970, to be read with rules 96- 102 of the Indian Patent Rules 2003.

Compulsory licencing is a provision provided in the TRIPS Agreement of the WTO  where the government authorises the third person or party, on the payment of certain fees payable at the Patent Controller’s Office, to use the intellectual property of the other person/ party without having authorised consent from them.

Under the Indian Patent Regime, a compulsory licence can only be issued after the completion of three years of the original patent granted. 

For national emergencies, extreme urgency, health crises, or public non-commercial use, the Central Government can authorise a compulsory licence after any time the patent is granted.

Licences that are issued by the patentee are “voluntary licences,” but licences that are issued by the government or patent authority against the will of the patentee are “ non- licences”. Hence, compulsory licences are non-voluntary in nature.

The mechanism of compulsory licencing bypasses the legal monopoly of the patent owner, though the patentee is compensated duly for this.

Recently, the COVID-19 pandemic has brought the compulsory licencing system into focus around the world.

Primarily, the purpose of such a provision is to balance the rights of the patentee with the public interest. It aims to ensure that essential inventions are available to the public at reasonable prices and that monopolies granted by the patents do not hinder innovation or access to technology.

For instance, the availability of pharmaceuticals and drugs at reasonable or low prices is one of the utmost requirements of the developing nations, but the developed nations oppose such licences as it makes it difficult for the big pharmaceutical companies to sustain their inventions.

Grounds for granting compulsory licences

Section 84 of the Patents Act clearly states that after three years of patent granting, the compulsory licence can be provided on the payment of some fees and sometimes also royalty to the original patent holder, only on certain grounds, as mentioned below:-

  • Failure to meet demand- when the patented invention has not been able to meet the reasonable demands/ requirements of the public, a compulsory licence can be granted.
  • Unaffordability of the Invention- in cases of non-availability of the patented invention at reasonable prices and becomes unaffordable to the public, then such a licence can be granted.
  • Non-exploitation of the Patent- a compulsory licence can also be granted when the patented invention has not been worked upon in India.

Procedures for applying for compulsory licencing

Under Chapter XVI of the Patents Act 1970, sections 84-94 give vast provisions and procedures for obtaining the compulsory licence of a patented invention by a third party. To make it easy to understand the provisions for applications for compulsory licencing, let’s make a pointwise list as follows:

  • Assessment of eligibility- Eligibility to obtain the compulsory licence for a patented invention is determined by the grounds provided under Section 84, which are already discussed above. 
  • Preparation of application- A comprehensive application is to be prepared by the applicant, including all required documents. The application should be duly filled with full details of the applicant, such as name and address, details of the patent concerned, an explanation of the reasons and facts on which the application is based to obtain the compulsory licence, and other relevant information to be provided as specified in the Patent Rules. 
  • Filling of application- The duly filled application in the prescribed format has to be submitted along with the prescribed fee to the Office of the Controller of Patents.
  • Notice to patentee- On the direction of the Controller, the applicant has to serve a notice of application to the patentee (holder of the patented invention) within seven days of the filing of the application. The notice must mention the details of the application and the grounds, reasons, and facts on which the compulsory licence is sought.
  • Publication- The Controller will then publish the application in the Official Journal of the Patent Office to invite any person interested to oppose the grant of a compulsory licence.
  • Period to oppose- A period of 3 months from the date of publication is provided for interested parties, including the patentee, to oppose the grant of the compulsory licence. If any opposition is received, then the controller will provide an appropriate opportunity to hear both parties before making the decision.
  • Controller’s decision- The Controller will make his decision to grant or not to grant the compulsory licence after considering all the representations and evidence provided by the parties in the hearing. If the Controller decides to grant the compulsory licence, then he will specifically mention the terms and conditions of the licence, including duration, scope, and royalty rates payable to the patentee.
  • Appeal- Either party aggrieved by the decision of the Controller may appeal to the Intellectual Property Appellate Board (IPAB) within the prescribed time limit.
  • Working of the licence for patented invention- If the compulsory licence is granted, the licencee must work on the patented invention to the fullest extent possible within a reasonable timeframe and at reasonable prices. The licencee must submit all periodic statements to the controller regarding the workings of the invention and the payment of royalties to the patentee.

Scope of compulsory licencing in India

Industries that fall under the compulsory licencing of patented inventions in India are listed below:-

  • Distillation and brewing of alcoholic drinks.
  • Cigars and cigarettes are made of tobacco and manufactured tobacco substitutes.
  • All types of electronic aerospace and defence equipment.
  • Industrial explosives include detonating fuses, safety fuses, gunpowder, nitrocellulose, and matches.
  • Hazardous chemicals.
  • Drugs and Pharmaceuticals (as per the Drug Policy)

Difference between applications filed under Sections 84 and 92 of Patents Act, 1970

Applications that are filed under Section 84 of the Patents Act, 1970 are considered for granting the compulsory licence of a patented invention because the circumstances that provide the grounds for the compulsory licence are widely classified as “abusive practices,” whereas under Section 92, the applications are filed based on “public interest” that caters to urgent/ emergent requirements.

Unlike applications under Section 84, applicants under Section 92 need not wait for the lapse of three years of the patented invention.

Further, under Section 92, the controller has discretionary powers to decide whether to follow the tedious procedure provided under Section 87 and provide a quick response. As per the Proviso for Section 87, when an application is submitted under Section 92 where the situation is related to AIDS, HIV, malaria, TB, or other epidemics, the controller is to inform the patentee to grant the compulsory licence ‘as soon as is reasonably practicable’. The same has also been mentioned in Article 31 of the TRIPS Agreement.

Compulsory licencing for the export of pharmaceutical products

Section 92A was inserted with the amendment in 2005, a.k.a. the Patent (Amendment) Act 2005. This section talks about making compulsory licences available for the manufacture and export of pharmaceutical products to countries lacking manufacturing capacity or facing severe public health issues under exceptional circumstances. The Controller determines the terms and conditions of the licence, granted only if the recipient country has authorised importation or issued a compulsory licence. This section also gives the meaning of ‘pharmaceutical products’ that are required to be mentioned to address public health issues, including diagnostic kits.

Termination of compulsory licence

Rule 102 of the Patents Rules 2003, outlines the procedure for applying for the termination of a compulsory licence under Section 94 of the Patents Act 1970.

The application must be made using Form 21 by the patentee or any person with a title or interest in the patent, accompanied by supporting evidence. The applicant must serve a copy of the application and evidence to the compulsory licence holder and inform the controller of the service date.

The licence holder has one month to file objections and provide evidence for the application. Further evidence or statements require special permission from the controller. The controller schedules a hearing, providing at least ten days’ notice to both parties. If the controller decides to terminate the compulsory licence, an order is issued, specifying any terms and conditions, and served to both parties promptly.

Landmark cases on compulsory licensing

Compulsory licencing in the Indian Patent Regime has always been a subject of important debate and scrutiny, especially when the context is to balance the interests of the patentee with those of public health and make available essential medicines. Various landmark case judgements have given shape to the interpretation and application of compulsory licencing provisions in India. These cases also provide insights into the ever-evolving legal framework and its impact on innovation and public welfare.

Natco Pharma vs. Bayer Corporation & Ors.

Facts

  • Natco Pharma Ltd. applied for a compulsory licence from the Patent Office to produce the generic version of Bayer Corporation’s patented medicine, sorafenib tosylate.
  • The patented medicine was used for liver (hepatocellular carcinoma [HCC]) and kidney cancer (renal cell carcinoma [RCC]) at advanced stages. 
  • Bayer marketed the medicine in India at a price of Rs. 2,84,000 per patient per month.
  • Natco Pharma requested a voluntary licence from Bayer to manufacture and sell the drug at a lower price, but Bayer refused.

Application for compulsory licence

Natco Pharma applied for the compulsory licence under Section 84 of the Patents Act 1970, the reason being the unavailability of the medicine to the public at large and its high price.

The decision by the Controller of Patents

The Controller of Patents granted the compulsory licence, considering the public health needs and constitutional right to health and life.

On the grounds provided in Section 84 of the Patents Act, the Controller found that Bayer failed to meet the public’s reasonable requirements and did not make the drug available at a reasonably affordable price.

Additionally, Bayer imported the drug into India but did not produce it within the country, failing to fulfill the working requirements of the patent.

Decision by the Intellectual Property Appellate Board (IPAB)

  • The IPAB upheld the decision of the Controller of Patents.
  • Natco Pharma was ordered to pay a royalty of 7% of net sales to Bayer Corporation.
  • Under the compulsory licence, Natco Pharma would produce and market the generic version of the drug sorafenib tosylate at a significantly lower price of Rs. 8,800 per patient per month.

Analysis of other past cases having an influence

BDR Pharmaceuticals International Pvt Ltd Vs. Bristol- Myers Squibb Co.

  • BDR Pharmaceuticals International Pvt Ltd. (Applicant) sought a compulsory licence for the Bristol-Myers Squibb Co. (Patentee) patented invention of the cancer drug Sprycel.
  • Description of the Drug- Sprycel contains dasatinib, is used for chronic myeloid leukaemia, and has Patent No. IN203937.
  • Dispute- BDR claimed the patented drug was priced at Rs. 2,761 per tablet, totaling Rs. 1,65,680 monthly and Rs. 19,88,160 annually. BDR proposed selling it at Rs. 135 per tablet and offering free medication to some patients.
  • The controller rejected the application for compulsory licence, stating BDR failed to demonstrate:
    • Without the approval of the Drugs Controller General of India (DCGI), BDR couldn’t use the drug for public advantage.
    • BDR didn’t make reasonable efforts to negotiate a licence with the patentee.
  • The controller disregarded the patentee’s attorney’s opinion as evidence against the patentee.
  • The controller emphasised that the ‘efforts’ must not be reasonable but rather absolute, inflexible, and without exceptions.
  • BDR made no credible effort to procure a licence from the patentee, nor could they portray the ability to use the patented invention for public wellbeing.
  • Result- The compulsory licence request was refused due to BDR’s failure to meet the regulatory requirements and inability to negotiate with the patentee.

Lee Pharma vs. AstraZeneca AB

Lee Pharma (Applicant) filed for the compulsory licence to produce AstraZeneca AB’s (Patentee) patented invention drug ‘Saxagliptin’ for Type II Diabetes Mellitus treatment, protected by patent number 206543.

Failed Negotiations: Lee Pharma requested for a voluntary licence, which was rejected by Patentee in 2014. Despite subsequent communications, no agreement could be reached within a year.

Controller’s observations:

  • Lee Pharma made sufficient efforts to negotiate a licence, meeting the requirement under Section 84 of the Patents Act of 1970.
  • Lee Pharma submitted data to show public needs were not met, but the Controller found the substitutes were available in the market, as against the claim of the applicant.
  • The price at which Lee Pharma planned to sell the medicine was against their claim of unaffordability, as the import costs were higher, due to which their argument proved weak.
  • Lee also failed to calculate the exact number of patients who were unable to access the drug, and this weakened their case even more.

Result

The compulsory licence was rejected due to Lee Pharma’s failure to assess the unfulfilled public needs and affordability issues, that mainly contradicted their suggested pricing.

Impact of the previous cases on the Indian patent regime

Promotion of access to medicines: Landmark cases of compulsory licencing have played an important role in advancing access to essential medicines in India. By permitting the pharmaceutical manufactures to produce generic medicines at lower prices than that of the originally patented drugs, compulsory licencing has fixed the concerns of affordability and availability, mainly for life-saving medications for diseases such as cancer, HIV/AIDS, etc.

Encouraging innovative R&D and pricing strategies: Compulsory licencing has been perceived as a limitation on patent rights but we can also not ignore the fact that it has fostered innovation by encouraging the patent holders to work on the pricing of their products so that these products can be reasonably made available to the masses. Due to the threat of compulsory licencing, pharmaceutical companies have been considering engaging in voluntary licencing agreements and adopting more fair and just pricing strategies.

Compulsory licencing, on the other hand, would encourage the production of generic medicines, which would increase the supply of medicines in the market, and due to competition in the market, the prices would go down.

Balancing patent rights and public health: Landmark cases have identified the importance of conciliation between protecting the patentee’s rights and safeguarding public health interests. The workable provisions to grant compulsory licences provided in the Patents Act 1970 address the issues of affordability, accessibility, and public welfare and hence reflect a progressive approach towards intellectual property rights.

International perspective on compulsory licencing

Due to the raising concerns for maintaining the equilibrium of patentee’s rights, which involve innovation and big investment, and the inferences for public health that involve society at large, the concept of compulsory licencing has grasped significant attention and has been a subject matter for debate on the universal platform.

Public health concerns

Many countries, particularly developing nations, that have been struggling to fight life threatening diseases, especially HIV/AIDS, cancer, tuberculosis, and malaria, favour the compulsory licencing system because it ensures access to affordable medicines.

To overcome the barriers that lead to high drug prices and patent monopolies, the mechanism of compulsory licencing is designed into law, eventually increasing access to essential medications for the masses in need.

Intellectual property rights and innovation

Most of the renowned pharmaceutical companies and developed nations adjudge the compulsory licencing as a challenge to their intellectual property rights.

Critics argue that the easy availability of compulsory licences may discourage innovations because it could discourage companies from investing in research and development, as patent holders would fear forcible licencing of their patents, which would deprive them of monopolies and profits generated from them.

International agreements and flexibilities 

Paris Convention- The Protection of Industrial Property

  • The Paris Convention aims to provide international protection for inventions.
  • Compulsory licences cannot be solely granted due to insufficient working of a patented product in a particular field.
  • Contracting states reserve the right to bring legislation for the grant of compulsory licences to prevent misuse arising from patent rights like selfish profit motives through monopolising the patented product.

Berne Convention- The Protection of Literary and Artistic Works 

  • It doesn’t address compulsory licencing specifically. However, Berne Convention does outline principles related to copyright protection and exceptions. It allows the contracting nations to implement their laws, including provisions for compulsory licencing if deemed necessary for public interest or fair use.
  • Article 11(2) allows countries to determine conditions for exercising rights, ensuring they do not infringe on moral rights or the right to equitable remuneration.
  • Article 13(1) permits countries to impose reservations and conditions on exclusive rights for musical and literary works, as long as they do not prejudice authors’ rights to fair compensation.

Trade-Related Aspects of Intellectual Property Rights (TRIPS) Agreement

  • TRIPS, under the World Trade Organisation (WTO), regulates patents, copyrights, and trademarks.
  • Article 31 addresses compulsory licences, emphasising their authorization based on individual merits, efforts to obtain the patent, and limited duration of use.
  • The WTO framework provides guidelines and restrictions on compulsory licencing to establish a balance between patent protection and public health interests.
  • TRIPS allows member states to issue compulsory licences under certain conditions that may include cases of national emergency, public non-commercial use, and anti-competitive pricing strategies and practices.

