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Section 9 of Arbitration and Conciliation Act, 1996

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The following article has been written by Ishani Samajpati, pursuing B.A. LL.B. (Hons) under the University of Calcutta. This article seeks to provide a conceptual clarification regarding the provisions of Section 9 of Arbitration and Conciliation Act, 1996 through a discussion of various facets of the said provision.

Table of Contents

Introduction

Arbitration, as a method of alternative dispute resolution, has gradually become immensely popular in India where the Courts are burdened with a huge number of pending cases making the process of litigation expensive, time-consuming and exhaustive. However, the contracting parties may also need an interim relief and protection by the Court before, after or during the procedure of arbitration or just after passing the arbitral award. 

Section 9 of the Arbitration and Conciliation Act, 1996 provides relief to the party in such situations by granting interim by Court.

Synopsis of Section 9 of Arbitration and Conciliation Act, 1996

Section 9 of the Arbitration and Conciliation Act, 1996 deals with interim relief in an arbitration proceeding. It entitles any party to obtain an interim relief at three stages – 

  1. Before the commencement of the arbitration proceedings
  2. During the course of arbitration proceedings
  3. After when the arbitral award is given but before its enforcement

A considerable time may elapse between the time of invoking the arbitration and the appointment of an arbitral tribunal by the Court. During the time in between, if an urgent relief is sought and there is hardly any time to wait, Section 9 specifically provides before that “arbitral proceedings”, an individual is also entitled to move the Court if he/she feels the urgency. Therefore, the entire purpose of Section 9 is to provide relief to the parties when the arbitral tribunal is not even in existence. 

Though arbitration is supposed to be undertaken by the arbitral tribunal alone, the Act recognises the fact that the rights of the parties should not be frustrated. Hence, in a period when the tribunal may not be in existence, the parties may approach the Court for relief.

Similarly, at any time after the arbitral award and before its enforcement as provided by Section 36, one has the right to go to the Court. For instance, if an award has been passed by an arbitral tribunal, technically it is functus officio (not anymore functional or has any official or legal authority). But right after the passing of the award and before the enforcement, one has to wait effectively for a period of 90 days under Section 34 to set aside the arbitral award. But due to some urgency, one may require some urgent relief and may approach the Court under the provisions of Section 9.

Subsections (2) and (3) of Section 9 were added by the 2015 amendment of the Act providing certain bars on approaching the Court for interim relief once the arbitration proceedings have been started.

  • An arbitral tribunal under the Arbitration and Conciliation Act, 1996 is temporary in nature. It will only be constituted after the concerned parties take the effort to constitute after the arousal of any dispute.
  • The function of the arbitral tribunal ends once it renders an award. Here the concept of functus officio comes into being.
  • The period of the existence of any arbitral tribunal is from the time of its constitution to when it has passed an award. 

Interim measures in arbitral proceedings – Section 9

Interim measures in arbitration vary according to the facts, situations, circumstances and commands of huge importance. As discussed earlier, Section 9 of the Arbitration and Conciliation Act, 1996 provides provisions for interim measures in arbitration.

Section 9 is one of the most important provisions which is invoked majorly by the Courts of law in India under the scope and ambit of the Arbitration and Conciliation Act, 1996. The details of the provisions under Section 9 are provided below:

Section 9(1) of Arbitration and Conciliation Act, 1996 

Section 9(1) lays down the conditions because of which one can approach the Court for interim measures before, after or during the procedure of arbitration or just after passing the arbitral award. 

Section 9(1) provides a complete list of situations and conditions when a person may approach the Court for interim measures as well as the protections offered. Section 9(1) confers the Court or the adjudicating authority with a number of powers to provide interim measures of protection according to its own discretion. Section 9 is further divided into two broad categories under Section 9(1)(i) and Section 9(1)(ii).

Section 9(1)(i)

According to Section 9(1)(i) of the Arbitration and Conciliation Act, 1996, an individual may file an application to appoint a guardian for a minor or for a person of unsound mind for arbitral proceedings. 

Section 9(1)(ii)

Section 9(1)(ii) provides a broad category of power to grant interim measures of protection to the Court or the adjudicating authority for the following:

  • According to Section 9(1)(ii)(a), the Court may provide interim relief to preserve, interim custody or sale of goods, being the subject matter of the arbitration agreement under Section 7.
  • Under 9(1)(ii)(b), the Court may grant an interim relief to secure the amount in dispute.
  • In any property related disputes, subject to arbitration proceedings, under 9(1)(ii)(c), the Court may grant interim relief through the authorisation of any person entering the land or the building in possession to either of the party or to take samples, for making any observations or any experiments whichever is necessary to obtain full information or total evidence.
  • The Court may also grant the relief of interim injunction under Section 9(1)(ii)(d) provided that the conditions of establishment of prima facie case, balance of convenience in favour and irreparable damages are maintained. Under this clause, the Court may also appoint a receiver, a court officer appointed by the Court to supervise disputed properties or things in question.
  • Apart from these, Section 9(1)(ii)(e) provides the Court discretionary power to provide any interim protections other than the ones listed above If the court deems it fit, just and convenient. In this regard, the Court has the same power to give orders like any proceedings before it.

Section 9(2) of Arbitration and Conciliation Act, 1996 

Section 9(2) of the Arbitration and Conciliation Act, 1996 was incorporated after the 2015 amendment. Under section 9(2) of the Arbitration and Conciliation Act, 1996, there is a statutory requirement to invoke arbitration and move the Court for the appointment of an arbitrator or if it is to be done through mutual consent, the parties have to take the necessary steps through mutual consent within a period of 90 days.

Under Section 9(2), the period of 90 days is the basic benchmark in terms of invoking arbitration under Section 21 of the Arbitration and Conciliation Act, 1996.

Section 9(3) of Arbitration and Conciliation Act, 1996 

Section 9(3) of the Arbitration and Conciliation Act, 1996 was also incorporated after the 2015 amendment.

Under Section 9(3) of the Arbitration and Conciliation Act, 1996, there is a clear dictum against the Court entertaining an application under Section 9 once the Tribunal has been constituted unless there are some really exceptional circumstances which may justify a recourse to the Court even when an Arbitral Tribunal is in session. 

The general rule under Section 9(3) is that if there is an arbitral tribunal in existence, one cannot resort to a Section 9 application in the Court of Law. 

Through the 2015 Amendment Act, the powers of the court to grant interim reliefs after the  Constitution of the arbitral tribunal has been curtailed. Section 9(3) of the Act, as inserted by the 2015 Amendment Act states that an application under Section 9 shall not be entertained by the Court unless the remedy sought from an arbitral tribunal under Section 17 is ‘inefficacious’.

The Supreme Court observed that the term “entertain” under Section 9 (3) of the Act means consideration of the issues raised by the applicant. The Apex Court held that the court entertains a matter when it takes it up for consideration, and such consideration may continue before pronouncing the judgment. 

Section 9 (3) would not be applicable once an application under Section 9(1) has been “entertained” the main objective of interim relief applications under Section 9 is urgent disposal and ensuring that the arbitration proceedings do not become infructuous.

A comparative discussion of Section 9 with Section 36 and Section 37 after amendment

Section 36 of the Arbitration and Conciliation Act, 1996 states the method of enforcement of an arbitral award. However, under Section 9 one can approach the court just before the enforcement of the arbitral award under Section 36.

On the other hand, if the arbitral award is enforced under Section 36 one cannot approach the court to file an application under Section 9.

Under Section 37(1)(a) of the Act, one can appeal against an order if the Court refuses to grant any interim relief or the granted interim relief is not suitable under Section 9.

A comparative analysis of Section 9 prior to and after the  2015 amendment

Prior to the 2015 Amendment of the Arbitration Act, even when an arbitral tribunal was in function or in existence, there was no bar from making an application under Section 9 before the court. Prior to the 2015 amendment to the Act, the power of the Court under Section 9 was much wider than the power of an Arbitral Tribunal under Section 17. There were also some controversies with regard to the enforceability of Section 17.

Post the 2015 amendment, these discrepancies in the Act have been rectified to a large extent. Therefore, now the essence of the Act is that once the arbitral tribunal is constituted, ideally the court should refrain from entertaining an application under Section 9 and leave it to the Tribunal to decide any interim issues in an application under Section 17. This, to a certain extent, becomes clear from the newly added Sections 9(2) and 9(3) respectively in 2015.

The concerned Act was also further amended in 2019, however, there were no changes incorporated in Section 9.

arbitration

Judicial interpretations of Section 9 post and prior to the 2015 amendment

Whenever specific facts of any case are applied to any specific provision of an Act, the ambit and applicability of that provision is interpreted differently. Different facets of Section 9 have been interpreted in different ways by the Court regarding how Section 9 basically functions. 

Mentioned below are the relevant case laws in relation to how Section 9 has been interpreted in varying factual contexts both prior to and after the 2015 amendment.

  1. In Sundaram Finance Ltd. v. NEPC India Ltd. (1999), the question of the jurisdiction of the ‘court’ to pass interim orders prior to the commencement of arbitral proceedings and before the appointment of an arbitrator under Section 9 of the Act was considered by a Supreme Court Division Bench. This Court, after due consideration of the scope of the said provision, decided the court had no jurisdiction to entertain an application under Section 9 before the initiation of arbitration proceedings.
  2. In the case of Firm Ashok Traders v. Gurumukh Das Saluja (2004), the Supreme Court held that the commencement of arbitral proceedings is independent of the interim relief under Section 9 being allowed or denied.
  3. In the case of S.B.P. and Co. v. Patel Engineering (2005), the Supreme Court held that if a dispute involved was not covered by the arbitration clause or the Court which was approached had no jurisdiction to pass any order under Section 9 of the Arbitration Act, that Court should decide whether it has jurisdiction and whether there has been a valid arbitration agreement and the dispute raised has been covered by it. 

Further, it was held that if it is found that the Arbitral Tribunal has jurisdiction, it should continue with the arbitral proceedings and make an arbitral award.

  1. In Companies Act v. Mr. Ashok Khurana (2014), the Bombay High Court held that the parties who are not parties to an arbitration agreement can still file an application under Section 9 if they are likely to be affected by the reliefs claimed therein.
  1. The Delhi High Court, in the case of Ashwani Minda and M/s Jay Ushin Limited v. M/s U-Shin Limited and M/s Minebea Mitsumi Incorporated (2020) while deciding upon the scope of applicability of Section 9 in connection with the foreign seated arbitrations, held that an application under Section 9 would not be maintainable after the constitution of an arbitral tribunal in a foreign seated arbitration if an efficacious remedy is available before the arbitral tribunal.
  2. In the case of New Morning Star Travels v. Volkswagen Finance (2020), the Delhi High Court held that orders relating to an application under Section 9 cannot be passed ex-parte.
  3. In a recent case of M/S. Satyen Construction v. the State of West Bengal & Others (2022), a single bench judge of Calcutta High Court dismissed and rejected a prayer for withdrawal on the ground that the scope of Section 9 of the Arbitration and Conciliation Act, 1996 cannot be extended to the enforcement of an arbitral award.

Subject matter of Section 9 of Arbitration and Conciliation Act

The Arbitration and Conciliation Act, 1996 was enacted on 16th August, 1996 with an objective to provide a comprehensive resolution of disputes through the process of arbitration and conciliation. The Act was modelled under the UNCITRAL Model Law on International Commercial Arbitration which issued regulations to the countries for uniformity of international commercial arbitration and UNCITRAL Conciliation Rules, 1980.

Section 9 of the Arbitration and Conciliation Act, 1996 was also modelled on Article 9 of the UNCITRAL Model Law (the “Model Law”) which states about interim protection. 

However, Article 9 of the UNCITRAL Model Law provides that a party may approach the Court only before or during the arbitration procedure and may request interim protections. Section 9 of the Arbitration and Conciliation Act, 1996 further allows an individual to approach the Court even after the arbitral award making the scope of Section 9 much wider. The 2015 amendment, though, puts some restrictions as discussed.

Similarity with Order XXXIX Rules 1 and 2 

An application under Section 9 Is to some extent similar to an application under Order XXXIX Rule 1 and Rule 2 of Code of Civil Procedure, 1908  (CPC)  in a suit. An application under Order XXXIX Rules 1 and 2 is only applicable for interim relief. It is intended as an aide to the ultimate conclusion of the proceedings in the main matter. In much the same way an application under Section 9 can never be a substitute for the arbitration proceedings themselves.

In the case of Minochar @ Minoo Aspandyar Irani v. Deenyar Sheriar Jehani (2014), the Bombay High Court held that a party who does not ultimately intend to refer the dispute to arbitration cannot be permitted to seek interim relief. Interim relief is not a replacement for the entire arbitration proceedings.

However, this case was prior to the 2015 amendment of the Act. With the addition of Section 9(2) in 2015, it is now mandatory to initiate arbitration proceedings within 90 days or any time period as decided by the Court.

Applicability of Code of Civil Procedures, 1908

Even though the principles of the  Code of Civil Procedure, 1908  (CPC) and Indian Evidence Act, 1872 have been expressly made not applicable to arbitration proceedings. The same spirit has been echoed in many judgements of the Hon’ble Supreme Court.

For instance, in the case of M/S. Mysore Managanese Co (P) Ltd v. M/S. Prakash Natural Resources (2016), the Karnataka High Court held that the provisions of Civil Procedure Code are also made applicable to the arbitration proceedings.”

The Court under Section 9 has a wide range of jurisdiction in terms of judicial precedent. To grant relief under Section 9, the law still follows the course of the fundamental spirit of parameters of the interim relief measures under the CPC i.e.,

  1. prima facie case,
  2. balance of convenience and inconvenience and 
  3. irreparable injury are elements which are still required to be at least averted and fundamentally established before one is entitled to relief under section 9

Similar is the case with certain other parameters such as Order XXXVII Rule 5 which may not be applicable to Section 9 proceedings but the fundamental spirit underlying it would still have to be taken into account when dealing with an application under Section 9.

Again if the orders given in an application under Section 9 is not complied with necessary consequences in terms of contempt of court will follow.

Scope of Section 9 of Arbitration and Conciliation Act

Section 9  of the Arbitration and Conciliation Act, 1996 has a wide scope in respect of interim measures in arbitration proceedings. This, in fact, has been reinstated by various judgements.

The existence of a valid arbitration agreement is one of the contentions often raised by respondents for applications relating to the interim relief under Section 9 of the Act filed before the commencement of arbitral proceedings. In such proceedings, the maintainability of the proceedings is often challenged based on this. 

Main purpose

The sole purpose of an application under Section 9 is to grant interim relief and to protect the rights. The application does not affect the proceedings of the arbitration.

The 3-judge bench of the Hon’ble Supreme Court in a December 2020 judgement in the case of Vidya Drolia and Others v. Durga Trading Corporation held that the purpose of Section 9 of the Arbitration and Conciliation Act, 1996 is solely for providing interim relief and even though the Section has the protection to affect the rights of the parties, it does not affect the conduct of the arbitration. In 2021, the Supreme Court in the order of Pravin Electricals (P) Ltd.  v. Galaxy Infra and Engg. (P) Ltd. confirmed this in relation to Section 9.

The Vidya Droila judgement has become a landmark judgement in determining the scope of Section 9 of the Act. Similarly, in the case of Leighton India Contractors Private Ltd. vs. DLF Ltd. (2020), the Delhi High Court has held that the scope of Section 9 of the Act is very broad and does not curtail the powers of the court.

Injunction under Section 9 of Arbitration and Conciliation Act

No injunction under Section 9 can be granted if fraud, irretrievable injury or special equities are not proved in case of injunction against the invocation of bank guarantees, as held by Delhi High Court in the case of Halliburton Offshore Services Inc. v. Vedanta Limited (2020).

Entertaining an application  

In 2021, in the landmark case of ArcelorMittal Nippon Steel India Ltd. v. Essar Bulk Terminal Ltd. (2021), the Supreme Court discussed whether, after the constitution of an arbitral tribunal, the Courts have the power to entertain an application under Section 9(1) of the Act and the true meaning and purpose of the word ‘entertain’ in Section 9(3) of the said Act. 

The Supreme Court held that since the Court had already entertained the application, there was no point in relegating the parties to the tribunal. It was further declared that if the Court entertains the application before the constitution of the arbitral tribunal,  the Court may direct the parties to approach before the arbitral tribunal and may grant a limited order of interim protection.

Applicability of Section 9 outside India and in International Commercial Arbitration

The 2015 Amendment Act has introduced the possibility of availing interim measures from Indian courts in a foreign seated international commercial arbitration. A party in a foreign seated international commercial arbitration governed by a foreign law may approach the courts in India for interim relief under Section 9.

The Supreme Court of India and various High Courts have decided on the question of applicability of Section 9 in case of the international commercial arbitrations held outside India 

The wording of Section 9 does not explicitly provide whether an application under Section 9 is also applicable in cases of international commercial arbitration outside India. However, there have been several judgements from which it can be inferred.

In 2002, the Supreme Court in the case of Bhatia International v. Bulk Trading S. A. and Anr (2002) decided that Section 9 of this Act also applies to international arbitrations and arbitrations outside India. This judgment was however overruled by the Bharat Aluminium Co. v. Kaiser Aluminium Technical Service, Inc. in 2012 which stated that no application for an interim injunction under Section 9 would be maintainable in India, if it is an international commercial arbitration with a seat outside India.

Court where an application under Section 9 is maintainable in foreign arbitration

Pursuant to an award being passed, an application under Section 9 may be filed even if the place or seat of arbitration is outside India.

In such cases, the court having jurisdiction over the arbitral award’s subject matter may be considered the competent court.

Maintainability of the application in case of foreign seated arbitration

If two companies incorporated in India with an arbitration forum outside India choose a neutral forum for arbitration outside India and the foreign law governing the arbitration,  their application for interim relief under Section 9 of the Arbitration Act would be maintainable in the courts of India.

The Supreme Court dealt with the abovementioned issue in its judgment of Pasl Wind Solutions Pvt. Ltd. v. GE Power Conversion India Pvt. Ltd. (2021), also known as ‘Pasl Wind case’ and held the same.

In Ashwani Minda and Anr. v. U-Shin Ltd. and Anr. (2020), the Delhi High Court held that an international arbitration agreeing to the rules of the Japan Commercial Arbitration Association with a seat in Japan and subsequently filing an application under Section 9 for interim relief in India would not be maintainable.

Maintainability of the application after the arbitral award in foreign seated arbitration

Interim protection under Section 9 of the Act is maintainable in a foreign seated arbitration even after passing of the arbitral award unless expressly excluded by the parties in the Arbitration Agreement.

Based on this principle, the Calcutta High Court held that in Medima Llc v. Balasore Alloys Limited (2021) directed to seek interim measures against the respondent, even if the arbitration award and the seat was in London.

Section 9 vis – à – vis Section 17 of Arbitration and Conciliation Act, 1996

While Section 9 deals with the power of the Court to grant interim protections, Section 17 lays down the power of the arbitral tribunal to grant interim measures. The two Sections are identically worded. Hence, the difference between the scope of Section 9 and Section 17 of the Arbitration and Conciliation Act, 1996 has been quite confusing and various Courts have discussed the fine line of difference between the two sections. 

In the case of Sundaram Finance Ltd v. Nepc India Ltd. (1999), the  Supreme Court of India for the very first time delineated the distinction between Section 9 and Section 17. It was held that Section 17 gives the arbitral tribunal to pass those orders which cannot be enforced by the Court. Hence, Section 9 admittedly gives the Court power to pass interim orders during the arbitration proceedings. 

Wide scope of both the sections

After the 2015 Amendment, both the scope of Section 9 and Section 17 have considerably been widened and under the Sections, both the Arbitral Tribunal and the Court have expressly been conferred the same power.  It was further held that an order of the Tribunal under Section 17 and an order of the Court under Section 9 is also enforceable in the same manner under the Civil Procedure Code. 

The Calcutta High Court held the same in the 2016 case of Sri Tufan Chatterjee v. Sri Rangan Dhar (2016)

Efficacious remedy not available

The application under Section 9 in the Court is only maintainable when one cannot avail an efficacious remedy under Section 17 in the arbitral tribunal. If the applicant is deprived of an efficacious remedy even due to external factors, the individual is entitled to approach the Court for interim relief under Section 9.

In Bhubaneshwar Expressways Pvt. Ltd. v. NHAI (2019), the tribunal constituted could not function because of the rescual of one of the co-arbitrators. The Delhi High Court held that the efficacious remedy under Section 17 was not available and it was necessary to entertain the application under Section 9.

Identically worded Sections

Both Section 9 and Section 17 are identically worded. The only difference between the Sections to a layman is that while Section 9 deals with filing an application for interim relief in court, it is the arbitral tribunal under Section 17

The difference between Section 9 and Section 17 was broadly discussed by the Delhi High Court in the 2020 case of Avantha Holdings Limited v. Vistra ITCL India Limited (2020). In the case, it was declared that “A reading of Section 9, and Section 17, of the 1996 Act, reveals that they are identically worded”. It warned any Court should exercise powers granted by Section 9 only where the matter cannot await the constitution of the tribunal. It was further warned that the Court “has to be acutely conscious” of the power vested in the arbitral tribunal by Section 17 since both are identically worded to Section 9.

When to file an application under Section 9 of Arbitration and Conciliation Act

In the recent landmark case of ArcelorMittal Nippon Steel India Ltd. v. Essar Bulk Terminal Ltd. (2021), the Supreme Court of India delineated the scope of Section 9(3) of the Arbitration and Conciliation Act, 1996 with Section 17 of the Act. It was decided that under Section 9(3), once an arbitral tribunal has been constituted, the Court shall not entertain any application for an interim measure under Section 9(1) unless the Court decides that the tribunal may not render efficacious remedy under Section 17.

Competent courts to entertain the application under Section 9 of Arbitration and Conciliation Act, 1996

Section 2(1)(e) provides the jurisdiction of the competent courts to entertain an application filed under Section 9 of the Arbitration and Conciliation Act, 1996. According to Section 2(1)(e)(i), in the case of arbitration which is not an international commercial arbitration, the original jurisdiction of a principal Civil Court in a district and the ordinary original civil jurisdiction of the High Court have the jurisdiction to entertain applications under Section 9. However, any Civil Court other than the principal Civil Court, or any Court of Small Causes does not have the jurisdiction to entertain the concerned application.

Section 2(1)(e)(ii) of the Act provides jurisdiction in the case of international commercial arbitration. In this situation, the ordinary original civil jurisdiction of the High Court has the jurisdiction to entertain the application under the Act. 

Relevant case laws regarding jurisdiction of Courts under Section 9

However, in the 2012 judgement, a constitution bench of the Supreme court in the case of Bharat Aluminum Company v. Kaiser Aluminium (2012) held that Indian Courts can no longer be able to set aside arbitral awards or grant interim measures in case of foreign seated arbitrations which overruled the 2002 judgement of Bhatia International v. Bulk Trading S. A. and Anr. (2002) which stated that Part I of the Act will also apply also to international commercial arbitrations which take place out of India unless the agreement mentioned otherwise. 

The residue of this judgement was appealed and again in 2016, the Supreme Court in the case of Bharat Aluminium Company v. Kaiser Aluminium Technical Services Inc. (2016) held the same.

Also in a 2017 judgement of Indus Mobile Distribution Private Ltd. v. Datawind Innovations Private and Others, a division bench in the Supreme court held that if an arbitration clause fixes the jurisdiction of a Court of any particular place in case of any disputes, it would exclude the jurisdiction of Courts in other places.

Conclusion

The scope and the ambit of Section 9 of the Act act as a crucial remedy before or during arbitration proceedings and even after the arbitral award but before its enforcement.

The basic tenet for the application of the law of arbitration is an agreement with an arbitration clause. Section 9 of the Act in this regard is no exception. However, it also states that the parties should only approach the court seeking an interim relief after the constitution of an arbitral tribunal if the remedy rendered by it under Section 17 of the Act is inefficacious.

Regardless of all this, the scope of Section 9 is very wide for granting an interim relief even after an arbitration proceeding.

Frequently Asked Questions (FAQs) on Section 9 of Arbitration and Conciliation Act, 1996

What type of order is passed under Section 9 of Arbitration and Conciliation Act, 1996?

Orders for interim relief before or during the arbitration proceedings and even after the passing of an arbitral award but before its enforcement are passed under Section 9 of the Arbitration and Conciliation Act, 1996.

What were the changes constituted in Section 9 through the 2015 amendment?

Through the 2015 amendment, Section 9 was renumbered as Section 9(1). Further, two of the subsections, 9(2) and 9(3) respectively were added. 

Section 9(2) provides the deadline to commence an arbitration proceeding within 90 days immediately after filing an application under Section 9. Section 9(3) bars the Court from interfering after the constitution of an arbitral tribunal and allows only to interfere if the remedy rendered by the tribunal under Section 17 is inefficacious.

What is the main difference between Section 9 and Section 17 of Arbitration and Conciliation Act, 1996?

Section 9 of the Act allows an individual to file an application for interim relief in the Court while under Section 17, one is allowed to file an application for interim relief in the tribunal.

Section 9(3) of the Act further provides that one can only file an application for interim relief in the Court if the remedy rendered under Section 17 is not ‘efficacious’. 

How to file an appeal against orders under section 9 of Arbitration and Conciliation Act?

Under Section 37(1)(b) of the Arbitration and Conciliation Act, 1996 an individual can appeal against the orders under section 9 made to the competent court with jurisdiction.

Can anyone file a second appeal under Section 9 of Arbitration and Conciliation Act?

Section 37(3) of the Arbitration and Conciliation Act, 1996 states that for appeals passed under Section 9, no second appeal shall lie.

However, the Section further provides that an individual has the right to approach the Supreme Court for appeal.

What is the remedy against arbitration award?

Under the Arbitration and Conciliation Act, 1996, there is no provision to appeal against an arbitral award. It is final and binding for both parties.

However, an aggrieved party can file an application to set aside the arbitral award on the grounds as provided under Section 34 of the Act.

Under Section 9, within how many days of the order arbitral proceedings shall be commenced after interim measures of protection are ordered by the Court?

After the 2015 amendment, Section 9(2) states that after the passing of the interim orders under Section 9(1) of the Act, the arbitral proceedings shall be commenced within 90 days from the date of such order or within such further time as determined by the Court.

When can the courts in India entertain an application for interim relief under section 9 of of Arbitration and Conciliation Act?

Section 9(3) of the Act provides that the Court shall entertain an application under section 9 only after the court finds that the remedy sought from an arbitral tribunal under section 17 is inefficacious.

References


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Human rights violations

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Human rights

The article is written by Tejaswini Kaushal, a student at Dr. Ram Manohar Lohiya National Law University, Lucknow. This article deals extensively with the concept of human rights and its violations around the world in the historical as well as the contemporary context. 

This article has been published by Sneha Mahawar.

Table of Contents

Introduction 

Every person is endowed with basic human rights the minute they are born. These rights are unalienable and ubiquitous. These rights are not granted by the law but are inherited by all humans on account of their humanity. Human rights are not a new notion and have been taken up in several historical texts such as the Vedas, Manusmriti, Arthashastra, and other scriptures that discuss human rights. Individual rights have been asserted in numerous written texts such as the Magna Carta (1215), the French Declaration of Man and Citizens (1789), and the US Bill of Rights (1791). In the twentieth century, the United Nations was founded in 1945, following World War II. After three years, the Universal Declaration of Human Rights (UDHR) was given to the world in 1948, with 30 Articles granting international validity and recognition to human rights. Human rights are now emphasised in a variety of international agreements, treaties, covenants, and state legislation. 

Presently, there is a near-universal agreement that all people, regardless of status, are entitled to some basic rights. Certain civil freedoms and political rights are endowed to them, the most basic of which is the right to life and liberty. Throughout all our activities, human rights articulate the need for peace, justice, impartiality, mutual respect, tolerance, and human dignity.  When we talk about rights and liberties, we’re expressing the premise that all individuals are subject to respecting morality and justice as well.

To defend human rights, one must guarantee that individuals are treated decently and humanely. Violation of the most fundamental human rights, on the other hand, involves denying persons their moral entitlements. Disregarding human rights, in some ways, involves treating individuals as lesser mortals and inferior to other members of society, unworthy of respect and decency. Genocide, torture, enslavement, rape, genital mutilations, forced sterilisation, medical experimentation, and deliberate starvation are only a few examples of “crimes against humanity.” Limiting the state’s unfettered authority is an essential component of international law since these policies are occasionally applied by states. The concept of nondiscrimination and the belief that some basic rights apply universally underpin the legislation across countries prohibiting different “crimes against humanity”.