Doha Declaration

  • The Doha Declaration addressed the issue of compulsory licencing ambiguity.
  • It clarified that each member could grant compulsory licences and determine the grounds for issuing them. It emphasised including national emergencies and public health crises as important grounds for seeking compulsory licences.
  • The declaration has recognised the challenges faced by nations with limited pharmaceutical manufacturing capacity and waived the “domestic market” restriction under certain conditions.
  • This waiver allowed countries without manufacturing capabilities to import pharmaceuticals through compulsory licencing mechanisms.
  • With public health as the utmost priority over IPR protection, the Doha Declaration aimed to strengthen compulsory licencing systems in developing and least-developed countries.

Economic and developmental impacts

The compulsory licencing system is significant for economic growth and industrial development in countries with limited manufacturing capacities. Countries that are developed, have vast manufacturing capacities, and invest hugely in innovations and R&D can earn royalties and fees for their patented products.

By enabling access to patented technologies or medicines, compulsory licencing can promote technological transfer, local production, employment opportunities, and economic development in beneficiary countries.

International cooperation and disputes

International cooperation and dispute resolution mechanisms are supreme in the scenario where the enactments of compulsory licencing lead to differences of thought between countries seeking the licence and the patent holding countries.

Organisations like the World Trade Organisation (WTO) play a pivotal role in mediating disputes to ensure that compulsory licencing complies with international agreements and principles.

To summarise, we can say that creating a compulsory licencing mechanism has to be done thoughtfully, with consideration to legal, economic, and ethical factors, so that governments can ensure that everyone can get important medicines at fair and just prices, and also that the promotion of innovation and protection of IPR can be encouraged.

Compliance of indian regulations with international standards

It becomes a crucial aspect for Indian rules and regulations to comply with international standards when it comes to an important part of IPR that is compulsory licencing, especially when the Indian economy is open to world economies and works hand in hand with them. Now let us examine India’s approach to compulsory licencing within the framework of international agreements and its impact on access to essential medicines and innovation.

  • Paris & Berne Conventions: India is signatory to both of these conventions and aligns its practices with international standards set forth. It recognises the importance of protecting intellectual property rights while also addressing societal needs, including public health concerns.
  • Implemantation of TRIPS Agreement: India’s compliance with the provisions of TRIPS Agreement regarding compulsory licencing is noticeable in its domestic laws and policies. This agreement mandates the member countries to grant patents for products or processes that are new, involve an inventive step, and are capable of industrial application.
  • Compliance with Doha Declaration: India complies with the principles outlined in the Doha Declaration. These principles emphasise interpreting TRIPS Agreement to support public health goals. The declaration agrees with the flexibility of TRIPS Agreement to address public health concerns, which also include the use of compulsory licencing to guarantee access to affordable medicines.
  • Amendments to domestic laws: India has amended its domestic patent laws time and again so as to comply with international standards. Indian government has emphasised the regular updating of the provisions related to compulsory licencing of pharmaceutical and agricultural chemical products.
  • Utilisation of compulsory licensing: Indian government utilises the mechanism of compulsory licencing to fight the challenges of public health and ensure access to essential medicines at affordable prices. India has facilitated the production and distribution of generic versions of patented drugs, by issuing compulsory licences so that they can be made available to its population.
  • International recognition: India’s approach to compulsory licencing has bagged recognition internationally for its efforts to balance intellectual property rights with public health priorities. Its utilisation of compulsory licencing provisions sets an example of leveraging flexibilities within international agreements to promote access to medicines.

From all of the above points, we can clearly extract that India plays a pivotal role in the world to address public health challenges and promote innovation in the pharmaceutical sector.

Challenges and controversies surrounding compulsory licencing

Compulsory licencing system has raised much debate and controversy in the realm of protecting IPRs and enhancing public health. In this part of the article, we will look into the challenges and controversies that surround compulsory licencing by examining industry concerns, striking a balance between public health and innovation, and determining the criticisms along with the suggestions for improvement.

Industrial concerns

Industries, especially pharmaceutical companies, are more concerned as they fear the potential abuse of the patents on their products and other IPRs. From their perspective, compulsory licencing undermines the very foundation of innovation by reducing incentives for research and development. Companies are deterred from investing in outstanding medical advancements due to the fear of low returns on investments. 

Furthermore, companies perceive compulsory licences as a threat, which has resulted in uncertainty in the market by demotivating innovation and restraining competition. Pharmaceutical companies argue that robust patent protection is essential for fostering a conducive environment for research and development, as it would create an environment for the commercialization of new drugs. Companies doubt for the progress of new medicines if there is no adequate protection for their inventions, which may lead to deprivation of life-saving treatments for patients.

Balancing public health and innovation

The subject of public health often clashes with the exclusivity conferred by patents and this becomes a big debatable issue. Proposers of a compulsory licencing system feel that it is necessary that the government intervene in the scenario where medicines are overpriced during public health emergencies so as to assure the masses of affordable treatments. 

Strategists face a huge challenge when it comes to balancing public health with the need to incentivize innovation. Though vital medicines will be available at lower prices with easy access by issuing compulsory licences,  we cannot ignore the risk of fewer investments in research and development. Striking the right balance requires a nuanced approach that acknowledges the legitimate concerns of both industry stakeholders and public health advocates.

Criticisms and suggestions for improvement

Critics of compulsory licencing reveal several shortcomings and areas for improvement. One of the major shortcomings is the potential for abuse by governments, which may treat compuslosry   as a political stunt rather than a genuine tool to address public health needs. These concerns become an even more serious issue to deal with when there is a lack of transparency and procedural ambiguities in the issuance of compulsory licences. 

Several suggestions have been recommended to overcome these criticisms and improve the effectiveness of compulsory licencing structure. Let us take a look at few suggestions:-

  • Administration and execution of clear criteria and procedures for issuing compulsory licences.
  • Security of transparent and accountable decision-making process
  • Provisions for sufficient incentives to the patentees for their innovation.
  • Regulations for the misuse of the licence.
  • Safeguarding the interests of patent holders when public health is not a priority.

These suggestions bring challenges and controversies to confuse the stakeholders about the risks involved. Only through thoughtful dialogue and collaborative efforts can we find the solution to this problem and look for a path forward that promotes the dual goals of innovation and public health.

Role of compulsory licencing during COVID-19 outbreak

Key points depicting the role of compulsory licencing during COVID-19 outbreak are as follows:

  • Increased demand and high prices: Worldwide demand for essential medicines surged during COVID-19 outbreak. The challenge to meet this urge was even greater in developing countries with limited manufacturing capacities. It was rather difficult to deal with the situation as the exclusive patent rights of some essential medicinal drugs resulted in high prices, which obstructed access for low-income individuals who were in dire need of medicines.
  • Compulsory licencing as a solution: To deal with the pandemic, many countries, including Canada, Germany, Ecuador and Chile, took steps to revive the legislation on compulsory licencing and facilitate its use. This mechanism allows for the production of essential medicines without infringing on patent rights, thereby enhancing access and affordability.
  • AbbVie’s decision on Kaletra: A U.S. drug maker named AbbVie impressively decided not to exercise its patent right for the antiretroviral drug Kaletra, which provided salvage to treat COVID-19. Such a voluntary action is the best example to signify that patent holders were not reluctant to provide help during global health emergency.
  • Flexibilities and challenges of the TRIPS Agreement: Article 31 of the TRIPS Agreement permits compulsory licencing primarily for domestic use, while Article 31bis allows for the export of pharmaceutical products produced under compulsory licences. Yet regardless of the TRIPS provisions, a few countries, including the United States and members of the European Union, chose to keep strict patent rights on the exports of essential medicines and withdraw the importation of such medicines, which raised concerns about the surprisingly high prices and unreachability of medicines globally.
  • WHO support for Costa Rica’s proposal: Costa Rica proposed to create a pool of rights for tests, medicines and vaccines related to COVID-19, which the World Health Organisation (WHO) also approved. Against the scope of traditional compulsory licencing provisions, this initiative aimed to overcome emergent health concerns by ensuring access to essential medical products globally.
  • The need for cooperative efforts: The pandemic of COVID-19 has given ample reasons to brainstorm for solutions to deal with the challenges that the world may face in the future. There is a global call for international cooperation and coordination to combat the patent issues of essential medical equipment and medicines so as to ensure global access during the outbreak of any other variant of COVID-19 or any other health emergency. To suggest a few solutions, countries should collectively create publicly backed funds, jointly procure patent rights and voluntarily pool intellectual property.

During the pandemic, compulsory licencing was in the news in India due to the demand to issue compulsory licences for the manufacture of an affordable generic version of Remdesivir, an anti-viral drug showing efficacy in treating COVID-19 patients. Such a demand arose when reports came that the USA had purchased the entire stock of Remdesivir for the next three months of the peak spread of the pandemic, limiting its availability to the rest of the world. With the cost of manufacturing Remdesivir significantly lower than the price set by Gilead Sciences, the patent holder, there are concerns about access to the drug during the pandemic.

The key points related to compulsory licencing in the Indian patent regime during the COVID-19 period are as follows:

  1. Legislative support for compulsory licensing: Several countries, including Canada, Chile, and Ecuador, have taken legislative steps to enable compulsory licencing as part of their response to the COVID-19 pandemic.
  2. TRIPS flexibilities: Countries can utilise provisions of the TRIPS Agreement to support public health needs, including issuing compulsory licences. TRIPS allows flexibility in using patent rights for public health emergencies.
  3. Legislative framework in India: India’s Patent Act 1970, specifically Chapter XVI, addresses compulsory licencing and the use and acquisition of inventions by the Central Government.
  4. Provisions for extreme urgency: Section 92 of the Patents Act empowers the government to grant compulsory licences under circumstances of national emergency or public non-commercial use.
  5. Court interpretation and limitations: The Delhi High Court has interpreted Section 84 of the Patent Act as allowing for compulsory licencing even before the expiration of three years from the grant of the patent in cases of public health crises.
  6. Constitutional considerations: The Indian Constitution, particularly Article 21 guarantees the right to life and personal liberty, and includes the right to good health, emphasising the importance of public health in legal decisions.
  7. Amendments for faster processes: Suggestions have been made for amendments to expedite the compulsory licencing process during emergencies, such as removing the application procedure under Section 84 to speed up access to essential medicines.
  8. Government empowerment: Patent Act and Patent Rules empower the government to use or acquire patents in cases of extreme urgency or national emergency without informing the patent holder, ensuring swift action to mitigate the crisis.
  9. Compensation and dispute resolution: The Act ensures adequate compensation to patentees in cases of compulsory licencing or acquisition by the government, with mechanisms for dispute resolution through the High Court.
  10. Bayh Dole Act Model: Suggestions have been made for India to adopt a model similar to the Bayh Dole Act, where the government funds research and development, ensuring both incentivization for innovation and affordability of life-saving drugs.

Compulsory licencing is seen as a stringent exception to patent rights, with criticism from pharmaceutical companies. However, it is deemed necessary during extreme urgencies to balance public interest and patentee rights. By working together, the global community can navigate patent issues and facilitate timely access to life-saving medical products for all populations affected by the pandemic.

Case studies other than pharmaceutical industry

Sugan Engineering (P) Ltd. vs. James Mackie Holdings Ltd.

Facts

Sugan Engineering applied for a compulsory licence under Section 84 of the Patents Act 1970, regarding the patentee’s invention related to “flyers” used in spinning machines, specifically in the jute industry. Sugan argued that the imported flyers were essential for the Indian jute industry, but their high prices made them inaccessible.

Sugan also accused the patentee of “tying,” claiming that flyers were sold only to those who purchased spinning frames from the patentee.

Findings

The Controller dismissed the patentee’s opposition, ruling that the patented flyers could be manufactured in India and the demand was not relevant. Continuous testing requirements were not disclosed in the patent specification, which could not be grounds for refusing a compulsory licence. The controller inferred that the patentee’s reliance on imports suggested a monopoly strategy, and the imported flyer prices were unreasonably high.

Refusing a licence to Sugan and limiting sales to purchasers of spinning frames amounted to an abuse of patent rights.

Decision

The controller lacked the authority to order the transfer of technical know-how in determining licence terms. A royalty of 3.5% of the net sales price of all devices embodying the patented invention was deemed reasonable.

The order allowing the application for a compulsory licence operated as a deed granting the licence under Section 98 of the Patents Act 1970.

Catalysts and Chemicals India (West Asia) Limited vs. Imperial Chemical Industries Ltd. (1977)

Facts

The patentees’ invention, related to the ‘catalysts and hydrocarbons steam reforming process using them’, was endorsed with the words ‘licences of right’ under Section 87 of the Patents Act 1970. The applicant sought permission from the patentee to work on the patent and offered to pay a royalty. Having received no response, the applicant made an application to the Controller under sections 88(4) and 88(2) of the Patents Act 1970.

The Patentee had been importing the patented invention into India and was now seeking permission to manufacture the catalyst through a subsidiary company. The applicant claimed to have the necessary technical expertise to work on the patent in India.

Patentee’s resistance

  • He argued that the invention had been wrongly endorsed with ‘licences of right’.
  • It was contended that only processes, not products, could be endorsed with ‘licences of right’.
  • Stated negotiations with another company, arguing against granting a licence.

Findings

The Controller held that the applicant was interested in obtaining a licence to work the patented processes, which entitled them to work, sell, use, make, or distribute the product. The controller clarified that there was no discretion to hear the patentee before endorsing the patent with ‘licences of right’. Negotiations with another party did not bar the grant of a licence under Section 88(2)

Decision

The Controller ordered the grant of the licence to the applicant at a 3% royalty on the ex-factory sale price of the catalyst.

Comments

An appeal was preferred from the controller’s decision to the Calcutta High Court.

Rail Udyog vs. Guest Keen Williams Limited

Facts

  • Rail Udyog applied for a compulsory licence under the patent for ‘Double Shaft Springy Track Spike’.
  • The exclusive licencee of the patent (the first opponent) initially opposed the application, but their opposition was dismissed due to lack of standing.
  • Guest Keen Williams, claiming to be an exclusive licencee derived from the first opponent, subsequently opposed the application.
  • The opponent, Guest Keen Williams, alleged that Rail Udyog lacked the technical expertise, financial back-up, and commercial ability to work on the invention.

Findings

  • The controller found that there were no opponent’s names in the register of patents.
  • Apparently neither the first opponent had any interest in the patent or the application, nor Guest Keen Williams, who claimed to be an exclusive licencee from the first opponent, had any interest.
  • The opponents failed to bring out any evidence to prove the inability of the Rail Udyog to work upon invention.
  • As a result, the controller decided to grant the compulsory licence to Rail Udyog.

Comment

The controller’s decision shows that its not too hard to prove the ‘ability’ to work upon invention.

Conclusion

Compulsory licencing is a significant tool to promote public health as it facilitates access to essential medicines and balances patent rights with societal needs. India complies with international standards and has a legislational setup for compulsory licensing which aims to address public health issues and encourage innovations. It emphasises the flexibility of licencing so that patentees get incentives for their patents when such a licence is issued.

The compulsory licencing system has evolved with time, as is evident from landmark cases and improvisations in legislative provisions. During the COVID-19 pandemic, the whole world recognised the importance of the compulsory licencing landscape.

Compulsory licencing is a challenging and controversial subject in IPR laws. It requires a meticulous approach to safeguard both the incentivization of innovations and public health interests. It’s not only the pharmaceutical industry that garners the concept of compulsory licencing; rather, it offers opportunities for technological transfer, economic development, and access to innovation in diverse sectors.