Types of human rights violations

Human rights breaches are committed by states either directly or indirectly. Violations might be committed by the state on purpose or as a consequence of the state’s failure to prevent the violation. Various players, including the police, judicial ministers, attorneys, government officials, and others, can be involved when a state violates human rights. Physical violence, such as police harassment, is one type of violation, but other rights, such as the right to receive a fair trial, can also be infringed without the use of direct physical violence.

When there is a disagreement between people or groups within a society, the second form of violation occurs: the state’s failure to protect individuals from human rights violations. The state is complicit in the abuses if it does nothing to intervene and safeguard vulnerable persons and groups. When lynchings happened often across the United States, the state was unsuccessful in protecting black Americans. Because many of those involved in the lynchings were also state actors (such as the police), this acts as an example of two sorts of breaches occurring simultaneously.

Forms of human rights violations

  1. Caste-based discrimination and violence

The caste system in India is possibly the world’s oldest social structure. It is a complicated system of social groupings based on ceremonial purity. A person is regarded as a component of the caste into which he is born and stays a member of that caste until death, albeit the status of that caste may change through time and between locations. The four major varnas, or main caste categories, have been used to characterize this more than 2,000-year-old structure in traditional learning. The Brahmins i.e the teachers and the priests are listed first. Then come the Ksyatriyas i.e. the fighters and rulers, then the Vaishyas i.e. the merchants and traders, and then the Shudras i.e. artisans and labourers. Lastly, the “untouchables” or Dalits, who are typically given jobs too ritually filthy to deserve membership in the conventional varna system, make up a fifth category that exists outside of the varna system.

Despite its formal prohibition in 1950, the phenomenon of “untouchability”—the imposition of societal disadvantages on people based on their caste—remains very much alive in rural India. Different facilities are provided for separate caste-based neighbourhoods, reinforcing “untouchability.” If they get anything at all, Dalits usually get the worst of whatever resources are available. The state authority provides power, sewage facilities, and water pumps in upper-caste sections of numerous villages, but neglects to do so in the segregated Dalit sections. Medical services and superior housing facilities are only found in regions of upper-caste settlement, as are basic utilities like water taps and wells. Civil rights of individuals get majorly restricted in the following domains owing to the caste dynamics in India:

Caste impacting marriage

Strict bans on marriage or other forms of social connection between castes are frequently used to impose stringent societal values of purity and contamination. While economic and social indices other than caste have grown in importance, permitting intermarriage among upper castes, major societal obstacles to marriage between higher and lower castes exist in many nations. This generally triggers violence between communities and may also lead to honour killings in severe cases.

Caste impacting labour

One of the core aspects of many caste systems is the allocation of work based on caste, with lower castes often relegated to duties and vocations regarded as too filthy or polluting for higher-caste populations.

Slavery and debt bondage

Poor pay for manual scavenging, agricultural work, and other low-caste jobs sometimes force families of lower castes into bonds. In most of the nations affected, the absence of enforcement of appropriate legislation outlawing debt bondage permits the practice to continue uninterrupted.

Disparities in caste and socio-economic status

Low literacy and lack of access to health care and education are common problems among lower-caste communities. Caste-based employment is perpetuated and its hereditary character is maintained through a lack of formal education or vocational training, as well as discrimination that effectively excludes them from many sorts of employment opportunities accompanied by the non-enforcement of protective legislation.

Access to educational opportunities

Low literacy and high dropout rates among lower-caste communities have been defined overly simplistically as inevitable results of underdevelopment and widespread poverty. However, these rates are partially due to low-caste children’s desire to support their family’s salaries via labour. Moreover, the biassed and abusive treatment that low-caste children experience at the hands of their instructors and other pupils is more subtle and less well-documented but is a major factor impacting the education of these children.

Land availability

The majority of Dalit abuse victims in India are landless agricultural labourers, who constitute the backbone of our country’s agrarian economy. Despite decades of land reform laws, more than 86% of Dalit households are landless or near landless today. Landowners frequently possess very little. In rural places, land is the most valuable possession that affects a person’s level of life and social standing. Lack of access to land renders Dalits economically vulnerable and majorly dependent on upper and middle castes for monetary assistance. Subsequently, their dependence is abused by upper and middle caste landlords, allowing many crimes, like begar, to go unpunished.

Political rights and political representation

The Union formulated a policy of “reservations,” or caste-based quotas, as an attempt to correct historical injustices associated with low-caste status. The constitution reserves federal government positions, seats in state legislatures, the national legislature, and educational institutions for scheduled castes and tribes to provide for proportional representation in national and state affairs. However, this policy has not yet been effectively applied and the representation of the lower castes in the mainstream functioning of a nation is still skewed. 

Physical and economic punishment

The utilisation of social and economic factors is a key weapon in maintaining Dalits’ low status in India. For refusing to perform various caste-based activities, Dalits are physically assaulted and threatened with social and economic exclusion from society. Any attempt to change village practices, oppose the social order or seek land, higher salaries, or political rights is met with violent and economic reprisal by those who stand to lose the most, i.e. the upper castes. Dalit communities as a whole are harshly punished for individual violations. During social boycotts, Dalits are deprived of communal land and jobs, Dalit women are majorly targeted, and the law to protect their rights is rarely implemented.

Communal and ethnic violence 

India has more ethnic and religious groupings than almost any other country on the planet. There are eight mainstream faiths, 15 languages spoken in diverse dialects across 22 states and 9 union territories, and a large number of tribes and sects, in addition to the well-known 2000-odd castes. Three ethnic or religious wars have recently risen to prominence: two happened in the states of Assam and Punjab, while the third, the more well-known Hindu-Muslim conflict, is still ongoing. The Assam problem is essentially ethnic, the Punjab problem is mostly religious and regional, and the Hindu-Muslim conflict is primarily religious.

Ethnic conflict in Assam 

Assam has received the most recent attention in the three disputes discussed. Since India’s division in 1947, there have never been so many people slain or displaced as a result of ethnic or sectarian conflict. It caused tens of thousands of persons to become victims of the mob violence which claimed thousands of lives, displaced lakhs of people, and drove a considerable number of people to flee the state for safety. Three culturally distinct groups have clashed in Assam: the Assamese, the Bengalis (both of which include Hindu and Muslim portions), and the tribals, who are small communities. This has majorly been a result of a large influx of migrants into northeast India, adversely impacting the natural habitat, livelihood and self-sufficiency of the local communities of the area. These conflicts had resurfaced in recent times during the Citizenship Amendment Act, 2019 (CAA) controversy.

Hindu-Sikh conflict in Punjab 

Since August 1980, rising sectarian tensions between Hindus and Sikhs in Punjab have resulted in violent conflicts. Punjab had the greatest per capita income at the time of the conflict. It was the epicentre of India’s Green Revolution, which benefited the affluent Sikh peasants the most. Sikhs are the majority in Punjab, while Hindus are the minority. Demand for greater radio time for religious broadcasts over government-controlled radio and a separate legislative act for Sikh gurudwaras were raised. Although religious symbols were used to mobilise Sikhs, and the separatist slogan of Khalistan (a sovereign state of Sikhs) was raised, the Sikh charter of demands had strong political and economic components.

Hindu-Muslim conflicts 

History has put the greatest shadow over Hindu-Muslim relations of all the religious and ethnic conflicts in modern India. The partition of 1947 was the most crucial contemporary period in this history. Despite the fact that a Muslim sovereign state of Pakistan was founded amid horrific communal strife, virtually as many Muslims remained in India for varying motives. The division did not resolve the Hindu-Muslim conflict. Rather, it worsened the status of Hindu-Muslim relations in India, causing perpetual tension to exist between the two groups. Even 75 years after independence, the situation persists. Riots and conflicts between Hindus and Muslims continue to take place across the nation.

Violation of freedom of speech and expression

The spirit of free speech is the capacity to think and speak freely, as well as to learn from others via publications and public debate, without fear of being regulated or suppressed by the government. The first requirement of emancipation is freedom of expression. It is believed that the freedom to express one’s opinions, thoughts and feelings acts as the guardian of all other rights since it has a prominent and crucial position in the hierarchy of liberty.

The right to freely express one’s thoughts by words, writing, printing, photographs, or any other methods is known as freedom of speech and expression. In recent years, it has become commonly understood that the right to free expression lies at the heart of a free society and must be safeguarded continually. The uninterrupted flow of speech through an open medium is the primary principle of a free society. The freedom to communicate one’s thoughts and beliefs without impediment, and especially without fear of punishment, is crucial to the growth of a community and, eventually, a state. It is one of the most basic fundamental rights protected from government restriction or control.

In India, Article 19 of the Indian Constitution guarantees the freedom of speech and expression to all citizens of India. It consists of the freedom of the press, the right to silence, the right to report and broadcast, as well as the right to be informed. It is a qualified right and is subject to certain restrictions to ensure it doesn’t violate others’ fundamental rights or the security of the state. Freedom of speech can be curbed to the extent that it does not adversely impact the sovereignty and integrity of India, security of the State, maintenance of friendly relations with foreign states, decency and morality, or cause a contempt of court or defamation. It is essential to protect and uphold these rights to improve the democratic structure of our country and improve the accountability of the state actors. In case the right to free speech and expression is curbed without any reasonable explanation, it may cause repression of constructive criticism and the establishment of an autocratic government.

Violence against women

Discrimination and violence against women are widespread in India, limiting educational achievement and earning capacity, as well as having substantial economic and societal consequences. With increases in the occurrence of domestic abuse during the lockdown, COVID-19 has highlighted the fault lines of gender equality. Men and boys should be educated about gender issues through social programmes, and community-level platforms such as Self-Help-Groups (SHGs) should be enhanced to give information on women’s safety, sexual and reproductive health, and family planning options. There are several dynamics that gender plays with other social and economic factors:

Dynamics of gender with caste 

Women from lower castes are at the bottom of the class, caste, and gender hierarchies. They always endure the burden of abuse, discrimination, and physical violence since they are largely illiterate and constantly paid less than their male coworkers across the world. Landlords and police frequently utilise sexual assault and other types of violence against women to repress rebellion and destroy dissidents in the community. In comparison to women from upper castes, lower-caste women face greater barriers to reproductive and physical health care, education, and sustenance income.

Dynamics of gender with poverty

Women are at a substantially higher risk of poverty for a variety of reasons:

  • Even though they have the same qualifications and work the same hours, women are paid less than males.
  • Women are divided into low-paying jobs, and women’s occupations are low-paying. Teaching, child care, nursing, cleaning, and waitressing are examples of “pink-collar” employment that often pays less than positions in male-dominated sectors.
  • Unpaid caring takes up more time for women than it does for men. Women are more likely than males to look after children, the elderly, or handicapped members of their families. 
  • Women are more likely to shoulder the burden of child-rearing expenses. When parents do not live together, women are more likely to shoulder the financial burden of raising children.
  • Pregnancy has a greater impact on women’s employment and educational chances than on men’s. The financial costs of pregnancy are higher for women than they are for males. Unplanned and mistimed pregnancies, in particular, can cause women to lose their education and prevent them from obtaining and maintaining stable jobs.
  • Domestic and sexual abuse can lead to poverty for women. Domestic or sexual violence can result in the loss of a career, declining health, and homelessness. Many Indian women, particularly those from low-income families, are victims of intimate partner violence perpetrated by current or previous spouses or love interests. Poverty and gender inequality are thus mutually reinforcing in terms of infringing on women’s legal rights.

Violation of child rights 

Across a majority of nations, a proportion of the total children end up being denied their rights, especially the girl child. Millions of children throughout the world are being held back by a range of hurdles that prevent them from fulfilling their full potential, from a lack of access to school to security and safety to safe water and basic sanitation. The UN Convention on the Rights of the Child (UNCRC) has been ratified by over 190 nations, making it the most widely-adopted human rights convention in history. However, just because the treaty exists does not guarantee that children’s rights are always respected. The following are some infringements of child rights that take place across the world:

Child marriages

Girls’ rights are violated by child marriage, which often forces them to drop out of school, exposes them to abuse (sexual, physical, and emotional), and forces them into situations that their young minds and bodies are not ready for, such as childbirth. Although young boys get married off early as well, child marriage is a problem that disproportionately affects girls. The lockdown caused an increased surge in child marriages across regions in India, making it a major national concern. 

Child labour

Millions of children in the world’s poorest countries work in dangerous and exploitative conditions that are harmful to their health and growth. Sex trafficking, domestic slavery, harsh physical labour such as mining or farming, and factory labour are all types of child labour.

Lack of access to education

Every kid is entitled to an education, and learning is essential for growth. It’s also one of the most effective ways to break the cycle of poverty and ensure that children are given the skills they need to achieve their full potential. Long distances to school, a shortage of adequate washrooms, local gender conventions, and early pregnancy are just some of the obstacles that many girls experience in getting an education.

Lack of access to clean water

Millions of people around the world do not have access to safe drinking water, and more than twice as many do not have access to proper sanitation, such as toilets. Millions of children’s lives are jeopardised without these necessities. Water and sanitation-related infections are one of the top causes of death in children under the age of five. Every day, hundreds of children die from avoidable diseases brought on by contaminated water, sanitation, and hygiene.

Lack of access to healthcare

Every child has the right to high-quality healthcare, yet millions of children across the world die of preterm birth problems, pneumonia, birth asphyxia, diarrhoea, malaria etc. Many of these fatalities may have been avoided if people had better access to healthcare. Furthermore, pregnancy and delivery problems are the top cause of mortality for females under the age of 15. Gender stereotypes and inequality are the most prevalent hurdles to females enjoying their rights to healthcare, just as they are with education.

Child soldiers

Separated from their families, displaced from their homes, or living in conflict zones with restricted access to schooling makes children more vulnerable to recruitment by armed forces and groups. These children are subjected to the horrors of war, a situation that not only deprives them of their innocent childhood experiences but also has negative consequences on their mental and emotional development. Every kid has the right to be shielded from the effects of conflict.

Female Genital Mutilation

Operations involving partial or total removal of the female external genitalia or other harm to the female genital organs for non-medical reasons are termed Female Genital Mutilation (FGM). It’s also a form of gender-based discrimination. The practice is common in many regions of the world, and it is usually supported by firmly rooted societal norms. FGM has been performed on millions of girls and women worldwide, with the average age of a girl undergoing the procedure being ten years old. Female Genital Mutilation is a breach of a girl’s right to health, freedom from violence, life and bodily integrity, and protection against brutal, barbaric, and humiliating treatment. 

Who is responsible for addressing and preventing human rights violations 

States carry the primary duty for safeguarding and promoting human rights in human rights accords. When a national government ratifies a treaty, it takes on a total of three responsibilities, i.e. to respect, protect, and uphold human rights. It is the government’s responsibility to act and prosecute individuals who violate the law. 

This does not negate the responsibilities of civil society members to prevent human rights breaches. Businesses and organisations must adhere to anti-discrimination rules and promote justice and equality, while everyone must respect the rights of everyone else. Civil societies should keep governments accountable and raise their voices when they encounter a situation of human rights violations, performed either directly or indirectly. The world community also has a responsibility to keep an eye on governments and their human rights records. Violations occur often, but they must always be reported to have them acted upon.

United Nation’s stand on human rights violations

In 1948, the Universal Declaration of Human Rights (UDHR) was adopted. Eight of the United Nations’ 56 members did not vote in support of equal human rights at the time. International human rights have come a long way since then. This, unfortunately, does not mean that human rights violations don’t take place regularly across nations.

The Core International Human Rights Instruments consist of the following: 

Charter of the United Nations (1945)

Article 55(c) and Article 56 are the provisions in Chapter IX of the Charter of the United Nations that provide for the protection of human rights. These two clauses together put a responsibility on member nations to protect and observe basic human rights and freedoms.

Universal Declaration of Human Rights (1948)

Several institutional mechanisms, known as charter bodies, were established by the General Assembly in the decades following the ratification of the Charter to monitor member states’ adherence to their human rights standards under the Charter and to record and report gross and widespread violations of those obligations.

On December 10, 1948, the United Nations General Assembly passed a resolution establishing the Universal Declaration of Human Rights. The Declaration was established for the purpose of defining the “human rights” as well as “fundamental freedoms” stated in Article 55(c) of the UN Charter, which all UN member states are committed to observing and respecting, even though it is not a legally binding instrument. Many UN member states have adopted the guiding principles.

Table of core International Human Rights Treaties and Treaty monitoring bodies

The UN has recognised nine of the numerous human rights documents produced under its auspices as fundamental international human rights accords. These include treaties on human and civil rights, social, economic, and cultural rights, racial and gender-based discrimination, torture, and forced disappearances, as well as accords safeguarding the rights of children, migrant workers, and people with disabilities.

The UN has created a body of independent experts, known as a ‘treaty body’, for each of these fundamental treaties, to supervise the treaty’s implementation by the state parties who have ratified it.

The bodies are:

Human rights campaigning is not a linear process. In certain regions of the world, progress in human rights has stayed static or worsened during the previous two decades, especially during the pandemic. Discrimination is more prevalent among socially disadvantaged communities. Women, children, ethnic minorities, individuals with disabilities, migrants, refugees, indigenous individuals, and people in poverty are all included.

Countries that are infamous for human rights violations 

Syria

Human rights violations have been rampant in the politically unstable and explosive country of Syria, starting well from the Civil War and continuing to date. The Syrian Civil War (2011) claimed a large number of lives. Millions of Syrians were reported to have been murdered, displaced within Syria (becoming refugees), and in need of immediate humanitarian aid. The war has been defined by damage and great suffering among civilians, and foreign relief organisations have long condemned the conflict’s indiscriminate violence. Human rights violations have been committed by both the government and the rebels.

To date, civil rights of residents have been curbed, free speech restricted, freedom of press restrained, forcible disappearance, widespread and deliberate property destruction and looting, methodical denial of food and water in some places, and the suspension of medical attention, even to minors. The military is an overbearing actor in this state and is the perpetrator of the majority of human rights violations and unreasonable violence. 

Iraq

The government’s policies regarding ongoing human rights violations are heavily influenced by Iraq‘s history of dictatorship, foreign interference, civil war, and political deadlock. Wrongful arrests and imprisonment, detainee abuse, arbitrary detention, and extrajudicial executions continue to be carried out by state security agents. Millions of Iraqis are also threatened by violations of social and economic rights, as well as environmental destruction. Iraq is on the frontlines of the worsening effects of global warming, with a political economy based heavily on oil. Government responses to escalating crises and popular efforts to address them, such as violence against protestors demanding a brighter future, have only intensified violations while failing to address the daily hardships Iraqis face.

Saudi Arabia

The country of Saudi Arabia is experiencing poor governance, with the state disregarding women’s rights to equality, citizens’ health, freedom of speech and expression, privacy, and life and liberty. Throughout decades, millions of people have been detained, tortured, assaulted, and killed by the autocratic leader’s army. Bans on travelling, free public expression, resumption of human rights activities, and use of social media were among the policies imposed by their leader, which violated their rights to freedom of expression, association, and peaceful assembly in the country as well as freedom of movement outside the country. Its penal system is also marked by severe and brutal forms of punishment, which is also reflected in the recent case of mass execution of 81 men in the country with the aim to curb political dissent.

North Korea 

Since 1949, the Democratic People’s Republic of Korea, often known as North Korea, has been an authoritarian state run by Kim Jong-un’s family. There are severe human right violations that are taking place continually in the country which include the government’s unlawful or arbitrary killings, compelled disappearances, abuse and barbaric, dehumanising, and inhumane treatment and condemnation by state officials, cruel and life-threatening detention facilities, arbitrary detentions of political prisoners, politically motivated retaliation against persons situated outside the country, no judicial indignation, arbitrary or unlawful invasions of privacy, severe limits on freedom of expression, the press, and the internet, state threats of assault, violence, or unwarranted arrests and prosecutions of journalists, media censorship, and site blocking, significant limits on peaceful assembly, strict limits on religious freedom, citizens’ incapacity to peacefully alter their government through democratic elections, severe constraints on political participation, commonplace corruption, absence of investigation and accountability for acts of brutality meted out against women, non-consensual abortions and forced sterilisations, human trafficking, the criminalising of independent trade unions, the worst forms of child labour and abuse, the use of forced labour and slavery and the imposition of sanctions. The government has never made any genuine efforts to hold officials accountable for human rights violations.

Afghanistan 

Afghanistan is an Islamic republic with a president who is directly elected, a bicameral legislature, and a judicial body. Nevertheless, armed rebels control parts of the nation. The country has been a target of radical terrorist groups and these violations have escalated since the United States declared the withdrawal of its forces from Afghanistan, triggering the resurgence of the Taliban. Afghanistan is marked by human rights violations which include Insurgent killings, mass executions by security forces, abductions by opposing political workers, reports of cruelty and cases of cruel, dehumanising, or insulting punishment by security forces and non-government organisations, illegal arrests by government and non-government actors, serious violence in internal conflict, including civilian killings, arbitrary detention and kidnappings, brutality, and physical assault, mass corruption, violence against women, recruitment of child soldiers and sexual abuse of children, human trafficking, violence against members of ethnic minority groups and homosexual groups. There exists widespread contempt for the rule of law, as well as official impunity for those who commit human rights violations. Officials, especially security personnel are not investigated or prosecuted systematically or effectively by the government to curb human rights violations in the country.

Major instances of human rights violations across the globe

The infamous Facebook and Cambridge Analytica privacy violation

Cambridge Analytica, a British consulting firm, gathered personal data from millions of Facebook users without their knowledge in the 2010s, mostly for political campaigning. The information was gathered via an app called “This Is Your Digital Life“. The software asked users a set of questions to create psychological profiles, and it used Facebook’s Open Graph network to acquire personal data from their Facebook connections. Up to 87 million Facebook accounts were stolen by the programme. In 2018, a former Cambridge Analytica employee revealed information about the data exploitation, and in response, Facebook apologised for their part in the data collection and misuse and CEO Mark Zuckerberg testified in front of the Congress. Due to its privacy infractions, Facebook was fined $5 billion, and Cambridge Analytica underwent bankruptcy. The affair generated a surge of public interest in data protection and privacy and the impact of social media on politics. 

Rohingya Crisis

Due to communal warfare, tens of thousands of Rohingya people were forcefully evacuated from their communities and refugee camps in Myanmar’s Rakhine State in 2015. Some escaped to Bangladesh, while the majority travelled via the Strait of Malacca, Bay of Bengal, and the Andaman Sea to Southeast Asian countries such as Malaysia, Cambodia,  Indonesia, Thailand, and Laos. In 2017, the arriving Rohingyas in Bangladesh said they were forced to flee as the army, supported by local Buddhist mobs, set fire to their communities and attacked and killed residents. Millions of Rohingyas were killed after the outbreak of violence, and the Myanmar military assaulted and mistreated Rohingya women and girls. India too has witnessed an influx of Rohingya immigrants, majorly illegal, and the current position on the legitimacy of their arrival is still conflicted.

Taliban crimes in Afghanistan

The Taliban Regime has been characterised by consistent violations of citizens’ autonomy and liberty. The lengthy Afghanistan conflict quickly gave birth to increasing human rights and humanitarian disasters after the Taliban took control of the nation in August 2021. The Taliban quickly reversed gains in women’s rights and media freedom, two of the most significant successes of the post-2001 reconstruction effort by the United States. Women were barred from working in most government occupations and many other areas, and most secondary schools for females were disbanded. The  Taliban beat and arrested journalists, forcing many to flee the country. Several media outfits shuttered their functioning or substantially reduced their reporting. There were no women in the new Taliban government and no officials from outside the Taliban’s ranks. With millions of Afghans experiencing extreme food shortages owing to destroyed crops, rising inflationary pressures and income shortages, the Taliban victory catapulted Afghanistan from an economic disaster to a humanitarian crisis.

Genocide of Uighur Muslims in China

In the northwestern province of Xinjiang, China has been accused of perpetrating crimes against humanity and potentially genocide against the Uighur community and other primarily Muslim ethnic groups. Human rights organisations claim China has arrested over one million Uighurs forcibly in a vast network of “re-education centres” and sentenced hundreds of thousands to prison terms in recent years. There is also evidence that Uighurs are being compelled to work and that women are being sterilised forcibly. Former inmates have also claimed to have been tortured and sexually assaulted in the camps.

Since the Chinese Communist Party was founded in 1949, Muslim Uighurs have experienced restrictions on their religious and cultural traditions. Uighurs began moving out of the region in the 1960s as a result of the mistreatment. In the 1990s, periodic demands for Uighur independence from China gained strength, as did China’s classification of Muslim Uighur activists as terrorists. After the Taliban took control in Afghanistan in 1996, the country’s Communist Party became more concerned. Hundreds of people were killed and injured in ethnic riots in Urumqi in July 2009. Police and demonstrators clashed. China began developing large detention facilities between 2014 and 2021 in order to segregate and eliminate the Uighur minority.

Human rights violations during COVID-19

The spread of the virus and the ensuing lockdown had a detrimental effect on the following rights of people:

Freedom of speech and expression

According to a Freedom House assessment, at least 91 nations imposed limits on the news media in reaction to the COVID-19 epidemic, with 62 percent of ‘Partly free countries’ and 67 percent of ‘Not free countries’ experiencing such restrictions. Furthermore, they stated that at least 72 nations have put further government limits on free expression. China, Azerbaijan, Bangladesh, Israel, Poland, and Turkey are among them.

Right to health

The Covid pandemic saw a curb in the sufficiency of medical services available across the world. India too struggled with the increasing number of Covid patients coupled with regular patients having chronic diseases. Most severe infringement on the availability of the right to health was seen in China, Italy, Libya, and Russia, among others.

Freedom from discrimination

 Racism

Racism against Asian people, particularly Chinese people, has become more prevalent in Europe and the Americas. Many tend to avoid and ostracise them as they are the primary group of people being blamed for the spread of the deadly virus. 

Stigmatisation

After recuperating from the disease, some people have reported feeling socially stigmatised. Moreover, because they are afraid of being ostracised by their family and community, a majority of healthcare staff caring for COVID-19 patients have experienced mental health issues.

Freedom of information

According to Amnesty International, the Chinese government has banned several articles about the COVID-19 outbreak in China. Similarly, governments around the world have reported lesser or sublimated cases of covid intending to keep public paranoia under control. 

Freedom from arbitrary arrest and detention

Many countries have laws that allow for detention and arrest, sometimes even indefinitely, if they have the potential for spreading deadly diseases or when they are threatening public health. Moreover, Freedom House research uncovered evidence of state violence against people in at least 59 nations, as well as detentions and arrests tied to the pandemic outbreak in at least 66 countries, in its study ‘Democracy under lockdown.’ Activists who shared information on the COVID-19 epidemic in China and other countries were persecuted and threatened. Some governments have taken advantage of the COVID-19 epidemic. Exploiting the situation, the countries in question attempted to silence dissidents as well as political opponents, human rights campaigners, and journalists.

Furthermore, several governments have kept migrants, refugees, and asylum seekers indefinitely and arbitrarily, in violation of international law and human rights. During COVID-19, Amnesty International chastised the governments of the United States of America, Mexico, Canada, etc. for continuing to detain tens of thousands of immigrants in immigration detention facilities.

Freedom of movement and assembly

In several countries, border controls were put in place to restrict the entry of foreigners potentially carrying the virus. For many, a state of emergency was announced which hampered essential constitutional rights (personal liberty, freedom of movement, and freedom of assembly) as well as militarised public spaces. Nationally, lockdowns were enforced which caused individuals to remain within their homes. Lockdowns restricted movement as well as the expression of freedom of assembly by limiting the number of persons who may attend each conference or outright prohibited any assembly. 

Right to privacy  

Many governments have started undertaking mass surveillance in order to track the disease’s spread and carriers. To guarantee that quarantined individuals do not flee, the Chinese authorities put CCTV cameras in their doorways. In Hong Kong, some people were required to wear a wristband connected to a smartphone app that would alert authorities if they violated quarantine. Passengers were marked with permanent ink on their palms in some regions of India, indicating how long they should stay in quarantine. Human Rights Watch claimed that mobile geolocation tools used by governments throughout the world to combat the COVID-19 problem represent a human rights concern. According to the organisation, the efficacy of such tools is still debatable, and disproportionate surveillance might jeopardise users’ personal privacy unrestricted and unguarded access to their geographical position and vicinity data.

Freedom of religion

In certain countries, religious practices underwent a complete break during the times of COVID-19. Religious places for all religions, be it temples, churches, gurudwaras, or mosques, were suspended, leaving these structures of faith in utter silence. The lockdown regulations limited the number of people who may attend a religious ceremony. During Ramzan, authorities in certain countries allowed the Muslim call to prayer to be broadcast from minarets. In India, the government capped the maximum number of devotees to pray at a mosque during Ramzan to 50. Similarly, the Kumbh Mela also witnessed a curb in attendees, a capping on the maximum number of attendees and restricted entry for those who were without passes.