The protection of patents under IPR laws motivates innovation but many times it is seen that this legislation is misused as it leads to the enjoyment of monopolies and high prices for patented products, which affect underdeveloped and developing countries in particular. The development of compulsory licencing instruments plays a pivotal role in ensuring the accessibility of life-saving drugs so that governments can be empowered to deal with health crises efficiently. The TRIPS agreement plays a supreme role in protecting public health by deriving the concept of compulsory licencing. Few of its members took it seriously, while few realised its importance and developed the regulations during the COVID-19 pandemic. Yet there are some developed nations that contradict this concept.

India has set an example by saving billions of dollars annually by issuing compulsory licences for the manufacturing and distribution of generic substitutions of patented medicinal formulas. India has been successful in balancing innovation incentives like royalty for patents and making essential medicines available to the masses on life-saving treatments. Strict voluntary licencing and quality regulations are also vital for this success.

Though access to vital medicines is a significant result of compulsory licencing, critics acknowledge the issues of drug pricing and investment in research and development while highlighting the need for balanced regulations. The compulsory licencing system is a complex structure yet it proclaims clarity and equity in legal provisions that address barriers to drug accessibility effectively. Patent protection stimulates consistent R&D but it is not seen as the sole solution to the issues of monopolies and exuberant prices. Whereas compulsory licencing is also not enough to address the challenges of accessibility faced by the masses in developing countries.

Thus, to infer the conclusion of this article, we now know that there is a need for continuous amendments to the provisions of compulsory licencing. A comprehensive approach is required to ensure equitable access to medicines worldwide while incentivizing innovation.

References

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Impact of penalties for environmental violations on corporate environmental responsibility

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This article has been written by Swati Mujumdar pursuing a Remote freelancing and profile building program from Skill Arbitrage.

This article has been edited and published by Shashwat Kaushik.

Introduction

Environmental protection is a growing concern worldwide. There is an immediate need to save our planet. Businesses play a big role in protecting the environment. They have an obligation to consider the impact their operations have on the environment. As awareness about climate change, pollution, and the depletion of natural resources increases, pressure is mounting on businesses to act responsibly. Financial penalties levied by governments for environmental violations play a crucial role in driving corporate environmental responsibility (CER).

CER initiatives aim to minimise pollution, conserve resources, reduce greenhouse gas emissions, protect wildlife, and implement sustainable practices. Let us study corporate environmental responsibility and the impact of penalties for environmental violations. Also, they encourage companies to improve their environmental practices and consider the long-term consequences of their actions.

Concept of corporate environmental responsibility

Corporate environmental responsibility refers to the company’s responsibility towards damaging the natural environment. Building a safe and sustainable workplace is the responsibility of every organisation. It is obligatory for companies and corporations to play a major role in maintaining a green environment. Investment in corporate environmental responsibility (CER) is an ongoing subject of debate. CER is the commitment of businesses to function effectively for economic development as well as the welfare and safety of their employees and their families, the community, and society. Businesses have an obligation to consider the impact of their operations on the environment. This is where corporate environmental responsibility (CER) comes into the picture. Implementing corporate environmental responsibility (CER) is a promise businesses make to reduce their negative impact on the environment. CER initiatives aim at minimising pollution, conserving resources, reducing greenhouse gas emissions, and implementing sustainable practices. Polluting companies share more responsibility for the environmental cleanup process. Several businesses are engaging themselves in this clean up activity. They try to use less water and energy, cut down on pollution, and find various ways to recycle and reuse materials. Companies that embrace CER often gain a positive reputation, improved relationships with stakeholders, and long-term efficiency gains.

Benefits of environmental compliance

Reduction in cost

Noncompliance with policies may prove costly for companies in many ways. Unsustainable practices, non-compliance with policies and litigation costs are more expensive. Cost reduction can be effective when sustainable practices are used.

Reducing carbon emissions

By adopting sustainable practices, businesses make optimal use of their resources and reduce their carbon footprint.

Business profitability

Companies that are compliant with regulatory standards improve their operational efficiency, reduce costs, and achieve business profitability. This helps them with their brand image and expanding customer outreach.

Penalties shape environmental behaviour

It is binding for every corporation to follow guidelines and laws set by governments for preserving and protecting the environment. Laws related to protecting the environment can control the quality of air and water. It also regulates pollutants released in water, air, and soil.  Bringing awareness about the effect of business on the environment is the first step towards sustainability. Environmental penalties directly affect companies’ revenue by disrupting production processes. Companies that are likely to face environmental penalties are finally responsible for heavy fines and prosecutions. It must bear other related costs too. This obliges them to implement various measures for environmentally friendly policies.

Deterrence

The impact of environmental penalties is that they act as a deterrent or restriction. When corporations know they will have to pay heavy penalties for violating environmental related regulations, they invest more in pollution control technologies. The heavy cost of fines makes them invest in greener processes and focus on environmental compliance.

Sustainable practices

Many small businesses and multinational companies are adapting to corporate environmental responsibility from the point of view of business economics and binding environmental laws. They also take into consideration their major stakeholders, i.e., employees, customers, and their commitment to sustainability. Businesses are likely to choose an environmentally friendly path when penalties are stricter and more costly.  Environmental penalties alter the cost-benefit analysis for companies. When the cost of non-compliance increases, businesses are most likely to opt for environmentally responsible options. As environmental penalties become stricter, the financial incentive for adopting green solutions grows stronger.

Reputation and adverse publicity

In the present world, companies face strict inspections and scrutiny to avoid adverse environmental impacts. Penalties damage companies’ reputation and brand image. Corporates enjoy a reputational advantage from good environmental management strategy. They gain confidence and the trust of their customers and investors by implementing CER. This leads to an increase in the marketing and financial performance of the companies. Companies that embrace CER often gain a positive reputation, improved relationships with stakeholders, and long-term efficiency gains.

Compliance to avoid penalties brings innovation and improvement in technologies

Environmental compliance refers to the laws and regulations designed by government and regulatory bodies. It helps to protect the environment. It helps organisations understand the impact they are having on the environment. Enforcement of these laws is necessary for controlling pollution, increasing green zones, and protecting marine life and wildlife.

Push for innovation

Environmental penalties are not just about following laws. To avoid heavy fines, companies may be encouraged to invest in research and development of cleaner, more efficient technologies. Thus, it encourages corporations to bring innovation and improvement in technologies which are helpful for saving the earth. Penalties give a push that drives the creation and implementation of new solutions that benefit the environment.

Improvements in processes

Penalties can force companies to rethink and change the way they work. To avoid heavy fines, corporations try to improve production processes, focus more on waste management, and optimise resource consumption. Businesses are motivated to improve their operational models to become more environmentally sound. This helps reduce the risk of future penalties. It can also help the environment in the long run. Leading companies such as Shell and Bharat Petroleum are actively engaged in the development of new technologies and advancements in areas such as smart grids, energy storage solutions, and carbon capture utilisation and storage. Shell is investing in research on biofuels and hydrogen production, aiming for cleaner alternative solutions.

Some real-life incidents causing environmental damage

Case 1

The big threat to the earth is our belief that someone else will save the environment. Taking environmental shortcuts can damage the reputation of a company very badly. The classic example of this is “Volkswagen,” a car manufacturing company. In 2015, the company projected their cars to be more environmentally friendly than before. They cheated on emission tests for which they had to pay billions of dollars in penalties. The company lost their reputation and the trust of customers and investors  

Case 2

Yet another case is of British Petroleum (BP). In 2010, there was a heartbreaking environmental disaster in the Gulf of Mexico due to an oil spill in the sea. It is regarded as one of the biggest environmental tragedies in the world. There was a month-long oil spill that extensively damaged marine life and the sea. It affected sea life, fishing, and tourism. BP had to pay $4.525 billion in fines and cleanup costs. Ignoring environmental risks can damage the company’s image, erode investor trust and have huge long-term costs.

Clarity in rules and regulations

Strong government rules will help protect the environment from hazardous pollutants. Periodical awareness campaigns from the government and companies will help employees act carefully and responsibly while working. Governments must consistently implement various effective policies for sustainable results.

Training for improved productivity

It is good practice to train employees for their safety and productivity. A healthy and safe environment is necessary for physical and mental well-being. It also improves the productivity of an employee. Training related to various environmental policies and procedures helps create a safe and positive work environment. It helps in removing hazards and safeguarding an employee.

Incentivising positive actions

Besides strict rules, the government should also recognise positive measures taken by companies to protect the environment. The government should appreciate corporations that are strictly following rules by various incentives schemes, certain tax benefits, etc. Incentivises proactive environmental measures like tax breaks and subsidies will boost corporations willingness to  follow the rules.  Such recognition programmes can also encourage companies to act more responsibly.

Consumer awareness

Informed consumers can put pressure on companies to embrace CER. By choosing eco-friendly products and supporting companies with a strong environmental record, consumers can create market demand for sustainable practices.

Penalties are a wake-up call for businesses

By working together with governments and consumers, companies can create a future where business success and environmental protection will go hand in hand. Environmental penalties can be a catalyst for businesses to adopt greener solutions, creating a future where corporate responsibility aligns with environmental well-being.

Conclusion

Environmental penalties play a key role in promoting corporate environmental responsibility. Various rules and regulations keep a check on company policies and measures adopted by them for environmental protection. Government bodies ensure regular visits to the plants, which are vulnerable and may impact negatively on the environment. However, penalties alone are not sufficient. Businesses and policymakers must collaborate to truly drive sustainable practices.

References

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Khatri and Others vs State Of Bihar & Ors (1980)

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This article has been written by Soumyadutta Shyam. This article discusses in detail the background of Khatri & Ors. v. State of Bihar & Ors. vis-a-vis free legal aid, the facts of the case, issues raised, arguments of the parties, the laws involved, the judgement and analysis of the case.

It has been published by Rachit Garg.

Introduction

One of the principles of natural justice is “audi alteram partem” which translates into “hear the other side.” This denotes that all the parties to a trial ought to be given an equitable chance to present their case. Giving a fair chance to present their side or the right to defend themselves in a trial is essential to meet the requirements of justice. No one should be punished without being given an adequate chance to present their case. Sometimes, due to poverty, it becomes difficult for a person to afford legal aid. But, if a person cannot get legal advice or the chance to be defended by a legal counsel, the requirement of a fair trial is defeated.

This is the reason the ‘right to free legal aid’ is vital. Article 39-A of the Constitution places a responsibility upon the State to make provisions for free legal aid. The right to free legal aid has been regarded as a component of the right to life and personal liberty within the ambit of Article 21 of the Constitution.

In this case, the Supreme Court again stressed the importance of providing free legal aid to persons accused of a crime. 

Details of the case

Name 

Khatri and Ors v. State of Bihar and Ors

Citation 

1981 SCR (2) 408 

Date of Judgement

19.12.1980

Petitioner

Khatri and others

Respondent 

State of Bihar and others

Advocates appearing for the Petitioners

Adv. K. Hingorani and Adv. Rekha Tiwari

Advocates appearing for the Respondents

Adv. K.G Bhagat and Adv. D. Goburdhun

Bench 

Justices P.N Bhagwati and Justice A.P Sen

Background of the case

In India, where a large section of the population live without adequate means, free legal aid becomes even more vital for ensuring that everyone has equal access to justice. The right to free legal aid and the duty of the state to provide it has been stressed by the Apex Court on a number of occasions.

In M.H Hoskot v. State of Maharashtra(1978), the petitioner was a reader with master’s and doctoral qualifications. He was found guilty for the crime of trying to circulate fake university degrees. He was tried by the Sessions Court which declared him culpable, although he was given very little punishment. The High Court granted the appeal which was presented by the state and sentenced him to three years. The High Court judgement was delivered in November 1973, and awarded greater punishment, however, the special leave petition was presented in front of the Supreme Court after 4 years. The petitioner spent his entire period in incarceration. The explanation given by the petitioner for the condonation of delay was that the copy of the judgement delivered in 1973, was given to him in 1978. It was revealed that though a free copy of the order was sent immediately by the High Court for the petitioner to the Superintendent of the Jail but he claimed that he did not receive it. The Superintendent said that the copy was sent to him however, afterwards it was taken back for attaching it to a mercy petition to the Government for exoneration of his punishment.

The Supreme Court rejected the special leave to appeal since the Court could not meddle with the ruling of two subordinate courts, although it considered it would be appropriate to make the legal stance apparent. The Court ruled that a single right of appeal on facts, where the punishment results in a long loss of liberty, is fundamental to civilised jurisprudence, “one component of fair procedure is natural justice.” Each measure that drives the right of appeal to be effective is essential and every act or omission thereof that hampers it is unjust and thus transgresses Article 21. 

There are two essentials of the right of appeal- delivery of a copy of the judgement to the prisoner timely to allow him to present an appeal and arrangement of free legal assistance to a prisoner who is poor or in any way constrained from availing legal assistance. It was advised that the jail manual should be revised and should add this directive and the state must provide a duplicate of the judgement to the prisoner. Justice Krishna Iyer said, “this is the State’s duty and not the Government’s charity.” If a prisoner is not able to exercise his right of appeal as well as special leave to appeal for the absence of legal aid, the court can, as per  Article 142, read with Articles 21 and 39-A of the Constitution, choose a lawyer for the prisoner. 

Free legal aid 

As the right to be represented by a counsel is crucial to a fair trial, it becomes vital to ensure that people have the essential resources to engage a lawyer for their defence. It needs to be understood that in a court proceeding, indigent people have the vulnerability of denial of a fair trial if they do not have equitable access to the legal services which are accessible to the opposing party. Article 39-A sets out with clarity that it is the liability of the State to make provisions for free legal aid to make sure that everyone has the same chance of getting justice. 

The Code of Criminal Procedure,1973 also makes provision under Section 304 for legal aid to the accused at the State’s cost in specific cases.

The Legal Services Authorities Act, 1987 also envisages the establishment of machinery to ensure legal aid to indigent people.

In the State of Maharashtra v. Manubhai Pragaji Vashi (1995), the Apex Court broadened the purview of the right to free legal aid. The Court said that to provide “the free legal aid”, it is essential to have properly qualified legal practitioners in the nation. It is feasible only if there are an appropriate number of law colleges in the country with proper infrastructure. It also reminded the Government of its duty to provide grants in aid to law colleges.

In Suk Das v. Union Territory of Arunachal Pradesh (1986), the Supreme Court ruled that default in providing free legal assistance to an accused at State expense, except when declined by the accused, would invalidate the trial. The accused do not need to request for this. Free legal service at the State expense is a fundamental right of an accused and this right is intrinsic in the requisite of reasonable, fair and just procedure given by Article 21. The accused cannot be refused this right for the reason that he has not applied for it. The Magistrate has the duty to acquaint the accused of this right.

Facts of the case 

This infamous case involved the blinding of some prisoners inside the Bhagalpur Central Jail. It was one of the worst cases of custodial torture, where several undertrial prisoners were blinded by police officials by pouring acid. In this case, Habeas Corpus petitions were filed in the Supreme Court on behalf of the blinded prisoners under Article 32 of the Constitution. There were counter-affidavits filed by the State as well as the Assistant Jailor of the Bhagalpur Central Jail before the Supreme Court. The State also presented various statements in relation to the blinded prisoners taken from the records of the Judicial Magistrates handling this matter. The Sessions Judge also forwarded a letter to the Registrar of the Supreme Court mentioning that for reasons mentioned in the letter, no survey of the Bhagalpur Central Jail was conducted by the Sessions Judge in 1980. The Registrar also submitted transcripts of statements of the blinded prisoners and a statement of B.L Das, ex-superintendent of the Jail before the Supreme Court. 

While some of the prisoners were granted bail, others continued to suffer under horrible conditions without any remand orders. The blinded prisoners were subsequently transferred to the Rajendra Prashad Ophthalmic Institute in New Delhi. However, the eyesight of the prisoners was so damaged that no surgical or medical treatment could repair it.

Many writ petitions were filed before the Supreme Court. In one of the petitions filed under Article 32 of the Constitution, the petitioners claimed that the prisoners were tortured by the police officers. The police were acting under the authority of the State. Thus, the petitioners claimed that the State was liable to pay compensation to the blinded prisoners for violation of their fundamental rights under Article 21.

Issues raised

The main issues in this case were:-

  1. Whether the State of Bihar was bound to bear the expenses of accommodation of the blinded prisoners while they were kept at the shelter administered by the Blind Relief Association of Delhi or not?
  2. Whether the State of Bihar was obligated to compensate the blinded prisoners for contravention of their fundamental right under Article 21 or not?
  3. Whether the State of Bihar was bound to make provisions for free legal services for the indigent accused persons or not?

Arguments of the parties

Petitioners 

The Advocate representing the blinded persons conveyed the concern that it may be dangerous for the victims to return to Bhagalpur, especially at the time when the investigation into the crimes of blinding was ongoing. It was also contended that the blind victims should be given some provision for accommodation in New Delhi at the expense of the State. 

Another point raised from the side of the petitioners was that the State was under obligation to compensate the blinded prisoners for contravention of their fundamental right under Article 21. It was also argued that the blinded prisoners were left visually impaired by the police personnel who were government employees working for the State and because this was an infringement of the right under Article 21, the State was bound to compensate the blinded persons.

Respondents

The Advocate appearing for the State argued that it was still not proved that the blinding was done by the police as the investigation was still going on. It was also contended that even if the police blinded the prisoners and there was a breach of Constitutional rights under Article 21, the State should not be held responsible for compensating victims. 

Laws discussed 

Article 21: Right to Life and Personal Liberty – Right to Free Legal Aid

Article 21 provides “No person shall be deprived of his life or personal liberty except according to the procedure established by law”. After Maneka Gandhi v. Union of India (1978) judgement, the scope of the term ‘personal liberty’ has considerably expanded. The word ‘personal liberty’ used in this provision has a broad extent and covers a diverse array of rights. The Apex Court has held in a number of instances that the right to free legal aid is a fundamental right under Article 21. 

In this case, the Supreme Court again explained the importance of free legal services under Article 21. The Court reminded the State of its Constitutional commitment to make arrangements for free legal assistance to an accused person if they cannot afford a lawyer due to poverty or any other constraint.

Article 22: Protection against arrest and detention in certain cases – Right to be produced before the Magistrate within 24 hours

Article 22(2) sets out that a person who is arrested should be presented in front of the Magistrate within 24 hours of the arrest. It can be prolonged beyond 24 hours just under judicial custody. No one can be remanded for more than 24 hours other than by order of the Magistrate. If there is omission to present the arrested person in front of the nearest magistrate in 24 hours, that would render the arrest unlawful.

In this case, some of the accused were not presented in front of the Judicial Magistrate in the stipulated time of 24 hours. The Court directed the State and its Police to make sure that this Constitutional and legal requisite to present an accused in front of the Judicial Magistrate in the stipulated time is precisely followed. Some of the accused were not presented in front of the Magistrate after their initial appearance and were kept in jail without any remand orders. The Supreme Court directed the State to investigate such irregularities and make sure that such violations of law are avoided in future.

Article 32: Right to Constitutional Remedies – Writ Petition

Criminal litigation

Article 32 can be explained as the very essence of the Constitution. The proclamation of fundamental rights is futile until there is an efficient mechanism for the implementation of those rights. A right without a remedy is meaningless. Thus, keeping this view in mind, Article 32 was incorporated into the Constitution by the framers of the Constitution.

Article 32(1) sets out the right to request the Supreme Court by “appropriate proceedings” for the implementation of the fundamental rights vested by Part III of the Constitution. Article 32(2) bestows authority on the Supreme Court to issue appropriate directions, orders or writs, such as habeas corpus, mandamus, prohibition, quo waranto and certiorari for implementation of any of the rights vested by Part III of the Constitution.

The writ can be defined as an official order issued by the Court. Therefore, a writ petition is an application presented before the Court, pleading for issuing a specific writ.

Article 39-A: Free Legal Aid

Article 39-A bestows upon the State the duty to make sure that the functioning of the legal system fosters justice based on equal opportunity and shall specifically arrange free legal aid by appropriate legislation or schemes or in any other manner.

Legal aid has been regarded as a fundamental right within the ambit of Article 21 of the Constitution granted to all accused and executable in a court. The State is bound by duty to grant legal assistance to the indigent as held in M.H Hoskot v. State of Maharashtra and Hussainara Khatoon IV case.

Judgement of the case

The Supreme Court noticed irregularities evident from the record. In some cases, the accused were not presented in front of the Judicial Magistrate in the interval of 24 hours of arrest as mandated by Article 22(2). The Court strongly recommended the State and its Police to make sure this Constitutional and legal requisite to present an accused in front of the Judicial Magistrate within the required time is strictly followed. It was also clear by the records of the Judicial Magistrate that in a few cases, the accused were not presented in front of the Judicial Magistrate after their initial appearance and they remained in jail in the absence of any remand orders given by the Judicial Magistrates. This was blatantly illegal. 

The Court also criticised the action of the State to keep the accused in jail in the absence of any remand orders. It was advised that the State should inquire into the reasons as to why this irregularity was permitted and see that such violations of law do not occur in future. The provision prohibiting detention in the absence of remand is a vital provision that empowers the Magistrate to maintain an eye on the investigation and it is important that the Magistrates must strive to implement this requisite and when it is not fulfilled, the Magistrates should strongly admonish the Police.

The Supreme Court instructed that the blinded prisoners who were released from the Hospital should be kept in a shelter administered by the Blind Relief Association of Delhi. The Court also ordered the State of Bihar to bear the expenses of their stay at the shelter.

The Supreme Court observed that it is the Constitutional obligation of the State to provide free legal aid to the accused at all stages of the trial if an accused suffers from poverty or other disabilities. The Court also held the State liable for the disgraceful act of the police for violating the fundamental rights of the prisoners under Article 21, as the Police are directly employed by the State.

Rationale behind this judgement

It was evident from the details submitted by the State and from records of different Judicial Magistrates considering the matters of the different blinded prisoners that neither at the point when the blinded prisoners were presented in front of the Judicial Magistrate nor at the point the remand orders were issued, there was any legal counsel present for the majority of the blinded prisoners. The only reason given for not availing legal counsel to the blinded prisoners at State expenses was that none of them requested for it. 

The outcome was that other than a few blinded victims who got a counsel to appear for them at the subsequent stages of remand, the majority of them did not have any lawyers. Except for a few of them who were released on bail, the remainder of them continued to suffer in jail. The Court conveyed its shock saying that how could such horrendous conditions prevail even after the Hussainara Khatoon (IV) judgement (1979) was pronounced. The Hussainara Khatoon (IV) judgement explained that free legal services are an important component of reasonable, fair and just procedure under Article 21. 

The State has a Constitutional duty to avail a lawyer for an accused if the necessity arises, keeping the conditions in view. The Supreme Court said that the State should not ignore its Constitutional duty by showing financial or administrative incapacity. The decision of the Rhem v. Malcolm (1974) was quoted by the Supreme Court in light of the situation, “the law does not permit any government to deprive its citizens of the Constitutional rights on a plea of poverty”.

However, still, this prerogative to free legal services would be fallacious for a poor accused until the Magistrate or the Sessions Judge in front of whom he is presented acquaints him about this right. It is widely known that approximately 70 per cent of the population in the rural areas are uneducated and yet a larger number of people are ignorant of the rights given to them by law. The importance of spreading awareness about legal aid was also emphasised by the Supreme Court. In this case, the Judicial Magistrate was unsuccessful in fulfilling this duty in relation to the blind prisoners and it was just mentioned that no legal representation was requested for by the blinded prisoners. 

Thus, the Supreme Court ordered the Magistrates and Sessions Judge in the country to notify all accused who appear before them and who are not represented by a legal counsel because of lack of financial resources or disability that they are permitted to avail free legal services at the expense of the State.

The Supreme Court also instructed the State of Bihar and the rest of the States in the nation to make arrangements for free legal services for the accused who are incapable of engaging a lawyer because of lack of financial means. The Court also observed that necessities of social justice demand that the accused ought to be given free legal representation.

Landmark judgments referred to in this case

The two main cases that were referred to in this case were Hussainara Khatoon and Ors v. Home Secretary, State of Bihar (1979) and Rhem v. Malcolm (1974).

Hussainara Khatoon and Ors. v. Home Secretary, State of Bihar (1979)

One of the important judgements referred to in this case was Hussainara Khatoon and Ors. v. Home Secretary, State of Bihar (1979); also known as the Hussainara Khatoon IV judgement. In this case, it was observed that there were many undertrial prisoners who were accused of bailable offences, however were yet in jail since no bail application was filed on behalf of them or for being too poor to furnish bail. It was said that it was not unusual to observe that under-trial prisoners who were presented in front of the Magistrates were ignorant of their prerogative to be let out on bail and because of their poverty, they were incapable of engaging a lawyer who would inform them of their entitlement to apply for bail and assist them to get released on bail by presenting suitable application to the Magistrate in this regard. 

Often the Magistrates as well declined to release the under-trial prisoners presented in front of them on their personal bond but would instead ask for monetary bail with sureties, which because of their lack of financial resources, the under-trial prisoners were incapable of furnishing and this would thus negate any possibility for them to be freed from pre-trial detention. This condition called for the initiation of an adequate and complete legal service program. To make legal aid accessible to the poor, to safeguard them against injustice and to guarantee them their Constitutional and Statutory rights, there should be a national legal service program to accord free legal services to the people. After the Maneka Gandhi judgement, it is effectively established that when Article 21 lays down that no person shall be deprived of their life or liberty other than in conformation with the procedure provided by law, but it is not sufficient there is some procedure provided by law, but the procedure by which a person may be deprived of their life or liberty must be reasonable, fair and just. A procedure which does not ensure that legal services are accessible to a person who is poor and cannot avail a lawyer for that person cannot be considered as reasonable, fair or just. Free legal services to the poor and the deprived is an important component of any reasonable, fair and just process.

Rhem v. Malcolm (1974)

The Supreme Court also referred to an American case, Rhem v. Malcolm (1974). This case was regarding the under-trial detainees who were kept in the Manhattan House of Detention (MHD) and the deprivation of their Constitutional right to a fast trial for the reason that it did not have the financial resources to spend on modernising the administrative and judicial machinery in order to guarantee a speedy trial. It was held that while the Government may have financial limits and expenditure priorities, however, the law forbids any Government from depriving its citizens of fundamental rights on the grounds of lack of resources.

Analysis of the case

This case again revealed the negligent attitude of the State and the jail authorities when it comes to the rights of the prisoners as well as people who are accused of a crime. From the records, it was revealed that some of the blinded prisoners were not presented in front of the Judicial Magistrate within 24 hours as per law. Most of the blinded prisoners had no legal counsel, which the State was bound to accord. These were matters of grave concern.

The Supreme Court, in this case, elucidated that the State shall not evade its Constitutional duty to accord free legal services to poor accused persons by claiming monetary or administrative difficulty. This is a Constitutional directive and the State has to do the needful to ensure legal aid to those incapable of paying for legal assistance. 

The Constitutional duty to accord free legal services to the indigent accused does not accrue just when the trial begins but also becomes necessary when the accused is produced in front of the Magistrate in the initial stage. Since it is at this step that they get the first chance to make an application for bail and get released as well as avoid remand to police or judicial custody. This is the point when legal assistance is most important to the accused.

The right to free legal services may just become notional until the Magistrate or the Court in front of whom the accused is presented informs the accused of this right. Thus, the Supreme Court in this instance advised the Magistrates and Sessions Courts to inform every accused who appears before them and who is not represented by legal counsel because of poverty or disability, of his right to free legal services at the State’s expense.

The Supreme Court also shed light on the lack of awareness about legal aid in the country. In this connection, it may be mentioned that nowadays legal aid and legal awareness camps are being arranged by various governmental and non-governmental organisations to spread awareness about free legal aid in the country. Lack of literacy, especially lack of legal literacy is a problem in our country and this problem needs serious attention.

The right to free legal aid is a fundamental right within the ambit of Article 21. Article 39-A sets out “equal justice” and “free legal aid.” In a civilised nation, administered by the rule of law, one of the chief duties of the State is to have an efficient legal system. The words “provide free legal aid by suitable legislation or by schemes” have been incorporated so that opportunities for attaining justice are not denied to anyone because of economic and other reasons. These terms used in Article 39-A are very important. 

To ensure that legal aid is available to all citizens who require it, the Legal Services Authorities Act, 1987 was enacted. The objective of the act is to provide free and quality legal services to socio-economically disadvantaged groups of society. The significance of free legal aid has now been realised by both the Judiciary as well as the Legislature. Without legal aid, the requirements of justice cannot be fully met.

Relevance of the case today 

This case is still remembered as one of the most barbaric cases of custodial torture. The importance of the right of the accused to be produced before the Magistrate within 24 hours of arrest was highlighted in this case. This case revealed that there is still a lot to be done when it comes to the issue of the rights of accused persons, especially indigent and underprivileged accused persons. 

This case still stands as one of the landmark judgements where the Supreme Court highlighted the importance of free legal aid as well as legal awareness. The Supreme Court also reminded the Magistrates and Sessions Judges of their duty to inform the accused of free legal services. Though, subsequent to the judgement in this case The Legal Services Authorities Act, 1987 was enacted, but the case still retains its importance and serves as a reminder for the State of its obligations towards underprivileged accused persons.

Conclusion

In this instance, the urgency of availing free legal aid to the indigent accused again came to the forefront. In order to meet the requirements of justice, this right is vital. The case involved the issue of blinded prisoners in Bhagalpur Central Jail. The main points of contention, in this case, were, should the State of Bihar give free legal help to the indigent accused and was the State under a duty to compensate the blinded accused for contravention of their fundamental right under Article 21. 