Violations in prisons

In the current COVID-19 epidemic, jailed people have faced the worst forms of human rights violations, from a lack of medical treatment in detention centres to excessive overcrowding and being shut off from the outside world. In its latest research ‘Forgotten Behind Bars: COVID-19 and Prisons’, Amnesty International found that the safeguards governments have put in place to limit the spread of the virus have frequently been insufficient and, in some circumstances, have contributed to human rights breaches. According to the conclusions, the epidemic failed the imprisoned people on multiple levels, including the state’s obligation for providing enough technical assistance in order to maintain a connection with the outside world as well as a sanitary and healthy living space.

Human rights violations in India 

India, the world’s largest democratic country, is a signatory to the Universal Declaration of Human Rights (UDHR). Civil, economic, cultural, political, and social rights are all protected under the UDHR. Intending to uphold its international obligation to human rights, the Indian constitution protects human rights through the fundamental rights it has promised to its citizens. These rights cannot be changed since they are part of our constitution’s essential framework. Parts III and IV of the Indian Constitution require the state to respect and protect human rights, however, only Part III (Fundamental Rights) is enforceable, while Part IV (Directive Principles of State Policy) is only persuasive. The safeguarding of an individual’s dignity is also mentioned in the Constitution’s Preamble. 

The government is obligated under the Constitution to make efforts to defend human rights. Citizens can seek redressal of their rights guaranteed under Part III of the Indian Constitution from the Supreme Court using Article 32. Further, Article 13 empowers the Supreme Court to declare any statute unlawful if it infringes on Part III, making the Supreme Court the custodian of these rights. Article 32 (3) states that the legislature can authorise any other court to defend these rights by legislation. In order to comply with this, parliament passed the Protection of Human Rights Act, 1993, which states that “human rights” refers to the rights of an individual to life, liberty, equality, and dignity guaranteed by the Constitution or embodied in international covenants and enforceable by Indian courts. The Act also mandates the establishment of the National Human Rights Commission (NHRC), State Human Rights Commission (SHRC), and Human Rights Courts (HRC).

Historical rulings reveal that the courts across India have made efforts to preserve and promote human rights, but we cannot claim that it is perfect. However, it may be said that the Supreme Court used its power of interpretation so effectively that it broadened the scope of these rights, making it easier for everyone to exercise them. The judiciary in India is not superior to other organs of the state, but we do have constitutionalism, which states that the judiciary is autonomous and that all entities must obey the Supreme Court’s orders for the good of the country. Our legislation requires the government to create specific organs to defend human rights in accordance with the NHRC at the federal level, and only a few states have done so. The law states that the state must establish District Human Rights Courts (DHRCs), however, this is not being done. Although the Supreme Court has urged state governments to create SHRCs and HRCs, most states have failed to do so. Because it is difficult for a common citizen to contact the NHRC from anywhere in the country so as to exercise their rights, this gap on the side of the state makes it dilatory in providing justice to an important segment of society. Since 1993, every state has been required by law to establish an SHRC and HRC in its respective area in order to achieve the goal of providing prompt justice to everybody.

The point of contention is that the legislation does not establish a method for HRCs to deal with such complaints, nor does it establish the jurisdiction of such tribunals over violations of human rights. This confusing aspect must be investigated by lawmakers as soon as possible so that human rights are adequately protected and the consequences of the present legislation are not dissatisfied.

Landmark cases of human rights violations 

D.K. Basu v. State of West Bengal (1997)

Facts

In this case, the Petitioner (Executive Chairman of Legal Aid Services of West Bengal), wrote to the Chief Justice of India, bringing his attention to news stories about fatalities in police custody and lock-ups. He called for a thorough investigation into the matter, emphasising the need to establish mechanisms for holding police officials accountable for attempting to conceal custodial violence and to establish guidelines for compensating victims of atrocities and deaths in custody and the victims’ family members. The Supreme Court regarded this letter as a writ petition, citing cases of custodial brutality across the country, not only in West Bengal.

Issues

The petition addressed basic concerns about the use and abuse of police authority, as well as the need to build measures to avoid custodial torture and power abuse by police officers and other law enforcement agents. It also evaluated whether financial compensation should be paid for demonstrated violations of Articles 21 and 22 of the Indian Constitution’s Fundamental Rights.

Judgment

The larger objective of developing systems to make arrests more transparent and the authorities more responsible for rights abuses were also given a lot of attention. The Court even advised putting in place a system of adequate apparatus for documenting and notifying all arrests and detentions in real-time. Finally, the Court published a set of requirements/guidelines to be followed in all situations of arrests and detentions as preventative measures, in order to address the legal void in this area. The Court gave several directives, including, the commission of oversight bodies at different levels of governance, mandatory installation of  CCTV cameras at prisons and the availability of its footage to the victim’s family, police stations and investigative agencies, and conduction of medical examination of the arrested post-arrest, among others.

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

Facts

In this case, based on revelations published in a national newspaper in 1979 concerning the situation of destitute undertrials in Bihar’s jails, a writ of habeas corpus was brought before the Supreme Court. The petition argued that the men, women, and even children who had been imprisoned as undertrials for lengthy periods of time, often over ten years, for small offences with little penalties should be released.

Issues

The Court was especially concerned in this case with concerns of inequality in India’s bail system, which resulted in the poor being imprisoned for long periods of time. It looked into the following challenges: 

  1. The system of bail by the Code of Criminal Procedure (CrPC) had an outmoded property-oriented paradigm, which held that the threat of monetary loss was the sole deterrent to undertrials escaping court. Consequently, the accused was required to post a ‘personal bond’ in the manner of a monetary obligation as a condition of being released on bail. 
  2. In order to be able to pay the bond sum if the accused failed to appear in court, courts required solvent sureties/guarantors to act as guarantees of the bail for the accused. 
  3. The poor were disproportionately affected by this system, which made it difficult to post bail even without sureties, and far more so with them. Therefore, they were unable to gain their release from prison.

Judgment

The Supreme Court, alarmed by the criminal justice system’s long-term imprisonment of indigent defendants, ruled that bail processes in India must meet the Maneka Gandhi v. Union of India (1978) criteria of being ‘reasonable, just, and fair’. A method that put so many individuals in prison without trial for so long could not be considered reasonable, just, or fair, as required by Article 21. The Court emphasised the importance of changing the law’s approach to pretrial detention and ensuring a “reasonable, just, and fair” system. It fought for comprehensive bail reforms to make a pretrial release from jail accessible to the wealthy and the poor equally.

The Court advocated for the implementation of fresh measures to ensure that undertrials do not run from justice without placing an inequitable burden on impoverished undertrials after recognising the “property focused strategy” as an unjust obstacle to getting released from jail. One of these was the ‘roots in the community’ approach, which stated that someone with roots in the community who is unlikely to flee might be freed on a personal bond. It also established criteria for determining an accused’s eligibility for release under this technique. After a thorough investigation, if the court determines that the accused has links to the community and that there is no significant danger of non-appearance, the accused may be freed on a personal bond. Even when giving personal bail, the bond value should not be based just on the nature/severity of the accusation against the accused, but rather on their financial situation and the likelihood of absconding. Therefore, the Court decided that the criterion of financial stability of the accused should not result in the denial of bail and suspension of personal liberty to impoverished and indigent people under Article 21 of the Indian Constitution.

People’s Union for Civil Liberties v. Union of India (1997)

Facts 

In this case, the Petitioner, which is a human rights organisation, filed a public interest lawsuit in the Supreme Court contesting the legality of Section 5(2) of the Indian Telegraph Act, 1885. This law gave the government the authority to intercept or “tap” phones for specific reasons. The appeal was filed in response to the CBI report “Tapping of Politicians Phones,” which disclosed that the central and state governments have authorised multiple intelligence, law enforcement, and investigative organisations to intercept phone calls. It also showed hundreds of cases of unlawful interceptions, interceptions that went past the time limit, and faulty interception files and record keeping. The Petitioner claimed that this power of interception was unreasonable since it was so wide and ambiguous. It was unconstitutional since it infringed on people’s fundamental rights. It also requested that protections be included in Section 5(2) to eliminate arbitrariness and prohibit governments from tapping phones without cause.

Issues

Did Section 5(2) of the Indian Telegraph Act and the government’s wide and undefined ability to intercept phone calls and listen in on conversations infringe Article 19(1) of the Constitution’s right to free speech and expression, as well as Article 21’s right to life and liberty?

Judgment

According to the ruling of the Supreme Court in several cases over time, the ‘right to privacy’ has been upheld as a fundamental right and treated as a part of the ‘right to life and personal liberty’ under Article 21 of the Indian Constitution. When it came to phone interceptions, the Court decided that this right includes the ability to have a private telephone conversation in the privacy of one’s home or business. The right to free expression under Article 19(1)(a) implied the ability to openly express one’s beliefs and ideas by speaking, writing, printing, photography, or any other means. When someone uses the telephone, they are expressing this right of theirs. Thus, telephone taps limited this privilege and would be unlawful unless it fell within one of the Article 19(2) reasons for limitation.

The Court noted that Section 5(2) permitted the Central Government or State Government, or any official particularly empowered in this regard, to intercept messages (including calls) in the case of a public emergency or for the benefit of public safety. In addition, the state had to be convinced that it was essential in the interests of India’s sovereignty and integrity, security, cordial relations with other governments, public order, or the prevention of inducement to commit an offence. Before the government could authorise an interception under Section 5(2), two sets of requirements had to be met. However, it was determined that Section 5(2) did not specify a mechanism for exercising this right to intercept. Hence, the ability to wiretap telephone calls becomes arbitrary, whimsical, or coercive. This did not fulfil the ‘just, fair, and reasonable’ requirement. While the Court did not rule Section 5(2) illegal, it did establish a series of procedural protections for the use of Section 5(2)’s telephone interception power. It gave directions for the establishment of a Review Committee, imposing accountability on certain office-holders, and mandating maintenance of records for phone tapping, among others.

Selvi & Ors. v. State of Karnataka & Anr. (2010)

Facts 

In this case, during the course of an investigation into a criminal case, the police wanted to perform tests on the Petitioner, who was an accused in the case, such as a narco analysis test, a polygraph examination, and a Brain Electrical Activation Profile (BEAP). These were, according to the police, investigative instruments that may be employed on the accused to aid in the inquiry. However, the Petitioner/accused declined to voluntarily submit to these tests, claiming that their administration would be in violation of Article 20(3) i.e. protection from self-incrimination. The Karnataka High Court decided that polygraph examinations and BEAP tests were not “testimonial compulsion” since they captured physiological, not verbal, reactions of the accused/test subject. The High Court concluded that the answers offered during a narco analysis did not breach Article 20(3) since the accused/test subject did not know whether the answers were incriminating or not at the time of delivering them.

Issues

1. Does the forcible administration of scientific technique tests such as narco analysis, the BEAP test and the polygraph examination contradict Article 20(3) of the Constitution’s “right against self-incrimination”? 

2. Did the application of these tactics in the investigation lead to the test subject’s incrimination? 

3. Whether the outcomes of these tactics amounted to “testimonial coercion,” triggering the Article 20(3) bar?

4. Is the involuntary use of these procedures a justifiable constraint on “personal liberty” as defined in Article 21 of the Constitution?

Judgment 

After analysing the methods employed in these tests and the limited trustworthiness of their results, the Court concluded that Article 20(3) prevented the accused from being forced to make incriminating remarks. Article 20(3) served as an important safeguard for the accused’s rights by prohibiting such coerced comments. Without it, investigators would have a motive to force the accused to make incriminating admissions, which would encourage the use of torture and other “third degree” tactics by the police. Article 20(3) also safeguarded Article 21’s right to personal liberty in this way. 

The Supreme Court disagreed with the High Court’s finding, holding that if these tests/ methods were provided to the accused involuntarily/compulsorily, the statement or information received from them would be obtained by coercion, threat, or incentive. This would be inadmissible as evidence since it would prima facie breach Article 20(3) protection against coerced self-incrimination. 

Hence, the accused had a right to remain silent in response to queries whose responses would be incriminating, and any use of force, intimidation, or coercion to compel the accused to speak would be a violation of Article 20(3). Article 20(3) prohibits coerced testimony, and since narco analysis involves the accused speaking up regarding his own crime, such testimony would be forbidden by Article 20(3). Polygraph examinations and the BEAP test, on the other hand, were not dependent on the accused’s spoken evidence, but rather on conclusions formed from their physiological reactions to inquiries or probes. 

The Court decided that the prohibition on ‘testimonial compulsion’ in Article 20(3) did not apply just to spoken answers, but also to non-verbal responses. The physiological reactions of the accused while responding to questions were used to make conclusions in polygraph or BEAP tests. Because the replies were based on the accused’s personal information, the physiological reactions and, by extension, the results/inferences were as well. Therefore, the findings of these tests were based on the accused’s personal information. They breached Article 20(3) since they did more than just gather bodily traits or information for identification or corroboration. To put it another way, collecting an accused’s physiological reactions during polygraph or BEAP tests was not the same as obtaining their fingerprint or handwriting samples, because the former required the accused’s intimate information, whilst the latter did not. 

On the fourth point, the Court held that the forced or obligated administration of any of these tests abridged the subject’s ‘personal liberty,’ because forcible interference with the subject’s mental processes amounted to an invasion of their privacy, as well as ‘cruel, inhuman, and degrading treatment,’ as defined by Article 21. The information acquired through these approaches also ran afoul of the right to a fair trial. The weakening of fundamental rights such as the right against self-incrimination cannot be justified by citing a compelling public interest. 

However, the Court noted that Article 20(3) protection would only apply to coerced administration of these tests. The protection wouldn’t be granted if the accused freely consented to any of these tests. The protection would not be accessible if the coerced administration took place during civil proceedings. Even when the tests are given with the accused’s permission, the test findings do not serve as evidence. Only the information or material obtained later with the use of the test findings is admissible in court under Section 27 of the Indian Evidence Act, 1872.

Rudul Shah v. State of Bihar & Anr. (1983)

Facts

In this case, the Petitioner, who was imprisoned for fourteen years after being exonerated, filed a habeas corpus case before the Supreme Court. He requested his release from prison, rehabilitation, payment of medical expenses, and restitution for his unjust detention in the petition. The jail officials argued in court that he was not released because he was “crazy” and required mental health assistance, despite the fact that they produced no medical evidence to support this assertion.

Issues 

How may the Court, in exercising its writ power under Article 32 of the Indian Constitution, correct the wrong that the Petitioner has suffered?

Judgment

A monetary claim for the enforcement of rights or duties had to be submitted before a civil or criminal court in India using the normal legal process. In India, monetary recompense to the victim was not properly part of the jurisprudence for the implementation of fundamental rights. The Supreme Court has the ability to grant writs such as mandamus, habeas corpus, prohibition, quo warranto, and certiorari for the preservation of any fundamental rights under Part III of the Constitution, according to Article 32 of the Indian Constitution. Subsequently, the Court might use its Article 32 jurisdiction to remedy or prevent a breach of Article 21’s right to life and liberty, which could include directing monetary compensation to anyone whose rights have been infringed by the government and its agents. Therefore, as a remedy, the Court might hold the State accountable for the damage done to the Petitioner’s rights by its agents. This monetary settlement does not bar the Petitioner or any other victim from pursuing damages in civil court against the State and its authorities.

Nilabati Behera v. State of Assam & Ors. (1993)

Facts 

In this case, the petitioner,  Nilabati Behera was the mother of Suman Behera, a twenty-two-year-old woman who was arrested by the police for theft and discovered dead the next day on the railway lines. His body had multiple damage marks on it, and it was suspected that he died as a result of an assault in police custody. Suman Behera allegedly fled from police custody and died after being run over by a train, according to the police. The petitioner sent a letter to the Supreme Court, which was later turned into a writ petition. She requested compensation for the breach of Article 21 of her son.

Issues

  1. Was Suman Behera’s death a case of incarceration and was committed under police custody? 
  2. If affirmative, what responsibility did the government and police officers have for the death of the Petitioner’s son?

Judgment 

The deceased’s corpse had a vast range of injuries, all of which may have been inflicted by lathi strikes, but not by being run over by a train, according to the post mortem report. Furthermore, the police presented no proof that they had looked for him following his supposed escape. Their arrival at the railroad tracks where his body was discovered was delayed significantly.

On the first point, the Court decided that his death happened in the custody of the policy. Concerning the second question, the Court found that the State did have a public law obligation to compensate victims in circumstances where the State or its officials violated their Fundamental Rights. The Apex Court asserted the principle that a claim for compensation payable by the State could be made under public law based on the State’s strict liability to compensate victims of Fundamental Rights violations, and that courts could award monetary compensation for such violations. Victims might apply to the Supreme Court or the High Court under Articles 32 and 226 of the Constitution, and the courts could award damages to victims. This was in addition to the private law remedy for damages stemming from basic rights violations. It also recognised that, because a private law remedy was less expected to be used by people with little financial resources, the constitutional structure of Articles 32 and 226 should be able to give compensation to such individuals under public law. 

The Court further concluded that, while the State might claim sovereign immunity against a private law remedy, this privilege was not available to the State for a public law constitutional remedy such as Article 32 or 226. Finally, the Court ordered the State to compensate the Petitioner with Rs. 1,50,000, determined based on the deceased’s seniority and monthly salary.

Conclusion

Everyone has dignity and worth. Recognising and respecting people’s human rights is one way we acknowledge and appreciate their intrinsic value. Human rights are a collection of ideas that deal with justice and equality. They value our autonomy in making decisions about our life and developing our human potential. They are about living without fear, harassment, or prejudice. Human rights are a collection of fundamental rights that people all around the globe have decided are necessary. These include the right to life, the right to a fair trial, the right to be free of torture and other cruel and inhuman treatment, the right to freedom of expression, the right to religious freedom, and the rights to health, education, employment and substantial quality of life.

These fundamental rights apply to everyone regardless of gender, age, economic or social status and opinions. Human rights are universal and ubiquitous because of this. Tolerance, equality, and respect are values that can assist lessen societal conflict. Putting human rights ideals into practice can assist us in creating the society we desire. The way we think about and implement human rights principles has changed dramatically in recent decades. This has had several good outcomes: human rights education may empower individuals and provide answers to specific challenges. Human rights are fundamental to how individuals engage with one another at all levels of society, including the family, community, schools, employment, politics, and international relations. Thus, it is critical that everyone attempt to grasp what human rights are. It is simpler for people to support justice and equality in society when they have a greater understanding of human rights.

Most nations’ COVID-19 preventive and mitigation actions were sudden and difficult, with the prolonged lockdown putting a burden on economic activities. Many people were affected by the misery and disruptions caused by human rights limitations and abuses, but certain marginalised communities were particularly sensitive to the pandemic’s pandemic’s negative impacts. Children, women, minorities and the elderly have been the worst affected stakeholders during the pandemic-imposed lockdown and the ensuing restrictions on human rights. Attacks on democracy, political instability, economic sanctions, and the COVID-19 epidemic all pose significant obstacles to the current human rights situation across the world. If duty-bearers and office-holders for human rights protection and promotion do not commit to actual action, the future will be bleak.

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Rape under Section 376 IPC

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Section 120A

This article has been authored by Anindita Deb, a student pursuing BBA.LLB. from Symbiosis Law School, NOIDA. The objective of this article is to exhaustively discuss Section 376 of IPC, 1860, its relevant provisions, and other related provisions of law which come into play with respect to the Section. 

This article has been published by Sneha Mahawar.

Introduction

Rape is one of the most heinous crimes in the modern-day world, and despite the progress in education and societal development, this social evil is beyond tame to date. On the contrary, rape cases have seen an incessant increase in recent years. Rape leaves the victim in severe physical and emotional turmoil, in addition, the victims are also ignored and ostracised in society for merely being victims of something which did not even arise out of their own fault. It is important, now more than ever, that the people committing such an act get the maximum and most severe punishment possible so that justice is ensured and instances of rape are minimised in the future. 

The scope of the article is to briefly discuss rape, and then elaborate on the punishment provided for rape, given under Sections 376, and 376A-E of the Indian Penal Code, 1860. The article has also discussed the subsequent amendments to the Section and how it has shaped the law surrounding rape in the country. 

What is rape

Rape is an illegal sexual activity that involves sexual intercourse against the victim’s will, either by force or threat of force, or against someone who is unable to give consent due to mental illness, intoxication, deception, or unconsciousness. Rape is classified as a type of sexual assault in many countries. Previously, it was thought to be caused by an overwhelming sexual desire, but it now appears to be caused by a persistent assertion of power over the victim. On being interviewed, the majority of the perpetrators have testified that they committed rape upon the victim because they seemed to talk rudely to them, were out partying late at night (which they considered outrageous on part of the women), or simply to “show the woman her place”, in their words. The conditions that lead to the commission of rape during sexual intercourse between a man and a woman are listed in Section 375 of the IPC. 

According to the Section, the act of penetrating is sufficient to be considered sexual intercourse, and if such penetration is forced, it will be termed as rape. In Sakshi v. Union of India (2004), the Supreme Court affirmed the concept of rape, ruling that only heterosexual intercourse, such as vaginal and penial penetration, is rape. The Court explained that, while there are numerous forms of sexual abuse that are horrific in character, not every sexual offence can be termed rape.

Punishment for rape (Section 376 IPC)

The punishment for rape has been provided under Section 376 of the Indian Penal Code, 1860. The Section prescribes punishment for rape in the form of imprisonment of either description which lasts upto at least 7 years, but which may extend to 10 years or life imprisonment (imprisonment till the person dies a natural death in the prison), and the convict is also liable to pay fine. If the rape is committed by a husband on his wife while they were separated, and the wife was above 12 years of age, the husband will be awarded imprisonment of either description upto 2 years, or he will be charged with a fine, or he will be liable with both. 

The Court has the authority to prescribe imprisonment for less than 7 years under special circumstances. 

Clause 2 of Section 376 has subclauses (a) to (g) which provide punishment for aggravated forms of rape such as custodial rape, rape on a pregnant woman, gang rape, rape by a police officer, or by a public servant, etc. 

Nature of Section 376 IPC

Cognizable 

The offence committed under Section 375 which is punished under Section 376 of the IPC is cognizable in nature. A cognizable offence is one in which a police officer, under the first schedule or any other legislation in effect, can arrest a suspect without a warrant and begin an investigation without the court’s consent. Murder, rape, kidnapping, theft, dowry death, and other horrific or serious crimes are examples of cognizable offences. Only cognizable offences generate a First Information Report (FIR). 

Non-bailable 

The offence under Section 376 is non-bailable in nature, i.e., bail is not a matter of right for the accused, which is the case in bailable offences. The judge shall only grant bail to the accused if he deems it fit for the case. 

Triable by any court 

The offence of rape can be tried in any court of law within the territory of India, according to the first schedule of the Code of Criminal Procedure, 1973 (CrPC). 

Section 376 IPC before the introduction of amendments 

After the terrible Delhi Gang Rape Case (Nirbhaya Rape Case) in 2013, the rape laws were changed. The widespread agitation over the violent gang rape in the capital city, which ultimately resulted in the death of the physiotherapy intern, was the driving cause for the passage of the Criminal Law Amendment Act, 2013. The Act broadened the definition of “Rape” as defined in Section 375 of the IPC. Earlier, the minimum number of years for the punishment of rape was not mentioned in the Section, which has now been changed and stands as follows: 

  • Subsection 1 addresses the punishment for rape of a woman in all circumstances other than those listed in Section 376(2). In such circumstances, the punishment was rigorous imprisonment for a period of not less than 7 years, which might be extended to life imprisonment and a fine.
  • Subsection 2 addresses the penalties for the rape of a woman by police officials, public servants, members of the armed forces, and others. The punishment is a minimum of ten years in jail, with the possibility of life imprisonment (i.e., imprisonment for the rest of his life) and a fine. 

Changes introduced by the Criminal Law (Amendment) Act, 2013 in Section 376 IPC

Following the outcry produced by the Nirbhaya case, the Criminal Amendment Act of 2013 was approved, which made significant revisions to the definition and punishment of rape, which had previously been found to be insufficient. The Justice Verma Committee was established to gather proposals for the legislature’s consideration in developing a legal framework to address rape and other crimes against women. In a short period of time, the Committee received approximately 80,000 recommendations on which to deliberate. Activists, lawyers, NGOs, and other members of the so-called “civil society” sent these recommendations. The proposals were made as an ordinance because the legislature had adjourned, preventing the introduction of the amended Act. The crime of rape was given a broader definition under the ordinance, which included any sort of penetration, including any area of the victim’s body.

Voyeurism (Section 354C) was also made an offence by the Amendment, which was previously not a crime under the Indian Penal Code. The recording or viewing of photographs, movies, or other forms of media without the permission of the person portrayed or screened in them is known as voyeurism. Prior to the 2013 Amendment, the Indian Penal Code did not specify a minimum sentence for rape, which is now seven years and can be extended up to life imprisonment with a fine. It also introduced fourteen circumstances in which the penalty for rape must be at least ten years in jail and may include imprisonment for the rest of the accused’s natural life or death. The following is a list of these scenarios: 

  • Rape by a police officer.
  • Rape by a public servant.
  • Rape by armed force personnel.
  • Rape by the management or staff of a jail, remand home.
  • Rape by the management or staff of a hospital.
  • Rape by a relative, guardian or teacher.
  • Rape during communal or sectarian violence.
  • Rape of pregnant women.
  • Rape of a woman under sixteen.
  • Rape of a woman incapable of giving consent.
  • Committing rape being in a position of control and dominance over a woman.
  • Rape of a woman suffering from mental or physical disability.
  • While committing rape causes grievous harm or maims or disfigures or endangers the life of a woman.
  • Commits rape repeatedly on the same woman.

The Act became effective on February 3, 2013. It added five provisions to Section 376 (from 376A to 376E) which are explained hereunder.

Section 376A of IPC

Punishment for causing death or putting the person into a vegetative state. This clause punishes a man who commits an act against a woman that results in her being injured, going into a vegetative state, or dying. In situations under section 376 A, the sentence must be at least 20 years, although it can be increased to life imprisonment. It is a non-bailable and cognizable offence that can be tried in the Court of Session. 

Section 376B of IPC

This Section outlines the consequences of a husband having sexual relations with his wife when separated. A husband cannot be found guilty of rape against his wife under general principles. Marriage is a relationship in which both the husband and wife are able to use their marital rights. Sexual intercourse by the husband without her agreement is punishable under this Section when the woman lives separately from her husband under a judicial separation decision. Under these instances, sexual intercourse means the same thing as it does in Section 375 clauses (a) to (d). 

Section 376C of IPC

Sexual intercourse by a person in power is punishable under this Section. If a person in authority or under the influence of his power seduces or takes advantage of a woman, that person shall be held accountable for the offence under this Section. Sexual intercourse in these situations will not be considered rape, but will result in a sentence of not less than 5 years, with the possibility of a 10-year sentence and a fine. 

Section 376D of IPC

Gang rape offences are punishable under this Section. Gang rape occurs when a woman is raped by multiple people who all have the same aim to rape her. Offenders face a sentence of no less than 20 years in jail, with the possibility of being sentenced to life in prison. 

Section 376E of IPC

Punishment for repeat offenders is defined in this Section. If a person has been previously convicted of an offence under Section 376, 376 A, or 376 D and commits the same offence again, he or she will be sentenced to life in prison. 

The Criminal Law (Amendment) Act of 2018 and the changes it brought to Section 376 IPC

After the horrifying incident of the Kathua rape case in the year 2018, in which an 8-year-old girl was kidnapped and gang raped, it became the need of the hour to make the laws surrounding punishment for this devilish crime more stringent. As a result, the Criminal Law (Amendment) Act was enacted in 2018. The following changes were incorporated in Section 376:

  • Rape against a woman under the age of 12 is now punishable by a minimum sentence of 20 years in jail, with the possibility of life imprisonment, as well as a fine or death.
  • The punishment for gang rape of a lady under the age of 12 is now life imprisonment, a fine, or death.
  • Females under the age of 16 might face up to 20 years in prison or life in prison if they are raped. A person who is sentenced to life imprisonment will be held in jail for the rest of his or her natural life. For rape of a female over the age of 16, the minimum sentence is ten years in jail.