The Supreme Court found out that there were inconsistencies revealed from the records. Few of the blind accused were not presented in front of the Judicial Magistrate as necessitated by law. The Court strictly advised the State of Bihar as well as its Police to ensure that this Constitutional and legal essential to present an accused in front of the Judicial Magistrate is followed. The Supreme Court found that most of the blinded prisoners did not have any legal representation when they were produced before the Judicial Magistrate as well as when the remand orders were passed. The excuse given for not providing legal assistance was that they did not ask for it. The lack of awareness about free legal aid and the responsibility of the Magistrate or the Sessions Judge to acquaint the accused with their right to free legal aid was also stressed upon by the Supreme Court. The State of Bihar as well as other States were directed to ensure free legal aid to the persons who were constrained by economic or other incapacities.

Frequently Asked Questions (FAQs)

What do you mean by free legal aid? 

Free legal aid connotes providing legal services free of cost to financially disadvantaged sections of the society. It means providing free legal assistance to people who are incapable of availing the services of a lawyer due to poverty or other disabilities.

Is free legal aid a constitutional right, fundamental right or statutory right?

The Supreme Court has recognised free legal aid as a fundamental right within the meaning of the ‘Right to Life and Personal Liberty’ under Article 21 of the Constitution. Article 39-A also puts an obligation upon the State to provide free legal aid to the people who cannot afford legal assistance. Besides, free legal aid also has been given statutory recognition by the Legal Services Authorities Act, 1987. Therefore, free legal is a Constitutional right, a fundamental right and a statutory right as well.

References

  1. Dr. J.N Pandey; The Constitutional Law Of India; Central Law Agency
  2. R.V Kelkar; Criminal Procedure; Eastern Book Company
  3. https://legodesk.com/legopedia/free-legal-aid/ 
  4. https://blog.ipleaders.in/writ-petitions-india-file/ 
  5. https://lawfoyer.in/khatri-and-others-v-state-of-bihar-and-others-1981-1-scc-627/ 

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Punishment for harassment in India 

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This article is written by Subhangee Biswas. The article briefly discusses the provision concerning sexual harassment, its essentials and the concerned punishment under Indian Penal Code, 1860. The article further delves into the history of sexual harassment, merging its timeline into the introduction of the Criminal Amendment Act, 2013 and also highlighting the role of social media in this scenario. Lastly, the article concludes by citing some of the landmark cases and also some recent judgements that have shaped the entire concept so as to adapt to changing times.

It has been published by Rachit Garg.

Introduction 

Before learning about sexual harassment under different statutes, we first need to understand the general meaning of the term. Sexual harassment is unwanted conduct, including verbal, nonverbal, and physical conduct that is sexual in nature. The acts of different kinds of abuse, including violence, physical abuse, molestation, sexual abuse, eve-teasing, rape, are all different kinds of sexual harassment. It includes:

  1. Making unwelcome sexual advances,
  2. Requests for sexual favours,
  3. Physical acts of sexual assault, including unwanted sexual looks or gestures,
  4. Verbal acts of harassment, like making jokes regarding sexual acts or sexual orientation,
  5. Unwanted touch or physical contact,
  6. Unwanted sexually explicit photos, emails, texts containing materials of a sexual nature,
  7. Sexually coloured remarks,
  8. Showing pornography.

Every form of harassment is wrong and unacceptable, be it verbal, physical, or visual. Harassment is a violation of one’s personal space. However, sexual harassment is a violation of fundamental rights. As stated by the Supreme Court in the case of Vishaka v. State of Rajasthan (1997), sexual harassment cases result in violation of fundamental rights of women under Articles 14, 19 and 21 of the Constitution of India.

Sexual harassment can take place anywhere, whether it’s at workplace, educational institutions or any other place. There are also incidents of people being sexually harassed while commuting on public transport. Majority of women have experienced sexual harassment in some way or another in their life- whether it is an unwanted touch by someone in a crowded area, any sexual looks or gestures by someone in their neighbourhood or any other sexual advances or comments made in the workplace or educational institutions.

In India, we have three statutes that make sexual harassment a punishable offence, namely, the Indian Penal Code, 1860 (hereinafter referred to as IPC), via Section 354A, the Sexual Harassment of Women at Workplace (Prevention and Redressal) Act, 2013, also known as the POSH Act; and the Protection of Children from Sexual Offences, 2012 (commonly referred to as POCSO), via Section 12

Section 354A provides a generalised definition of sexual harassment, irrespective of the place where it happened and prescribes the penal provisions for the offence. On the other hand, the POSH Act defines, under Section 2(n), sexual harassment taking place with women at their workplace, thus narrowing down the scope. The Act further provides provisions regarding protection against such sexual harassment and also the prevention and redressal of the complaints made by the victims of sexual harassment at the workplace. 

POCSO defines the offence of sexual harassment committed against a child under Section 11 and prescribes punishment for it under Section 12. Here, again, the scope has been narrowed down by limiting its application to those cases in which the victim is a child- the same is obvious from the statute as it is enforced as a special Act for children. However, the provision under POCSO is not limited to a girl child since the Act is gender neutral.

We will be dealing with these three different statutes under separate headings.

History of sexual harassment and its recognition

Sexual harassment is not a recent social issue. It has been existing for a long time around the world. Majority of the women, if not all, have been victims of such sexual assaults. 

Prior to 1997, there was no proper legal definition of sexual harassment in Indian law. The only provisions available under the IPC that could be used in  cases of sexual harassment were Section 354, which is outraging the modesty of a woman and Section 509 which is insulting the modesty of a woman. There are multiple incidents where women faced sexual harassment but due to a lack of terminology and legal framework, the victims did not get justice properly and, at most, received partial justice. Since there was no legal recognition of the term “sexual harassment,” all the cases were filed under IPC Sections 354 and 509 only. Under these two Sections, only outraging modesty was concerned. On the other hand, sexual harassment is a broader term that includes a list of acts, thus giving a wider scope of protection. Giving a straightforward definition of “sexual harassment” and stringent punishments, along with addressing some of the emerging forms of sexual abuse, the newly introduced sections corrected the deficiencies of the previous provisions and strengthened the legal framework.

Following are some of the cases where the victims had to suffer due to a lack of appropriate provisions penalising sexual harassment:

In the case of Rupan Deol Bajaj v. K.P.S. Gill (1995), a superior officer sexually harassed a senior IPS officer but due to the limited provisions of Sections 354 and 509, the High Court found the recourse insufficient and quashed the FIR and complaint. It concluded that the allegations made in the complaint did not disclose any cognizable offence. The Supreme Court then set aside the judgement of the High Court and sent back the case to the lower courts to take cognizance of the offences under Sections 354 and 509. However, in 2005, on appeal, the Supreme Court turned the punishment into probation. 

Again, the case of Vishaka v. State of Rajasthan (1997) took place, in which the problem of sexual harassment in the workplace was addressed and the absence of related legal provisions led to the issuance of guidelines till a new framework was enacted. The Rajasthan High Court failed to give justice but due to constant efforts and struggle by the victim and different women’s organisations, the Supreme Court enacted the Vishaka guidelines as a temporary solution. After 16 years, the Sexual Harassment of Women at Workplace (Prevention, Prohibition and Rederssal) Act, 2013 replaced the guidelines. 

On the other hand, in 2012, the horrific incident of the Delhi Gang Rape case, also known as the Nirbhaya case (Mukesh and another v. State for NCT of Delhi (2017)), took place, which shook the entire nation. The brutal and barbaric attack on the victim made the legislature consider amending the prevalent rape laws. This led to the introduction of the Criminal Amendment Act, 2013, also known as the Anti-Rape Act. Through this amendment, many new offences were added to the definition of rape. Along with it, Section 354A was introduced, thus providing a separate provision in the IPC for sexual harassment, making it a penal offence.

Essentials of harassment 

Every crime has four components, namely, 

  1. The person committing the crime, 
  2. The intention to harm, which is known as mens rea or guilty mind,
  3. The act- can be commission of an act or omission to do an act, also known as actus reus
  4. The injury.

For any crime to take place, mens rea and actus reus are the most important essentials. Let us understand these two terms first.

Mens rea is a Latin word that means “guilty mind.” This is the mental component of the crime. It describes the mental state and intention of the person at the time of committing the offence. The common law maxim is “actus non facit reum nisi mens sit rea,” which means “the act is not considered to be guilty unless the mind is guilty”. In simple terms, the accused cannot be held accountable for his actions unless it is proven that he had the intention to commit the crime.

Actus reus means “guilty act.” This is the physical component of the crime. Actus reus means the criminal act that is committed. It is not necessary that there has to be a commission of an act; actus reus can also mean an intentional omission to do some act- this can be concluded from Section 32 of the IPC, which mentions that acts also include illegal omissions. The act or omission to act must have caused injury to some other person. Moreover, the actus reus must be voluntary. This is concluded from the Latin maxim “actus me invito factus non est mens actus,” which means that “an act done against a person’s will is not his act.”

Sexual Harassment under Indian Penal Code

The Indian Penal Code, 1860, did not originally contain a separate provision for sexual harassment. It was after the Criminal Law (Amendment) Act of 2013 that separate provisions were introduced to cover the new crimes that were taking place against women. The passing of the 2013 Act was mainly the after effects of the Nirbhaya case. It was observed that the existing laws were inadequate when it came to dealing with such horrific crimes and such inadequate laws failed to provide protection and justice to the victims. Hence, after this case, the legislature proposed changes and made amendments to the existing statutes to provide better protection against sexual crimes. As a result, substantive changes were made in the three major criminal law statutes, that is, the IPC, the Code of Criminal Procedure, 1973 and the Indian Evidence Act, 1872. Section 354A was one of such provisions that were introduced in the IPC.

Definition

Sexual Harassment has been defined under Section 354A of the IPC, 1860. The Section is divided into three sub-clauses. The first sub-clause lists down the acts that are considered to be sexual harassment, whereas the second and third sub-clauses mention the respective punishments prescribed for the offence.

The acts that are enlisted in sub-clause (1) of Section 354A include the following:

  1. Physical contact and advances, which includes unwelcome and explicit sexual overtures,
  2. A demand or request for sexual favours,
  3. Showing pornography to a woman against her will,
  4. Making sexually coloured remarks.

The commission of any of the abovementioned acts shall be deemed to be “sexual harassment,” and the man committing such acts shall be guilty of the offence of sexual harassment.

Punishment for harassment 

The punishment has been divided into two parts. The punishment for the first three acts mentioned in clauses (i) to (iii) are given in sub-clause (2). Similarly, the punishment for the act mentioned in clause (iv) has been given in sub-clause (3). To make easier, we will divide it into two points –

  • Sub-section (2) provides punishment for the acts stated in clause (i), (ii), and (iii), namely:
    • Acts of physical contact and advances,
    • Demand or request for sexual favours,
    • Showing pornography against the will of a woman. 

The punishment prescribed is rigorous imprisonment for a term that may extend to three years, or with fine or with both. There is no minimum limit but the maximum limit for the term of imprisonment for this offence is 3 years and the form of imprisonment is rigorous.

  • Sub-section (3) provides punishment for the act stated in clause (iv), which is making sexually coloured remarks. 

The punishment prescribed is imprisonment of either description for a term which may extend to one year or with fine or with both. In this case, similar to sub-section (2), there is no minimum limit but the maximum limit for the term of imprisonment is 1 year. The punishment in this case is not rigorous. 

An offence under Section 354A IPC is cognizable, bailable and can be tried by any magistrate. The offence is not listed under Compoundable Offences under Section 320 of CrPC, 1973. Thus, cases of sexual harassment cannot be compounded by the parties.

To make it simpler, let us understand the underlined terms:

Rigorous punishment is mentioned in Section 53 of the IPC as a form of imprisonment to which the offenders are liable under the statute of the IPC. Therein, it is stated that it is a form of punishment that includes hard labour.

Cognizable offence as defined under Section 2(c) of the Code of Criminal Procedure, 1973, means an offence in which a police officer may arrest without warrant. But the arrest must be in accordance with the First Schedule or under any other law which is in force during that time.

Bailable offence is defined under Section 2(a) of the Act of 1973 as an offence that is mentioned as bailable under the First Schedule or is made bailable by any other law that is in force.

Compoundable offences as mentioned under Section 320 of the CrPC, mean those offences in which the parties can enter into a compromise while the case is under trial in court. Compounding can take place with or without the consent of the court.

Difference between Section 354 and 354A IPC

Section 354 and Section 354A both penalise sexual offences against women. Section 354 deals with the offence of using assault or criminal force on a woman with the intention of outraging her modesty. It provides a punishment of imprisonment for a minimum term of one year and maximum term of five years, along with fine. On the other hand, Section 354A, as discussed above, criminalises sexual harassment.

From the face of it, they sound similar and also seem to have similar usage. But if examined closely, there is a difference in their language and intention. Looking closer into the phrasing of both Sections, we can point out this one major difference between the two-

Section 354 focuses on the “act,” which is essentially a physical act. The criminal intention plays a major role in determining whether such a “physical act” is an offence. Moreover, the use of force is also highlighted in this section.

Section 354A, on the other hand, includes non-physical acts as well. For example, demand for sexual favours, showing pornography, and making sexually coloured remarks have also been made to constitute an offence under this section. Unlike Section 354, acts of sexual harassment can be committed without the application of force. 

Sexual Harassment under POSH Act

The POSH Act was enacted by the government in 2013 to highlight and provide redressal to the issue of sexual harassment faced by women at the workplace. This legislation was an outcome of the case of Vishaka v. State of Rajasthan (1997). Initially, the Supreme Court only issued guidelines called “Vishaka Guidelines.” These guidelines were to remain in force until a new legislation was enacted to address this issue. This case has been dealt with in detail in the later part of the article. 

The POSH Act aims to provide a safe working environment for women. It not only provides protection but also describes an entire redressal procedure, including the constitution of an internal complaints committee and a local complaints committee, along with their composition. The Act also provides the procedure for lodging complaints and the inquiry process.

Definition

Section 2(n) lists certain “unwelcome acts or behaviors” that, when committed directly or by implication, are considered to be included under the term “sexual harassment.” The acts are:

  1. Physical contact or advances,
  2. Demand or request for sexual favours,
  3. Making sexually coloured remarks,
  4. Showing pornography,
  5. Any other unwelcome physical, verbal or non-verbal conduct of sexual nature.

If we look at this definition, we will notice that the definition is somewhat similar to that which is given under Section 354A of the IPC. A new addition is the fifth point, which makes the scope very broad in the sense that any kind of unwelcome conduct of sexual nature will be considered “sexual harassment.” 

Moreover, under sub-section(2) Section 3, five circumstances are mentioned, the occurrence or presence of which, if they are connected with the acts of sexual harassment as mentioned in Section 2(n), would constitute sexual harassment. The circumstances can be expressed or implied and include the following:

  1. Promise of preferential treatment in employment,
  2. Threat of detrimental treatment in employment,
  3. Threat regarding present or future employment status, 
  4. Interference with work or creating an intimidating, offensive or hostile work environment,
  5. Humiliating treatment, which is likely to affect the health and safety of the woman.

Redressal procedure

Now, let us understand the redressal procedure in sexual harassment cases under this statute. The process is a bit different than that of IPC. There is no direct mention of a punishment; rather, an entire procedure is mentioned that has to be undertaken- from lodging a complaint to undertaking an inquiry and then taking the necessary steps. 

For the redressal of sexual harassment cases, the Act mandates the constitution of an Internal Complaints Committee (ICC) under Section 4 and a Local Committee (LC) under Sections 6 and 7. These two bodies will receive complaints from victims of sexual harassment and conduct inquiries. There are two ways mentioned in which the issue can be resolved by the committee. One is conciliation between the victim and the perpetrator. Another is that, after inquiry, appropriate action is taken based on the facts and evidence. 

If an incident of sexual harassment takes place, the victim has to file a written complaint with either the ICC or LC within three months from the date of the incident. This has been provided under Section 9 of the Act. 

Now, we will discuss the procedures of resolution undertaken by the committee. As mentioned, there are two ways, which are described below:

  1. If the victim requests it, the matter can be settled through conciliation before any inquiry is started. However, no monetary settlement is allowed as a basis for conciliation. If the settlement is arrived at, then the ICC or LC will not conduct any further inquiry and will just record the settlement arrived at. The same shall be forwarded to the employer or District Officer to take action. This is the conciliation method of resolving the issue, which has been mentioned under Section 10.
  2. If the perpetrator is the employee itself, then an inquiry will be made into the complaint as per the service rules. If the incident is concerning a domestic worker and there is a prima facie case existing, then the LC will forward the complaint to the police within seven days for registering the case under Section 509 IPC. If the perpetrator is found guilty, the court will order payment of compensation. This has been provided under Section 11.

Sexual Harassment under POCSO Act

The enactment process of the legislation which eventually became the POCSO Act started in 2009 with the Ministry of Women and Child Development circulating the draft Offences against Children Bill. Around this time, in 2010, there were protests going on against the injustice delivered in the case of S.P.S. Rathore v. CBI (2016), famously known as the Ruchika Girhotra case. This case has been explained in the later part of the article. This resulted in the formation of the draft Criminal Law (Amendment) Bill, 2010 which proposed changes to the three criminal statutes of IPC, CrPC and Evidence Act. It also included provisions regarding sexual abuse of a minor. After this, two more Bills regarding protection of children from sexual offences were prepared and circulated consecutively. Finally, the POSCO Bill was introduced in 2011 and the Act came into force in 2012. The Act provides for harsher punishments for all kinds of sexual offences against children. Let us go through the provision concerning sexual harassment under this statute.

Definition

Similar to the provisions stated under the IPC, the POCSO Act also defines sexual harassment and proceeds to prescribe punishment for the same. The only noticeable difference between the definition under the POCSO Act and the definitions provided by the other two statutes is that, the one provided under the POCSO Act specifically deals with those cases of sexual harassment where the victim is a child, unlike the other statutes where the victim is an adult female. 

A child is defined under Section 2(d) to mean a person below 18 years of age. 

Section 11 of the Act defines sexual harassment upon a child. There is a list of acts provided for the purposes of defining it. The acts include the following:

  1. Saying something, making any sound or gesture, or showing any object or exposing any body part with the intention that such word, sound, gesture, object, body part will be perceived by the child,
  2. Making a child expose his body or body part so that it is seen by the perpetrator or some other person,
  3. Showing the child any object or media for pornographic purposes,
  4. Repeatedly or constantly following, watching or trying to contact a child, directly or through digital or other means, 
  5. Threatening to use in any media a real or fake depiction of any body part of the child or involvement of the child in a sexual act, 
  6. Enticing a child for pornographic purposes.

If we notice the above-mentioned acts, which are said to constitute sexual harassment, it can be seen that the definition does not mention or include any physical contact- it only includes non-physical acts, such as showing pornography, following or watching, threatening to use a depiction of the child in some sexual act, or enticing the child for pornographic purposes.

Punishment

The punishment for sexual harassment upon a child is provided under Section 12. It prescribes imprisonment for a maximum term of three years along with a fine for such an act.

Introduction of Criminal Amendment Act 2013

The Criminal Law (Amendment) Act, 2013 was an outcome of the horrific Delhi Gang Rape case- the brutality of which shook the entire nation. Mass protests took place in different parts of the country and mainly in Delhi to change the prevalent rape laws to make it more stringent. The basic idea was to make the laws more stringent, introduce harsher punishments and include new terminology to cover more offences that were taking place against women and make them punishable. 

The most important change made was to widen the scope of the word ‘rape’ in Section 375. Previously, it only meant penile vaginal penetration but the amended provision made any penetration an offence of rape. That is, previously, “rape” was meant to only include penetration of the penis into the vagina, urethra or anus. However, the amended Section makes any form of penetration without free consent or free will an offence. The amended provision states that the act of penetration, by a person, of their genital, or inserting of any other object or a part of the body apart from the genital, into the genital, urethra, or anus of the other person, constitutes the criminal offence of rape. It also includes within its scope the possibility of the perpetrator making the victim do the act with them or with a third person. This change was done mainly considering the Delhi rape case where an iron rod was inserted in the body of a girl.

Apart from this, with the increase in commission of new crimes which endangered the safety of women to a great extent, new crimes and their corresponding punishments were also introduced and included which was absent in the previous legislation. Among the rest of the newly introduced provisions like Sections 354B (disrobing a woman- this makes the act of assaulting or using criminal force or abetting such act, with the intention to disrobe or compelling a woman to be naked, a criminal offence), 354C (voyeurism- this provision penalises watching or capturing the image of a woman, engaged in some private act, in such circumstances where, the victim would usually expect not to be observed by any person or perpetrator), 354D (stalking- the act of following, contacting, and attempting to contact a person, who has clearly indicated no interest and thereby causing fear and distress to the victim, has been made punishable through this section) and 376E (punishment for repeat offenders). Section 354A was also introduced to provide a separate provision to penalise sexual harassment.

Before the Criminal (Amendment) Act of 2013, there was no separate provision for the offence of sexual harassment as discussed previously, and recourse was taken to Section 354 and 509 for relief. 

With the passage of time, there has been an increase in crimes against women. The approach and tendencies towards women have become increasingly violent, which has hastened the need to develop and reform the existing laws so as to provide a better framework for the protection of women against sexual crimes and deliver justice to the victims. The Act made significant changes and the inclusion of new terms for sexual offences like stalking and sexual harassment has made it easier to lodge a complaint under the new provisions. The Amendment Act has been one of the most concrete steps taken by the Indian Government to suppress violence against women. No doubt, it has resolved many shortcomings that used to increase the plight of the victims previously. 

To know more about the Criminal Law (Amendment) Act, 2013 in detail, click here.

Sexual Harassment under the Bharatiya Nyaya Sanhita, 2023

The Bharatiya Nyaya Sanhita, 2023, also known as BNS, is a new law that repealed and replaced the IPC, 1860, to become the new penal code. The IPC was almost a 150 year old law. A need was felt to carry out an extensive review of the IPC since it was a pre-independence British-era criminal statute that had become outdated and did not coincide with the evolving rights and the new organised crimes that were taking place. 

The preamble mentions that it is “An Act to consolidate and amend the provisions relating to offences and for matters connected therewith or incidental thereto.” 

A few changes that have been brought about by this new penal code include the introduction of “community service” as a punishment in cases of petty offences. Moreover, the offences against women and children, offences against the State, and murder have been given more priority. Strict punishments have been prescribed for organised crimes and terrorist activities. 

Let us look at the provision of sexual harassment under the BNS, 2023.

Definition 

Section 75 of the BNS, 2023, states the definition as well as the punishment for sexual harassment. Sub-section (1) provides the definition and sub-sections (2) and (3) provide the punishment. This arrangement is similar to the IPC structure that we have seen previously. 

The provision, in sub-section (1), lists certain acts, which include the following:

  1. Physical contact and advances, which begins with an unwelcome and explicit sexual introduction,
  2. Demand or request for sexual favours, 
  3. Showing pornography to a woman against her will,
  4. Making sexually coloured remarks.

The above-mentioned acts are included in the definition of the offence of sexual harassment and the commission of any of them by a man will result in the commission of the offence of sexual harassment and the man committing the same shall be held guilty of the offence of sexual harassment.

If we compare it with the provision provided under the IPC, it can be concluded that both provisions provide the same definition for sexual harassment. There are no changes made in the provisions by the legislature for this offence.

Punishment 

As for the punishment, the same has been given under sub-section (2) and sub-section (3) of Section 75. Similar to the IPC, the punishment has been divided into two parts. Let us directly divide the punishment into two points to make it easier to understand-

  • Sub-section (2) states the punishment for commission of the acts mentioned in clauses (i), (ii) or (iii), which include-
    • Physical contact and advances, 
    • Demand or request for sexual favours, 
    • Showing pornography against the will of a woman

For the commission of these three acts, a punishment of rigorous imprisonment for a term that may extend to three years or with fine or with both has been prescribed. There is no minimum limit but the maximum limit for the term of imprisonment for this offence is 3 years and the form of imprisonment is rigorous.

It is the same punishment as has been given under the IPC.

  • For the last act, that is, clause (iv), which is making sexually coloured remarks, a punishment of imprisonment of either description for a term which may extend to one year or with fine or with both has been prescribed. Again, there is no minimum limit on the length of imprisonment but the maximum period of imprisonment that a convict can be sentenced to is 1 year. Here, there is no mention of a rigorous sentence so it is assumed that the imprisonment will be simple. 

This punishment is also the same as that of the IPC.

Case laws

Tuka Ram and another v. State of Maharashtra (1979)

The case of Tuka Ram and another v. State of Maharashtra, (1979), is commonly known as the Mathura Rape Case. This case revolved around the custodial rape of a young girl named Mathura. 

Facts

Mathura’s parents died when she was a child and she lived with her brother. Both of them worked as labourers. Mathura used to work in the house of Nunshi and there she met Ashok, who was the nephew of Nunshi. They developed a relationship and they decided to marry.

Mathura’s brother lodged a police report that Mathura had been kidnapped by Nunshi, her husband and Ashok. The police brought all three people named and recorded their statements. Everyone was asked to leave, except Mathura. The police asked her to wait at the police station.

The prosecution stated that after everyone left, one accused/appellant named Ganpat took Mathura into a latrine and raped her, dragged her outside and raped her again. Then the second accused/appellant sexually harassed her but could not rape her due to him being highly intoxicated. 

The three of them—Nunshi, Mathura’s brother and Ashok—standing outside grew suspicious and shouted to attract the crowd. The complaint was lodged. A doctor examined Mathura and estimated her age to be 14-16 years old and her hymen revealed old ruptures. There was the presence of semen only in her clothes. 

The Sessions Judge held that there was no satisfactory evidence to prove that the victim was under 16 years on the date of occurrence. It was also stated that the victim lied and simply had sexual intercourse at the police station and the occurrence of rape is not proven. Moreover, the Judge remarked on the character of the victim, stating that she was habituated to sexual intercourse and used rape just to save her virtue. The District Judge acquitted the accused constables.

The High Court reversed the order of acquittal. The High Court found that forced sexual intercourse amounted to rape. The accused appealed to the Supreme Court.

Issues

  • Whether the two accused constables were liable to be punished under Section 376 and Section 354 of IPC for rape and outraging modesty, respectively?
  • Whether a minor girl is capable of giving consent for a sexual act?
  • Whether there was an occurrence of a forceful sexual act?

Judgement

The Supreme Court reversed the order of conviction of the High Court and acquitted the accused. Agreeing with the Sessions Court, the Supreme Court held that it was a consensual intercourse as there were no injury marks, no resistance, and no attempt to raise an alarm. It led to the conclusion that it was consensual sexual intercourse and not rape. 

After effects

The Supreme Court had acquitted the accused, which led to widespread criticism regarding its logical reasoning. After the judgement, four law professors wrote an open letter to the Supreme Court questioning the judgement. But even after such large-scale opposition, there was no initiation by the Supreme Court to change their verdict. However, this brutal case led to certain major amendments through the Criminal Law Amendment Act passed in 1983. Some of the changes being:

  1. Section 114A was added to the Indian Evidence Act, 1872, which provided that if the victim says she did not consent to the sexual intercourse, the Court ‘shall presume’ that she did not consent; hence, it was made mandatory to accept the victim’s testimony in this regard.
  2. Section 376 of the IPC received more additions in the way of Sections 376A, 376B, 376C, and 376D. Section 376A prescribes punishment for those cases in which the victim of rape died or fell into a persistent vegetative state as a consequence. Section 376B penalises sexual intercourse by husband on wife during separation. Section 376C made custodial rape a punishable offence. Lastly, Section 376D provides punishment for gang rape.
  3. The amendment also shifted the burden of proof from the victim to the offender once it was established that sexual intercourse took place without the victim’s consent.
  4. Publication of victim’s identity was also banned and rape trials were held to be conducted in camera.

Rupan Deol Bajaj v. K.P.S. Gill (1995)

This case is popularly known as the “Butt Slapping Case” and was one of the most publicised, high-profile legal cases in India. It remained highlighted in the media for many years. In this case, the then Director General of Police in Punjab, K.P.S. Gill, was held guilty of the charges of molestation. The case went on for 17 years and finally, in 2005, the Supreme Court gave the final verdict.

Facts

The incident took place at a dinner party where Mr. K.P.S. Gill, the Director-General of Police, Punjab, at the time, had slapped R.D. Bajaj on her posterior in the presence of all.

Around 10pm on the night of the dinner, Mr. Gill joined the ladies’ circle. Mrs. Bajaj was already engaged in another conversation when she was requested by Mr. Gill to sit next to time in the pretext of talking about something. When she went to sit in the chair next to him in response, Mr. Gill suddenly pulled the chair close to his chair. Mrs. Bajaj was taken aback by this sudden gesture. When she tried to sit on the chair in its original place, Mr. Gill repeated the same gesture. Mrs. Bajaj realised something was wrong and left the place and sat with others like she did previously.

After some time, Mr. Gill came and stood very close to her and asked her to get up and come along with him, gesturing the same with the crook of his fingers. She objected and asked him to leave. He repeated the same thing. Finally, Mrs. Bajaj decided to leave the place herself, as she was frightened. Mr. Gill blocked her way. 

With no other alternative, when Mrs. Bajaj drew her chair back and turned backwards, Mr. Gill slapped her on her posterior.

Then Mrs. Bajaj registered a complaint accusing Mr. Gill of offences under Sections 341 (punishment for wrongful restraint), 342 (punishment for wrongful confinement), 352 (punishment for assault or criminal force), 354 and 509 of the IPC. The complaint was treated as an FIR and a case was registered at the Central Police Station in Chandigarh. An investigation was also initiated. 

The husband of Mrs. Bajaj was the senior I.A.S. officer of the Punjab Cadre and he lodged a complaint in the court of the Chief Judicial Magistrate for the same. 

He alleged that since Mr. Gill was a high ranking police officer, the police had neither arrested Mr. Gill nor conducted a fair and impartial investigation. Since he perceives that the police will obstruct the course of investigation and not help in attainment of justice, he has filed the complaint.

The Chief Judicial Magistrate transferred the complaint to the Judicial Magistrate, who asked the Investigating Officer to submit the investigation report.