Difference between Section 375 and Section 376 IPC

Sections 375 and 376 both deal with the same crime, the only difference between the two Sections being that Section 375 provides the definition of the crime, while Section 376 provides the punishment for the crime once the charge against the accused has been proved. The accused will then be convicted of rape under Sections 375 and 376. Section 376(2) contains punishment for aggravated forms of rape. 

Landmark cases related to Section 376 IPC 

Priya Patel v. State of MP (2006)

Facts of the case

In this case, the appellant was the wife of the accused, who had kidnapped and raped a minor girl. When the appellant entered the room, the prosecutrix asked her but she slapped the girl and walked out of the room. The wife was then charged for gang rape along with her husband under Section 376(2)(g). 

Judgement of the Court

The Supreme Court of India ruled that according to the definition of rape set under Section 375 of the Indian Penal Code, a woman cannot commit rape. Also, while committing gang rape, the accused should share a common intention to rape the victim, and since the wife only slapped the girl and the statute renders a woman incapable of committing rape, she cannot be convicted under Section 376. 

Mukesh & Anr. v. State for NCT of Delhi & Ors. (2017)

Facts of the case

This case is famously known all across India as the “Nirbhaya rape case”. This case was the foundation of the criminal law amendments that came into force in 2013. The case’s facts are based on a rape committed by six guys on a moving bus in Delhi on December 16, 2012. The victim’s real identity has never been revealed, although she is referred to as Nirbhaya in all conversations. Nirbhaya, a 23-year-old girl, was waiting for a bus late at night with a companion. She was persuaded and compelled to board the empty bus. The driver, together with five other passengers, including a 17-year-old juvenile, committed a brutal sexual assault. Those 6 members beat up a friend who sought to defend Nirbhaya from such violent conduct. The horrific rape and several more painful injuries occurred on the running bus. She was eventually admitted to the hospital for treatment, but she passed away in the process. Physical and mental instability, multiple organ failure, internal bleeding, cardiac arrest, and a variety of other issues resulting from the rape were the cause of her death.

Judgment of the Court 

In the historic case of Nirbhaya, a bench of Chief Justice Dipak Misra, Justice R Banumathi, and Justice Ashok Bhushan gave the decision in which the remaining four culprits among the six were sentenced to death. Mukesh, Pawan Gupta, Vinay Sharma, and Akshay Kumar Singh were sentenced to death, while the juvenile was convicted by the Juvenile Justice Board and sentenced to three years in a reformatory home. Ram Singh was the sixth and final defendant. Before being convicted, he committed suicide in jail. Though it was argued that the case did not fit under the rarest of rare cases, the Supreme Court rejected this argument and sentenced the convicts to death. The four culprits were hanged in Tihar Jail at 5:30 a.m. on March 20, 2020, which was applauded by the populace. 

Tulshidas Kanolkar v. The State of Goa (2001)

Facts of the case

The victim, in this case, was mentally challenged due to congenital dumbness. The defendant took advantage of her mental state and engaged in sexual activity with her. No one knew about it until the victim’s family discovered she was pregnant. She pointed fingers at the accused when she was asked who took advantage of her. He was charged with the crime and entered a plea of consent in the form of submission to the act. 

Judgment of  the Court 

The accused was held to be taking advantage of the patient’s mental impairment and helplessness. Because a mentally challenged girl is unable to offer consent, there is no question of consent in this case. And submission is not the same as consent, which can be based on fear, tainted by duress, or hindered by mental retardation. The culprit was ordered to pay a fine of Rs. 10,000 and to serve ten years in prison as punishment under Section 376 of the IPC.

Dileep Singh v. State of Bihar (2004)

Facts of the case

The accused and the victim, in this case, were neighbours. They fell in love, and the accused coerced the girl into having sexual relations with him. He continued to have sexual intercourse with her after promising her that he would marry her. When the girl’s parents found out she was pregnant, they filed a complaint against him. He said that the girl gave her consent and that he never forced her.

Judgment of the Court

The man was charged with rape under Section 376 of the Indian Penal Code. The consent of the girl for sexual intercourse was obtained by deceit, according to the Supreme Court, because he promised to marry her. Consent given by deception of the victim is not valid consent. 

State of Punjab v. Gurmit Singh (1996)

Facts of the case

The girl in this case was in 10th grade, and her final examinations were underway. She was returning home after her exam when she was kidnapped by the accusers in a van. They took her to a kothi belonging to one of them, she was forced to drink alcohol, and then all three of them raped her. She was told that if she did not comply or raise an alert, she would be killed.

Judgment of the Court 

The Court found the three of them guilty of rape under Section 376 of the Indian Penal Code since she did not readily consent to the act. The Supreme Court also established a set of guidelines for the trial of rape cases, ensuring protection and a sense of confidence to the rape victims. 

State of Maharashtra v. Prakash (1992)

Facts of the case

In this case, the victim had travelled to her village with her spouse to attend the Ganpati festival. The accused was a police constable who had gone to the village for the festival’s ‘bandobast,’ and the other was a local businessman. The businessman summoned the victim’s husband to his home, and then he summoned the victim as well. The victim’s husband was assaulted, and the policeman raped her, followed by the businessman. When the case was brought, the defendants claimed that the women showed no signs of resistance and hence could not be held accountable for forced intercourse.

Judgment of the Court

According to the Bombay High Court, the police policeman instilled fear in the woman and her husband, both of whom were poor labourers. Because the sexual encounter was neither for love nor for money, the only explanation is that she was coerced. As stated in subsection (3) of Section 375’s circumstances, consent can also be obtained by putting the life of another person in whom the victim had an interest in danger. It is also stated that the victim’s husband was assaulted. Both of them were found guilty of rape under Section 376.

Conclusion

Rape is one of the most heinous crimes committed on women all across the globe. It shakes the very soul of not just the victim, but the society as a whole. The past decade has seen an unprecedented increase in the number of rape cases across India, which raises an alarm for the need of deterrent laws now more than ever. We have come a long way to address this social evil and stand together in fighting it, but we still have a long way to go. 

The many amendments attempted to bring about significant reforms in the country, but their implementation on the ground has been poor. Marital rape is another issue that our legislators continue to overlook, and unfortunately, none of these Amendment Acts have recognised it as a crime. As a result, we see that strict legislation is essential to safeguard women from outsiders as well as family members. 

Another significant loophole to be noticed is that the crime of rape as defined under Section 375 is gender-specific, i.e., it does not address rape by a woman. Hence, even if a woman commits the crime of raping a man or a woman, she will not be convicted under Section 376. This issue needs to be addressed since, due to this lacuna, only males under the age of 16 can be protected under the provisions of the Protection of Children from Sexual Offences Act, 2012 (POCSO). Adult males stand unprotected by the law, and even though the instance of rape by a woman on a man seems a rare idea, there are victims of this crime who are not given protection under the law. 

Frequently Asked Questions (FAQs)

  1. What offence is punished under Section 376 IPC?

Section 376 provides punishment for the heinous crime of rape, as defined under Section 375 of IPC. 

  1. What is the punishment for rape as stated under Section 376 IPC?

The punishment for rape under Section 376 has now been brought up to minimum of 7 years, which may be extended to a minimum of 10 years in some cases, such as rape of a minor or rape by a public servant. The maximum limit of punishment is life imprisonment and even the death penalty in severe cases. The convict shall also be ordered to pay a fine. 

  1. Is the offence of rape gender-neutral?

No, according to the language of Section 375 IPC, rape can only be committed by a man on a woman. A woman cannot be convicted for committing the crime of rape, and even if she is part of an incident of gang rape, she will be held liable for abetment to the crime, but not for the actual offence. 

  1. How to file a complaint under Section 376 IPC?

If you or someone you know has been a victim of such a grave crime, it should be reported at the earliest to the nearest police station to lodge an FIR and proceed with the medical examination of the victim. The medical examination produces a lot of substantial evidence related to the crime, and hence the victim has more evidence to present in the court of law. The nature of the offence under Section 376 is cognizable, which means that a police officer may arrest the accused without a  warrant, so you can be ensured that justice takes its course and a speedy trial takes place. However, it has also been stated by the Supreme Court that delay in lodging FIR in rape cases may be accepted if supported by proper reasoning. 

  1. When is death penalty granted to a person who has been convicted of rape?

The Supreme Court has set the rule of “rarest of the rare” cases to be awarded death penalty in the case of Bachan Singh v. State of Punjab (1980). Hence, if the rape was committed brutally and is highly condemnable, the convict shall be granted the death penalty, as seen in the case of rape convicts of the Nirbhaya gang-rape case. The rapists committed rape in a gruesome manner and hence were punished with death sentence. Whether a convict will be punished with death is a matter which is decided on a case-to-case basis, depending on the facts of the particular case. 

References 


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United States Bill of Rights

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Image source: https://www.britannica.com/topic/Supreme-Court-of-the-United-States

The following article has been written by Ishani Samajpati, pursuing B.A. LL.B. (Hons) under the University of Calcutta. This article discusses the Bill of Rights in detail along with its historical significance and relevance in recent times.

It has been published by Rachit Garg.

Table of Contents

Introduction

The United States Bill of Rights is considered to be one of the most principled governing documents the world has ever seen. The first ten Amendments to the Constitution of the United States (out of the total 27 amendments so far) are now collectively termed as the Bill of Rights. The Bill of Rights carries a rich historical significance and even today it holds paramount importance in the United States Constitution. 

The Bill of Rights was ratified or passed in all the states in the US more than 200 years ago after much chaos, turmoil and turbulence. But the passage of time has hardly faded the myriad importance of the Bill of Rights. Rather, over time, it has gained even more limelight through various new interpretations and is still the most debated and discussed section of the US Constitution.

What is the Bill of Rights?

The Bill of Rights, as it is known today (earlier known as amendments to the Constitution), is the first ten amendments to the Constitution of the United States. The Bill of Rights represents the American ideology of freedom, personal liberty, minimum interference on part of the Government and rule of law.

The Bill of Rights was adopted as a single unit in 1791. It precisely sets forth the relationship between an American citizen and the government in power. It also ensures one’s civil rights, individual freedom and personal liberty. In order to safeguard a citizen’s personal rights and privacy, the Bill of Rights also limits the power and arbitrariness of the Government in power.

The definition of the Bill of Rights had been concisely set out by Thomas Jefferson, one of the framers and a supporter and activist for the Bill of Rights, as:  “A Bill of Rights is what the people are entitled to against every government on earth, general or particular, and what no just government should refuse, or rest on inference.”

Historical background of the Bill of Rights

The Bill of Rights not only commands a huge significance in modern times, but  also bears a legacy of historical richness. The Bill of Rights was ratified and finally included in the US Constitution after many heated debates and discussions and untiring and relentless efforts from the activists at a time when the United States was just a newly formed democracy by the British immigrants. The historical perspectives, origin, influences and the entire scenario are enumerated in short.

Origin

England and American colonies had a long tradition of listing out rights considered essential as a means of protecting them from government outreach. The sole purpose of the Bill of Rights was to protect the rights of individuals and limit the power of the government.

The United States Bill of Rights was ratified in 1791, just two years after George Washington became the first President and the new Congress with the House of Representatives and the Senate went into effect in the newly formed world’s largest democracy, the United States of America. The idea of the Bill of Rights was based on the ideology of natural rights propounded by Thomas Jefferson and was drafted by James Madison.

Federalists vs. Anti-Federalists

Federalists were the group of people who believed in a strong national government which would have power over the states. They were of the opinion that the federal government would be able to protect them against the British and European powers as well as against the arbitrariness and whimsicalities of the state government. Some of the best-known leaders such as George Washington, Alexander Hamilton and James Madison.

On the other hand, the Anti-Federalists included Thomas Jefferson, George Mason and Patrick Henry who believed in strong local government and that the states should have most of the power. Most Americans, who had lived through the Revolutionary War, were Anti-Federalists. The Bill of Rights is often considered the ‘product’ of the American Revolution.

Virginia Declaration of Rights

Immediately after the American independence from Britain, George Mason drafted the Virginia Declaration of Rights in May 1776. It was amended by Thomas Ludwell Lee and the Virginia Convention. The Virginia Declaration of Rights also influenced James Madison while drafting the Bill of Rights.                               

Constitutional Convention

After fighting the Revolutionary War, many of the American citizens were very much conscious of their rights and did not want another tyrannical government which would snatch away their rights.

Everyone wanted to protect their rights but holding 13 states together with a weak central government was becoming futile through the Article of Confederation. So, in May 1787, the framers of the US Constitution decided to meet in Philadelphia to reattempt to draft the US Constitution. This Convention came to be known as the ‘Constitutional Convention’ or ‘Philadelphia Convention’. 

None of them reached a permanent agreement or solution, after months of gruelling debates and discussions. James Mason, a famous Anti-Federalist, is known to have said to cut off his right finger rather than signing the Constitution. Though not an initial supporter of the Bill of Rights to a Constitution, he (also known as the father of the US Constitution) intervened. In the end, the Constitution without the Bill of Rights was signed and endorsed by several of the Federalists.

The Federalist Papers

Alexander Hamilton, James Madison and John Jay together laid down eloquent philosophical arguments regarding their views on the Bill of Rights and support for the Federal government in 85 essays which later came to be known as the Federalist Papers.

Difference of views between Federalists and Anti-Federalists

While the Federalists were vocal for a strong centralised government, others felt that the Constitution was overreaching and that the more centralised authority would make them return to the same state of tyranny they just escaped.

The Anti-Federalists were especially worried by the apparent lack of protection of individual liberties. As for the Federalists, while their opponents accused them of despotism, they, especially Madison, felt that people’s rights were already guaranteed through the democratic process and adding extra provisions would make the Constitution prone to misinterpretation.

Ratifications and Opposition

After the first few states, namely Delaware, Connecticut, Georgia, Pennsylvania and New Jersey ratified the Constitution quickly, the debate grew more intense. Massachusetts and several other states decided to ratify only with their proposed amendments. Leading Federalists realised the need to compromise and promised to give them due regard.

Once the ratification by nine states (Massachusetts, Delaware, New Hampshire, Connecticut, Georgia, Maryland, Pennsylvania, New Jersey and South Carolina) got the Constitution legal recognition, the framers decided to deliver what they promised.

The Bill of Rights became a campaign promise

James Madison and his supporters ran a tough campaign against James Monroe to win a seat in the House of Representatives. He could only win Virginia’s support with a promise of ratification of the Bill of Rights. Thus, it turned into a campaign promise.