On the other hand, Mr. Gill filed a petition in the High Court of Punjab and Haryana under Section 482 of the Code of Criminal Procedure, 1973, seeking that the FIR and the complaint made against him be quashed. The High Court passed an interim order putting a hold on the investigation but allowing the proceeding related to the complaint. The Judicial Magistrate proceeded with the complaint and heard the matter. The claim of privilege under the Indian Evidence Act was rejected.

Assailing this order, the State of Punjab filed a Criminal Revision Petition, which was allowed by the High Court. The High Court also entertained the petition filed by Mr. Gill under Section 482 CrPC and allowed it quashing the FIR and the complaint. The High Court mentioned that the accusations mentioned in the FIR do not constitute any cognizable offence and that the act that took place with Mrs. Bajaj falls under the scope of Section 95 of the IPC.

Mr. and Mrs. Bajaj filed a petition challenging this order of the High Court.

Issues

Two issues can be formed from the above-mentioned facts:

  • Whether the allegations mentioned in the FIR by Mrs. Bajaj constitute any offence under the IPC?
  • Whether the High Court was correct in quashing the FIR and the complaint exercising its powers under Article 226 of the Constitution?

Judgement

The Supreme Court stated that, as per Sections 354 and 509, the act done by the accused did amount to outraging the modesty of a woman. However, the Court held that the offences of Section 341, 342, and 352 of the IPC were not committed and thus, it denied the claims of their commission.

The Supreme Court also mentioned that the High Court was not justified in applying Section 95 IPC. This act of the High Court was highly criticised because outraging a woman’s modesty cannot be considered to be a trivial matter.

Thus, the Supreme Court set aside the judgement of the High Court and dismissed the petition by Mr. Gill under Section 482 of the CrPC. It was further directed that the Chief Judicial Magistrate proceed with the case concerning the offences under Sections 354 and 509 and give a verdict based on the facts and evidence as provided.

Timeline after the SC verdict

The Chief Judicial Magistrate conducted a trial. The accused was held guilty under Sections 354 and 509 and sentenced to imprisonment (three months of rigorous imprisonment and two months of simple imprisonment) with a fine.

The accused appealed to the Session Court. It confirmed the conviction and directed release on probation while increasing the fine amount imposed.

The accused appealed to the Punjab and Haryana High Courts against the decision of the Session Court. The High Court upheld the decision of the Session Court and again increased the fine amount.

Again, the accused appealed to the Supreme Court. In 2005, the Supreme Court upheld the conviction and reduced the sentence to probation.

After effects

Criminal litigation

This incident is among those cases that took place when there was no definition or mention of “sexual harassment” in the legal provisions. Naturally, the only redressal that can be resorted to were the provisions of Sections 354 and 509. This case was highly mentioned, even in the social media movement #MeToo. 

This case highlighted the gap in the legal framework, since in the absence of more defined provisions, the victim had to take recourse to the limited provisions of Sections 354 and 509. The need for further reforms and laws on sexual harassment was also felt. Since there were no adequate provisions to cover the offence, the victim had to struggle for a long period and, after that, received only partial justice. The case of Vishaka took place shortly after this incident, which finally led to recognition of “sexual harassment.”

Vishaka v. State of Rajasthan and others (1997)

This is a landmark case for the topic of sexual harassment, as this case led to the enactment of the Criminal Amendment Act, 2013, which in turn gave recognition to “sexual harassment” as a distinct offence. The Supreme Court in this case provided guidelines for dealing with sexual harassment at work. The guidelines are called “Vishaka Guidelines.”

Facts

A social worker named Bhanwari Devi worked with families in her village to stop child marriages. One particular day, she was working to stop the marriage of an infant girl child. 

The Sub Divisional Officer and the Deputy Superintendent of Police had gone to stop the marriage but it was performed nevertheless and no further police action was taken against the incident. It was discovered that Bhanwari Devi was responsible for causing the police interference to stop the marriage. This led to people boycotting her and her family. Another consequence was that she lost her job.

As a result of this, 5 men, among whom 4 belonged to the mentioned family, attacked Bhanwari Devi and her husband and gang-raped her in front of her husband.

When Bhanwari Devi and her husband approached the police for help, the police refused to file an FIR out of political pressure and also refused to conduct any investigation. When she visited the hospital to get medical help, the medical examination was delayed by 52 hours, and there was no mention of “rape” in her medical report. Only her age was mentioned. 

After this, Bhanwari Devi and her husband approached the Trial Court in Rajasthan. Due to the absence of evidence and with the help of political influence, the accused got acquitted. This acquittal received backlash and all the women activists and organisations supported Bhanwari Devi. Together, they filed a Public Interest Litigation in the Supreme Court.

Issues

  • Whether the decision of acquittal by the Trial Court is violative of Articles 14, 15, 19(1)(g) and 21 of the Constitution of India?
  • Whether the employer has any role or responsibility in cases of sexual harassment in their workplace?
  • Whether international conventions and norms play some role in the absence of domestic law in a particular field?

Judgement

A three judge bench of the Supreme Court headed by Justice J.S. Verma decided this case. 

  • Regarding violations of fundamental rights, it was first stated that though the Constitution does not specifically define ‘Gender Equality’, it is included in Articles 14, 19, and 21. The Court stated that this incident has revealed the dangers faced by women in the workplace and the extent to which sexual harassment cases can worsen. Each such incident is a violation of the fundamental rights of ‘Gender Equality’ and ‘Right to Life and Liberty’ i.e., such incidents are a clear violation of rights under Articles 14, 15, and 21 of the Constitution.

In this case, there was also a violation of the fundamental right under Article 19(1)(g). 

All these violations attract the remedy under Article 32 for enforcing these fundamental rights of women. 

In this situation, the Court deemed it appropriate to issue a writ of mandamus along with directions for prevention. The right ensured under Article 19(1)(g) for carrying on any occupation, trade, or profession depends on the availability of a safe working environment. Right under Article 21 ensures a life with dignity, which has to be secured through suitable legislation and creating such a mechanism that enforces that legislation. 

The Court concluded that every incident of sexual harassment at the workplace demands an effective redressal which can be possible only if some guidelines are laid down for the protection of these rights of women to fill the absence of legislation for the time being.

  • The guidelines issued as a result of this case mentioned the roles and responsibilities of the employer to provide redressal as well as protection in sexual harassment cases in workplace.
  • In the absence of any domestic law, to formulate effective measures to curb the evil of sexual harassment of women at workplaces, the International Conventions and norms play a significant role in interpreting the guarantees of gender equality and the right to work with human dignity provided in the fundamental rights. The power of the Parliament to enact laws for implementing International Conventions is implied in Article 51(c) as well.

Considering the urgency for providing safeguards as an alternative mechanism as there was no such legislative measure available to provide protection to women in their workplaces, the Court enacted certain guidelines named “Vishaka Guidelines” to fulfil this social need. 

In simpler terms, the Vishaka Guidelines have been provided as follows:

  1. It shall be the duty of the employer or related responsible persons in workplace and other institutions to prevent or deter the commission of acts of sexual harassment and to provide procedures for resolution, settlement or prosecution of sexual harassment acts by taking necessary steps.
  2. ‘Sexual Harassment’ has been defined clearly. It has been defined to include “unwelcome sexually determined behaviour,” made directly or implied, such as:
    1. Physical contact or advances,
    2. Demand or request for sexual favours,
    3. Sexually coloured remarks,
    4. Showing pornography, 
    5. Other unwelcome physical, verbal, and non-verbal conduct of sexual nature.

The commission of these acts must be in a circumstance where the victim has a reasonable apprehension that such conduct can be humiliating and may pose a health or safety problem in her employment or work. The woman must have reasonable grounds to believe that her objection might cause problems with her employment or work. 

  1. Preventive steps have been provided, which include:
    1. Express prohibition of sexual harassment at workplace is to be notified, published, and circulated in appropriate ways.
    2. The Rules and Regulations relating to discipline are to include rules and regulations prohibiting sexual harassment and also provide penalties for offenders.
    3. In the private sector, the prohibitions are to be included in the standing orders under the Industrial Employment (Standing Orders) Act, 1946.
    4. Appropriate work conditions are to be provided. It is to be ensured that there is no hostile environment towards women.
  2. If there is any commission of an offence under the IPC, the employer has to initiate action as per law by complaining to the appropriate authority.
  3. If there is misconduct in employment, appropriate disciplinary action is to be initiated by the employer as per the relevant service rules.
  4. A complaint mechanism is to be created in the organisation for redressal of complaints made by victims.
  5. For the said purpose, a Complaint Committee is to be set up with a special counsellor or such other support service and all the details should be kept confidential. 

The Committee should be headed by a woman and should have at least half of its strength as women. It should also involve a third party, like an NGO, to prevent influence or pressure from senior levels.

The Complaints Committee will also provide an annual report to the concerned government department.

  1. As for workers’ initiative, employees should be allowed to raise issues of sexual harassment in meetings and in other appropriate forums.
  2. Awareness should be created about the rights of female employees. The guidelines are to be notified for this purpose.
  3. When there is occurrence of sexual harassment and the culprit is an outsider, the employer and the person-in-charge will take the necessary steps and assist the victim by both providing support and taking preventive actions.
  4. These guidelines are to be observed in the private sector as well.

After effects

After the Rupan (supra) case, the need for sexual harassment laws was felt. After the Vishaka case, the issue of sexual harassment, especially at the workplace, was addressed. Accordingly, guidelines were issued, which worked as a temporary measure till definite laws were introduced and enforced which would provide a special law for sexual harassment, in particular, for the protection against such crimes at workplace and also elaborating a redressal mechanism for the victims of such crimes.

Later, the National Commission for Women prepared a Code of Conduct for the Workplace and drafted various bills regarding this subject. Finally, in December 2010, the Protection of Women Against Sexual Harassment at Workplace Bill, 2010 was presented.

Medha Kotwal Lele and Others v. Union of India and Others (2012)

When this case was brought before the Supreme Court, the Protection of Women Against Sexual Harassment at Workplace Bill, 2010 was still pending in Parliament. The Vishaka guidelines were in force and though many years had lapsed since the introduction of the guidelines, their implementation was lacking. 

Facts

Medha Kotwal was the facilitator of Aalochana, which is a centre for documentation and research on women and other women’s rights groups. She, along with others, presented a writ petition to the court, highlighting a number of cases of sexual harassment and stating that the Vishaka guidelines were not being implemented effectively. 

The petitioners argued that despite the guidelines, women continued to get harassed in the workplace because the guidelines were not being abided by properly.

Issues

  • Whether the Vishaka guidelines were properly implemented?
  • What further steps can be taken to ensure effective implementation?

Judgement

The Supreme Court observed that even after 15 years of laying down the Vishaka guidelines for the prevention and redressal of sexual harassment, many women continue to struggle to have their most basic rights protected at their workplaces. 

The Court recalled the Beijing Platform for Action regarding violence against women, which stated-

Violence against women both violates and impairs or nullifies the enjoyment by women of human rights and fundamental freedoms (…) in all societies, to a greater or lesser degree, women and girls are subjected to physical, sexual and psychological abuse that cuts across lines of income, class and culture”. 

It was stated that the Vishaka Guidelines had to be implemented in form, substance and spirit so as to ensure gender parity and also to ensure that women work with dignity, decency and due respect. 

The Court held that a number of states were not properly implementing the Guidelines and the Central and State Governments were requested to consider adoption of necessary measures, including legislation, to ensure that the Vishaka Guidelines are observed by the private sector employers as well. 

It was held that the Vishaka Guidelines should provide direction till the Protection of Women Against Sexual Harassment at Workplace Bill, 2010 was enacted. Further directions were given by the Court, which included the following:

  1. Complaint Committee as provided in Vishaka’s case, will also function as an inquiry authority regarding Central Civil Services (Conduct) Rules, 1964 (CSS Rules) and the reports of such committee will be considered as an inquiry report under the CSS Rules. The Disciplinary Authority will act on the report in accordance with the rules.
  2. Similar and necessary amendments are to be made in the Industrial Employment (Standing Orders) Rules, 1946.
  3. Appointment of a State level officer who is in charge and concerned with the welfare of women and children in each State.
  4. The Labour Commissioner of each State is to take steps to ensure compliance of directions in factories, shops and commercial establishments. 
  5. The Bar Council of India, the Medical Council of India, the Council of Architecture, the Institute of Chartered Accountants, the Institute of Company Secretaries and such other statutory institutes need to ensure that all the organisations, bodies, associations, persons, and institutions, registered or affiliated with them comply with the Vishaka Guidelines.

Lastly, it was held that in cases of non-compliance, the aggrieved person can approach the High Court of the concerned State.

After effects

Subsequent to this judgement, the Protection of Women Against Sexual Harassment at Workplace Bill, 2010 was passed in September 2012. In 2013, the Criminal Law (Amendment) Act, 2013 was passed, which finally inserted Section 354A in the IPC.

S.P.S. Rathore v. CBI (2016)

This case is also known as the Ruchika Girhotra case. The 14 year old victim was molested by a powerful Haryana police officer in 1990. Realising that there is no scope of receiving justice, the victim committed suicide after 2 years of the incident.

After 20 years, the High Court convicted the accused and sentenced him to imprisonment. Even the Supreme Court upheld the judgement of the High Court. It took 26 years for the counsel representing the victim to bring justice to the victim. The case highlighted the flaws prevalent in the Indian legal system, which is often incapable of providing protection and guaranteeing justice to the victims of sexual harassment and sexual abuse. The case of Ruchika Girhotra led to the introduction of new laws and amendments and one of them was the POCSO Act. 

Now, we will go through the details of the case.

Facts

The accused, SPS Rathore, was an Inspector General of Police. He had opened a Haryana Lawn Tennis Association. The victim, Ruchika Girhotra, used to receive training in that association. 

The accused visited the house of the victim one day in 1990. During that time, Ruchika was on the tennis court for practice hence, the accused met with Ruchika’s father, who requested that he not send his daughter abroad and suggested that he will arrange for special training for her. He also asked her father to let her meet him the next day for the said special training.

The next day, Ruchika went to the accused’s office to meet him. She was accompanied by a friend of hers.

Her friend was sent out under the pretext of calling some other coach. When she came back, she saw that the accused had grabbed the victim’s hands and hips and had pushed his body onto her body. On seeing her, the accused got frightened, released the victim and fell on his chair. Despite the attempts of the accused to make the victim stay back again, she escaped with her friend. 

Ruchika informed her friend about the incident and they both decided not to inform anyone, including their parents, as the accused was the Inspector General of Police and thus, holding a powerful position, there is a possibility that he could harass or involve their parents. 

From the next day, the victim and her friend decided to go for practice at a different time to avoid the accused. Even after that, the accused had tried to call her in his office with the intention of molesting her. After that, both of the girls decided to disclose the incident to their parents. 

Their parents gathered the parents of the other trainees, documented a notice against the accused and also sent copies of it to the higher officials. 

Based on the report and on the approval and direction of the Home Minister, an inquiry was conducted. It was concluded that the allegation of molestation was based on true facts and a cognizable case was made out against the accused under the IPC.

The investigation went on for almost three years. The victim committed suicide in December 1993. Despite recommendations to register the case, no action was taken. A writ petition under Article 226 of the Constitution of India was filed before the Punjab and Haryana High Court. The High Court directed the registration of the case and also directed that the investigation be handed over to the Central Bureau of Investigation (CBI). The Supreme Court also upheld the order of the High Court. A FIR was registered under Sections 354 and 509 of the IPC against the accused. 

Finally, the accused was convicted and the Court of Chief Judicial Magistrate of Chandigarh held the accused guilty under Section 354 IPC and sentenced him to rigorous imprisonment for six months along with a fine. 

The accused filed a criminal appeal before the Court of Additional Sessions Judge. On the other hand, the CBI and the counsel for the victim also moved an appeal for enhancement of sentence. The Court of Additional Sessions Judge allowed the appeal of the CBI and the counsel for the victim and enhanced the imprisonment. The accused was sentenced to rigorous imprisonment for one and a half years; the fine remained unchanged.  

The accused filed a revision petition before the High Court, which was dismissed.

Finally, the accused filed a special leave petition before the Supreme Court. The Supreme Court allowed the petition for bail. Though the accused was declared as a convict, the imprisonment term was reduced to six months. Further, considering the case to be an exceptional case, and the age of the accused, the Court accepted that the accused had served his sentence and allowed him bail.

Issues

The main issue is whether the act committed fell under the scope of Section 354 IPC.

Judgement

All the courts have found the accused guilty of committing the offence under Section 354 IPC. 

The Court of Chief Judicial Magistrate sentenced the accused to six months of rigorous imprisonment along with a fine.

The Additional Sessions Judge enhanced the imprisonment to one and a half years, keeping the fine the same.

Finally, the Supreme Court also upheld the conviction but reduced the imprisonment to six months again. Considering the old age of the accused, the Supreme Court also allowed him bail and set him free, as he had already served six months. 

After effects 

The fact that the accused was sentenced to a mere six month imprisonment for molesting a minor girl was mainly blamed on the age old statutes, which were lacking amendments to protect child victims of sexual molestation. 

It took 26 years to finally get justice, only if there were stringent laws and the time taken was not this much, the victim would not have ended her life. This case not only highlighted the need to have special legislations for child protection from sexual crimes but also questioned the justice system, which allowed the convict of molestation to get away with a minor imprisonment sentence, and that too, after years of committing the crime. 

This case led to an entire debate in Parliament regarding the extent of punishment given. Finally, in 2012, the POCSO Act was introduced as the first law for protecting against child sexual abuse. 

Anamika v. Union of India and Ors. (2018)

The Sexual Harassment of Women at Workplace (Prevention, Prohibition and Redressal) Act, 2013 is not a gender neutral Act and ensures protection to women only. The existing provisions, in no way, denote that they are gender neutral and apply to transgender persons as well. There is no direct provision or direct phrase from which it could be inferred that the laws against sexual harassment extend their protection to them.

If we go through the judgement of NALSA v. Union of India (2014), transgender persons got recognized as a ‘third gender’. With time, a separate Act named the Transgender Persons (Protection of Rights) Act, 2019 was enacted to promote their rights and welfare. 

Harmonising the Transgender Act and the NALSA case with the present topic, it can be considered that the 2013 Act applies to transgender women as well and provides them protection. The above-mentioned judgement of Anamika v. Union of India (2018) appears in line with this discussion. The Delhi High Court, through this judgement, held that protection under Section 354A is also applicable to transgender persons, meaning that if a complaint under Section 354A is made by a transgender person, such complaint will be registered and proceeded with in accordance with the law, just like it would have been done if the complaint was made by a female. 

Facts

The petitioner was a transgender person, identifying as a woman though assigned ‘male’ sex at birth. The petitioner was a student at Delhi University and was sexually harassed by some male students on campus in 2017-2018. 

As per the petitioner, during the first semester, the petitioner was constantly bullied, publicly humiliated and harassed. The male students made obscene comments and passed lewd remarks regarding the petitioner’s feminine appearance and expression. They also made sexually coloured remarks about the petitioner’s gender identity. They also sexually harassed the petitioner through unwelcome sexual overtures.

The petitioner complained to the college authorities but got no relief. The male students continued to harass in public places and classrooms, using words like “halwa,” “meetha,”  etc., which is derogatory and refers to the fact that the petitioner, being effeminate in appearance and expression, was “delicious” and meant to be “consumed.” These slurs are commonly used to sexually harass transgender persons. Apart from this, the petitioner mentioned more of such incidents in the petition.

The petitioner had complained to the Disciplinary Authority, who, despite assuring that strict action will be taken, did not take any steps as per the knowledge of the petitioner. 

Amidst all this, due to being severely disturbed and distressed, the petitioner missed her two papers in the final examination.

The incidents suffered by the petitioner fall under the description of offences under Section 354A of IPC but the police refused to register an FIR because the petitioner was not a “woman” for the purposes of the provision. The Investigating Officer stated that sexual harassment can be committed by a “man” against a “woman” only and doubted if the petitioner can file a complaint under Section 354A as a transgender person is not a “woman.”

The petitioner also wrote letters to the Deputy Commissioner of Police and Assistant Commissioner of Police complaining that no action had been taken on her complaint. 

Subsequently, the petitioner received a document that stated that no criminal provision was applicable relating to sexual harassment in her case as the petitioner was a transgender woman.

Hence, the petitioner filed a petition challenging Section 354A, arguing that it has been wrongly interpreted to give confined protection to only a stereotypical “woman” and denies protection to a complainant who does not fit in the stereotypical and binary notion of “woman” based on sex assigned at birth. 

According to the petitioner, this violated the fundamental rights under Articles 14, 15, and 21 of the Constitution of India and was also contrary to the decision of the Supreme Court in the case of NALSA.

Petitioner’s Contentions

The petitioner referred to Article 14 ensuring the right to equality, the NALSA judgement, and the Vishaka judgement and highlighted that transgender persons have equal entitlement to enjoy their rights and freedoms and that protection from sexual harassment and abuse is included in the fundamental rights of a person.

The petitioner stated that a bare reading of Section 354A clarifies that acts of sexual harassment are taken cognizance of only when they are committed by a “man”- this condition is already fulfilled in the case of the petitioner. Moreover, the provision does not specify the gender of the victim, though it does mention that of the perpetrator. 

Clauses (i), (ii), and (iv) of Section 354A(1) do not specify any gender in respect of the person against whom the acts of sexual harassment have been committed. Hence, the petitioner questioned if the acts mentioned in clauses (i), (ii), and (iv), which are disjointed, can be taken cognizance of when the victim is a transgender person.

Moreover, clauses (i) to (iii) share a common penalty, while clause (iv) is stand-alone and has a separate penalty. The petitioner’s case attracts the description provided in clause (iv). Thus, it ought to have been invoked against the perpetrators. 

Since Section 354A, in its three clauses, as mentioned above, does not mention the gender of the victim, it is contended by the petitioner that it will be wrong to restrict the application of the entire section to the victims who are “women” on the basis of clause (iii).

Respondent’s Contentions

The counsel from the side of the Delhi police stated that an FIR based on the complaint has been made under Section 354A and an investigation is also in progress. It was further mentioned that, as per the instructions of the Commissioner of Police, Delhi, if a transgender person files a complaint under Section 354A, in particular clauses (i), (ii), and (iv), then the same shall be registered.

Issues

Whether Section 354A will provide protection to transgender persons?

Judgement

Since the respondent side had complied with the claims of the petitioner, the proceeding was not pressed further. However, the High Court of Delhi observed that a cognizable offence under Section 354A IPC, particularly under sub-clauses (i), (ii) and (iv), can be made if the complaint is by a transgender person who identifies as a woman and such a complaint ought to be registered in accordance with the law and according to the decision of the Supreme Court in the NALSA judgement. 

Pawan Kumar Niroula v. Union of India and others (2021)

In this recent landmark case, the Calcutta High Court explicitly held that the provisions of the POSH Act, 2013 are applicable to female students of a school. 

Facts

The petitioner is a teacher appointed by the respondent, Navodaya Vidyalaya Samiti, as a Nepali Trained Graduate Teacher (TGT). 

On February 20, 2020, the principle of Jawahar Navodaya Vidyalaya, Ravangla, South Sikkim, who is also a respondent, filed a written complaint in the Ravangla Police Station stating that he had received complaints from many students of his school against the petitioner teacher alleging that the petitioner had committed sexual harassment, in particular, molestation. The principal added that he had set up an internal committee to look into the complaints after that.

It was further stated that around 67 students had mentioned in their complaint submitted to the internal committee that they were personally harassed by the petitioner. On these allegations, the principal requested that the police take the necessary legal action against the petitioner.

Accordingly, the complaint was registered under Section 10 of the POCSO Act, 2012. The petitioner was arrested but was later released on bail.

Then, the petitioner was placed under suspension, the period of which kept on increasing for months. The suspension was done in accordance with the Central Civil Services (Classification, Control and Appeal) Rules, 1965. While the suspension was going on, the respondent school authorities had informed the petitioner that a committee for summary trial was constituted to inquire into the allegations made against him. This was done in place of the regular disciplinary proceedings as per the CCS Rules, 1965.

The petitioner contended that as the complaint against him is of sexual harassment at the workplace, the school authorities ought to have constituted an internal complaints committee and that committee should have been considered the inquiring authority as appointed by the disciplinary authority. In this backdrop, the petitioner challenged the order on the ground that the Tribunal ought not have directed the school authorities to continue with the order of the summary trial, which had no legal force in view of the existence of the POSH Act, 2013.

Issues

It was admitted that the CSS Rules, 1965 were applicable to the teachers of the above-mentioned school since the school was financially aided entirely by the Central Government. On the other hand, the legal framework regarding sexual harassment at the workplace underwent major changes after the Vishaka case and with the enactment of the POSH Act, 2013, which provides a mechanism to handle sexual harassment cases.

The issue was whether the POSH Act was applicable to female students at a school?

Judgement

The Calcutta High Court referred to Section 2(a) of the POSH Act, 2013, which defines “aggrieved woman,” which is stated to mean a woman, irrespective of her employment status, who has alleged that she has been subjected to any act of sexual harassment. Considering this definition, it was held that the provisions of the POSH Act do apply to the female students of the school as well.

Guduridheeraj Kumar v. State of Andhra Pradesh (2022)

In this case, it was held by the Andhra Pradesh High Court that touching a woman’s body  when she is sleeping amounts to “sexual harassment” under Section 354A of the IPC. 

Facts

The complainant had lodged a report with the police stating that her husband, his relatives and family members have subjected her to physical and mental cruelty and have made illegal demands. 

The complainant had stated that, when all the family members went to Araku, the accused-petitioner, who is the brother of the husband, had misbehaved with her. A report was made and the same was registered as a criminal case in the Women Police Station, Visakhapatnam City. The case was registered under Sections 498-A, 354A and 506 of the IPC, along with Sections 3 and 4 of the Dowry Prohibition Act, 1961

In her statement recorded under Section 161 of CrPC, the victim-complainant stated that all the family members had gone to Araku. During the night when she was sleeping, the accused-petitioner came and placed his hands on her, which led her to wake up. This was held to be an offence punishable under Section 354A by the complainant’s side. 

Though it has been contended by the petitioner that he has been falsely implicated with false allegations, the public prosecutor from the complainant’s side argued that the act committed by the petitioner certainly constitutes the offence of sexual harassment under Section 354A of the IPC.

Issues

The issue relating to sexual harassment was whether the act of touching a woman’s body when she is sleeping amounts to the offence of sexual harassment, as provided under Section 354A?

Judgement

The Andhra Pradesh High Court held that on reading the provision of Section 354A, it is clear that when a man commits any act of “physical contact and advances,” which include “unwelcome and explicit sexual overtures,” he shall be held guilty of the offence of sexual harassment. Considering the same and the ingredients mentioned under the provision, it was held that the act committed by the petitioner constitutes a prima facie offence punishable under Section 354A.

Janak Ram v. the State (2023)

This case pertains to an incident where a woman constable was referred to as “Darling” in an inappropriate way. When this case came up before the Calcutta High Court, it held that referring to an unknown woman as “darling” is a kind of sexual harassment and comes under the purview of Section 354A and is punishable. Let us discuss the case in detail.

Facts

As per the facts stated by the prosecution, the victim police constable along with her team were proceeding to Lall Tikrey for maintaining law and order during a Durga Puja evening. Reaching near the Webi junction, they received information that someone was creating a nuisance in the area. 

The police team reached the spot, arrested the wrongdoer and brought him to the police station. The victim and some of the police personnel stayed back at the place.

In the dark, the victim, along with the other police personnel, decided to stand under a street light in front of a shop.

The accused was standing in front of the shop. When they reached the street light, the accused passed the victim a sexually coloured question, “Kya darling, challan karne aai hai kya?”

A police complaint was lodged under Sections 354A(1)(iv) and 509 IPC. The accused was arrested and also given extended bail. A charge-sheet was submitted, charges were framed and the accused pleaded not guilty. A trial was conducted.

The Learned Judicial Magistrate, First Class, by a judgement and order, convicted the accused under Sections 354(1)(iv) and 509 and sentenced him to simple imprisonment for three months along with a fine.

The accused filed a criminal appeal. The Learned Additional Session Judge dismissed the appeal and directed the appellant to surrender and serve the imprisonment sentence.

Hence, the accused approached the Calcutta High Court with a revisional application challenging the judgement and order of the Additional Session Judge.

Issues

Whether the word “darling” constitutes a sexually coloured remark under Section 354A?

Judgement

The Calcutta High Court stated that – “addressing an unknown lady, whether a police constable or not, on the street by a man, drunken or not, with the word “darling” is patently offensive and the word used is essentially a sexually coloured remark.”

Regarding the defence that there is no proof to show that the man was drunk, the High Court added that if the man is found to be in a sober state, it would further increase the gravity of the offence. 

It was held that the facts of the case establish the prosecution side beyond reasonable doubt and since two successive criminal courts have concluded the same judgement regarding the guilt of the accused, the same conclusion was upheld. Finally, the Court affirmed the conviction as imposed by the Trial Court, which was also upheld by the Sessions Court.

Frequently Asked Questions  (FAQs) 

What does Section 354A of IPC provide for?

The provision of Section 354A defines sexual harassment and states the punishment for it.

What is the punishment under Section 354A?

There are four clauses mentioning four different acts that are considered to constitute “sexual harassment.” Two separate punishments are provided for these four acts. 

Among them, clauses (i), (ii), and (iii), elaborated in the beginning, have a punishment of rigorous imprisonment of a maximum period of three years, a fine or both.

The stand-alone clause (iv) has a punishment of imprisonment of a maximum term of one year, a fine or both.

When was Section 354A introduced?

Section 354A was introduced in 2013 through the Criminal Law (Amendment) Act, 2013. 

Is Section 354A bailable?

Yes, the punishment is bailable. The offence is also triable by any Magistrate. 

Is Section 354A cognizable?

Yes, the offence is cognizable, which means that the police officer has to register the FIR when the victim approaches and files a complaint.

Can an accused under Section 354A be arrested without warrant?

Cognizable offence means that the police officer may be arrested without a warrant. An offence under Section 354A is cognizable, hence, the police officer can arrest the accused without any warrant.

References 


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