Proposed Constitutional Amendments and ratification of Bill of Rights

Though initially not in favour of the Bill of Rights, still after winning and during the meeting of the first United States Congress, Representative James Madison stood on the House floor to propose the very amendments he previously thought unnecessary. He proposed 19 amendments protecting individual rights without affecting the Constitutional structure or weakening the national government. Out of this, only 12 amendments were passed by Congress. By December 1791, three-fourths of the states across the US ratified 10 of these amendments which are now known as the Bill of Rights.

The inspiration behind the Bill of Rights

James Madison mostly drew his inspiration while drafting the Bill of Rights from the Magna Carta, the English Bill of Rights, and the Virginia- Declaration of Rights, mostly drafted  by George Mason.

Purpose of the United States Bill of Rights

The purpose behind the Bill of Rights was twofold. The first one was to protect and guarantee individual rights and another was to limit the powers of the government. However, in 1791, i.e. immediately after the ratification of the Bill of Rights, it applied only to the federal governments and not to the state governments as affirmed by the Supreme Court in Barron v. Baltimore (1833). The Bill of Rights did not apply to the state and local government for decades. 

Barron v. Baltimore (1833)

Barron, with one other petitioner, filed a suit for damages against the Mayor and the City Council of Baltimore when they faced a huge loss in their business due to the diversion of the flows of several streams to construct streets. They were co-owner of a wharf in Baltimore Harbour. The accumulation of sand and dirt in water made it too shallow for seafaring vessels. They appealed to the Supreme Court for compensation.

In a unanimous decision, the Supreme Court held that they have no claim to the states under the Fifth Amendment because the Bill of Rights only applies to the federal government. This precedent was followed until the passage of the Fourteenth Amendment when the Bill of Rights was slowly applied to the state governments as well. Over time, it also limited the ability of the state government to infringe on individual rights.

Why was the Bill of Rights not included in the original US Constitution?

The Bill of Rights was not something the framers of the US Constitution always wanted. Hence, they were not a part of the US Constitution originally drafted. To ratify the Bill of Rights and make the US Constitution foolproof, James Madison and the framers were in the midst of one of the toughest political turbulence ever in US history. The framers got into huge arguments regarding individual rights and the powers and control of the Government. The United States Bill of Rights was the ultimate result of a hard-fought compromise and negotiation from a bitter political battle.

Shortly after the original and the final copy of the Bill of Rights containing 12 Amendments were signed, 13 original copies of the Bill of Rights were commissioned for the states by the Federal government with George Washington as the President. It was then sent to the 11 existing states and to Rhode Island and North Carolina—which had not yet adopted the Constitution. Eight states namely Connecticut, Massachusetts, New Hampshire, New Jersey, Rhode Island, North Carolina, South Carolina, and Virginia still have the original copies of the Bill of Rights. North Carolina’s copy was stolen during the Civil War but in an FBI raid in 2005, it was recovered and was returned to the state.

A brief overview of the United States Bill of Rights

The first ten amendments to the US Constitution or Bill of Rights, as it is known today, guarantee individual liberty to make sure that citizens had the demarcation of government controls and limits. Many of these rights were influenced to protect the legacy of the Revolutionary War and the kinds of government abuses that the citizens in the former British colonies in America had faced.

The first four Amendments guarantee individual liberties. These are – 

  • Freedom of religion, speech, press, assembly, redress of grievance
  • The right to bear and assemble militias. The state and local militias had made the Revolutionary War a success for the United States.
  • A ban on the quartering of soldiers at home is called the Quartering Act. The British government made the citizens of the Colonies mandatory to put up soldiers in their homes, which acted as a major driver of the revolution.
  • A ban on unreasonable search and seizure.

The next four amendments in the Bill of Rights deal with protections for people accused of crimes. Here too, the legacy of the Revolutionary War has been followed up. The idea that the Crown used to hold too much power and could prosecute an individual arbitrarily gave rise to the right to due process to make sure that all steps of following a legal procedure are taken into consideration, a ban on being tried twice for the same crime, rights to a speedy and public trial, a jury consisting of peers and the right to have a jury even in cases which is not concerned with violent crimes but civil disputes. It also provides a ban on excessive cruel and unusual punishments to ensure that the government will respect the rights of individuals.

  • Right of the accused to a grand jury indictment and due process, ban on double jeopardy, self-incrimination and government seizure of an individual’s property without providing compensation.
  • Right of the accused to speedy and public trial, jury consisting of peers and the right to have a lawyer.
  • Right of the accused to trial by jury through the common law
  • Ban on cruel and unusual punishments

One of the most prominent arguments against the inclusion of Bill of Rights in the US Constitution was that specifying a particular list of rights would indicate that they were the only rights. Subsequently, specifying that list of rights in particular might be a forfeiture of the liberties in some way or the other. 

So the Ninth and Tenth Amendments were framed to address that. In the Ninth Amendment, it is stated that any rights which are not specified are still to be retained by the citizens indicating that this is not an exhaustive list of rights to be retained by the people. The Tenth Amendment differs slightly and states that if the Constitution has not delegated a right directly to the federal government, the right is reserved to the states or to its citizens. The federal government  has the right to perform only the actions listed by the Constitution meaning that the powers of the government are limited by the Constitution. On the other hand, the rights of the people are unlimited.

  • The rights not enumerated in the Bill of Rights are retained by the people.
  • Rights not delegated to the federal government are reserved for the citizens of the state.

The 32nd president of the United States, Franklin D. Roosevelt declared Bill of Rights Day on December 15, 1941 to commemorate the 150th anniversary of the ratification of the United States Bill of Rights. He also issued a proclamation dedicating  December 15th as Bill of Rights Day. It is celebrated as a patriotic holiday in the US. 

Contents of the United States Bill of Rights

As mentioned beforehand, the first ten Amendments to the US Constitution are collectively known as the Bill of Rights. The Ten Amendments composing the Bill of Rights are discussed one by one in detail.

The First Amendment

Most Americans think that the First Amendment is one of the most important among the Bill of Rights. It is one of the most revered amendments, too. The First Amendment provides the freedom of speech, press, religion, assembly and petition. It also protects the rights of the American citizens to express their opinion fearlessly, follow the religion according to their choice, assemble together peacefully and the right to petition the government if required. The First Amendment protects the right to five big freedoms, i.e. freedom of speech, press, religion, peaceful assembly and petition.

Freedom of Speech and Expression

Amidst all the rights to freedom offered, one of these incredible freedoms that is offered is the strong and long tradition of free speech. Being able to say whatever one wants even if it is unpopular is the foundation of a democratic society. Unlike many nations across the world where the government restricts the right of free speech and expression of its citizens, the right to free speech and expression is ingrained in the American legacy.

Limitations

No matter how much the Bill of Rights respects the freedom of speech and expression, it sets a limit on self-constraint. The limitations are:

  • Slander: Slander refers to speaking up lies about an individual to hurt their reputation
  • Libel: Libel is the printed version of lies about an individual hurting reputation and one has the power to sue against this in Court of Law.
  • Sharing confidential government information, giving threats and shouting words causing panic do not also amount to freedom of speech.

Some of the historic rulings on the freedom of speech and expression under the First Amendment are:

Tinker v. Des Moines (1969)

In Tinker v. Des Moines, Mary Beth Tinker, a 13 year old student along with a group of school students decided to wear black armbands as a protest to the war in Vietnam. The school imposed a preemptive ban and suspended the students. The students were further informed that they could join the school only after removing the armbands. The students returned to school without armbands and filed a lawsuit under the First Amendment.

The Supreme Court ruled that free speech is more than just mere words and this right includes the freedom to express oneself in their own way without worrying about the government controls.

Yates v. US (1957)

In the case of Yates v. United States (1957), 14 leaders of the Communist party were prosecuted under the Smith Act for conspiring to overthrow the government. They filed a lawsuit under the free speech offered by the First Amendment. In a historic ruling, the Supreme Court declared that even reactionary and radical speech is also protected under the First Amendment if it does not present “clear and present danger.”

Freedom of Religion

The First Amendment further states that Congress is not entitled to make any law which prefers any particular religion or prohibits the practice of ‘free exercise’ of any particular religion. The government should make sure that one can exercise the right to free practice of one’s religious faith. The former part is known as the “establishment clause” and the latter part is termed the “free exercise clause”. The government should not quote or establish a religion as the official one.

Separation of church and the state

In simple terms, this indicates that the American government should not favour one church over another. It reinforces one’s freedom of practising their own faith, even in public. The Supreme Court enforced this in several cases.

Engel v. Vitale (1962)

This landmark case is also known as the famous case resulting from a particular recitation in school prayers. In this 1962 case, the Supreme Court held that a school sponsoring any prayer in public schools is unconstitutional. In public schools of New York, the students were required to recite a prayer written by the New York State Board of Regents. A group of parents along with Steven Engel, a parent filed a suit against Vitale, the school board president.

The Supreme Court declared that the composition of an official prayer and the encouragement to recite it by the state officials violates the “establishment clause” of freedom of religion under the First Amendment.

Wisconsin v. Yoder (1972)

A law in Wisconsin, a state in the US, required the children to attend schools mandatorily.  The Supreme Court ruled that the compulsory education past 8th grade, beyond the age of 16, violates the right to free practice of religion by the Amish community. The ruling outweighed the right to compulsory education to the right to free practice of religion.

Freedom of Press

‘Press’ refers to the news organisations on televisions, newspapers and the internet. They play the role of ‘Watchdog’ of any wrongdoings by the government. If the government controls what they say, the press cannot tell if the government is doing any wrong. Though there are limitations of the press such as libel, the freedom of press allows the citizens to get news without any government interference. In the words of Thomas Jefferson, “Where the press is free and every man is able to read, all is safe.”

New York Times v. Sullivan (1964)

It is a landmark decision by the Supreme Court which upheld the freedom of press under the First Amendment. It offered protection to the press which was sued by the government officials for libel. The New York Times was sued for making errors in a civil rights editorial for fundraising on March 29, 1960 titled ‘Heed Their Rising Voices.’ 

The advertisement contained certain errors for which it was sued. It was related to a libel but the Supreme Court examined the possibility of actual malice. The Supreme Court declared that the First Amendment protects all kinds of publications about the conduct of public officials except when the statements are made knowing that they are false. 

Right to petition

Petition means signing the document showing support for any particular issue. People have the right to petition the government asking for change. This right specifically says to petition the government for the redressal of grievances. The right to petition implies the right to send written complaints to the government.

Brown v. Glines (1980) – An exception to the right to petition

The military personnel required prior approval before the circulation of petitions according to Air Force regulations. The case of Brown v. Glines (1980) included a substantial question of whether it was consistent with the First Amendment. It was held that such regulations do not violate the First Amendment considering the national security and the duty and discipline for the effectiveness of the military, it is ‘reasonably necessary’.

Freedom of Assembly

To assemble means to gather in a group. The First Amendment specifically provides that the citizens have the right to gather in an assembly provided that the assembly should be peaceful. The right to peaceful assembly sends a strong message to the government to watch its every step and arbitrary actions. The right to a peaceful assembly is protected constitutionally.

Cox v. Louisiana (1964)

A Louisiana statute prohibiting picketing was violated by Cox. In an assembly to protest racial discrimination, the police personnel asked them to confine themselves to a specific area and then ordered them to disperse. When they refused, the officials used force to disperse and arrested several of the protesters present there.

The issue was to decide whether it violated the right to peaceful assembly under the First Amendment. The Supreme Court held that the First Amendment protects peaceful assembly even when the demonstrations may incite violence.

The Second Amendment

The Second Amendment is the right to bear arms. The original influence of the Second Amendment was to protect the colonists themselves from the invading British soldiers. Now it guarantees that a citizen has the right to own a gun to defend oneself and  one’s property. 

The Second Amendment is the one that has been specially controversial with the rise of large scale mass shootings in the US. The Second Amendment roots back to the Revolutionary War when the citizen militias fought against the British army. It perfectly explains the wordings of these rights where it states ‘well-regulated Militia’.

Controversy and limitations

With the rise of mass shootings, some people are of the opinion that the Second Amendment is no longer required. Moreover, the free state no longer requires a ‘well-regulated Militia’ consisting of ordinary citizens when the state already possesses a well-trained military called the army.

District of Columbia v. Heller (2008)

It is a significant case of the right to bear an arm to protect one under the Second Amendment. District of Columbia law banned the possession of handguns and prohibited unregistered and unlicensed arms. It also enforced the regulation to issue a licence of one year and directed the citizens to carry unloaded firearms or locked by trigger locks. 

Heller, a police officer by profession, applied for a handgun at home, but was refused by the District. He sued the District on the ground of the right to bear arms under the Second Amendment. It was declared, by the US Supreme Court, that the Second Amendment protects an individual, which is not related to service in any militia, right to possess firearms for self-defence purposes and to save one’s property. 

The Third Amendment

The Third Amendment is called the “Quartering” Amendment. It was also influenced by the British occupation which required the colonists to provide housing or ‘quarter’ during the American Revolution. Because of this Amendment, the government can never force the citizens to provide accommodation to soldiers in their homes.

The Third Amendment is another one that dates back to the Revolutionary War era. Though this is not really an issue concerning the citizens, still it is there to keep the original Bill of Rights intact. However, because of the Third Amendment, the citizens are never required to open their houses for soldiers. There have hardly been any legal cases solely based on the Third Amendment and it is one of the least referred Amendments. But one of the very first cases under the Third Amendment was Engblom v. Carey (1982)

Engblom v. Carey (1982)

Engblom and Palmer were two corrections officers at Mid-Orange Correctional Facility, a male prison in New York. They lived in a building where the tenancy was regulated by the Department of Corrections. In 1979, many officers of the New York State Department of Corrections started a strike to raise their pay.

During the strike, the Governor of New York, Hugh Carey directed the National Guard to maintain the prisons. The Guards arrived at Mid-Orange and were provided housing in the school and administrative buildings. At one point, the striking officer-tenants, including Engblom and Palmer were evicted and Guards were quartered in those rooms.  They subsequently filed suit against the state of New York and its governor, Carey. They cited the violation of the Third Amendment along with the Due Process Clause of the Fourteenth Amendment.

The Fourth Amendment

The Fourth Amendment basically deals with the protection of unwarranted searches and seizures. The police cannot come into one’s home without any search warrant and take out personal property. The Fourth Amendment states the rights of the people to be secure in their personal places and protect their belongings. This, in a broader sense, offers protection from searching by the police or any agencies of the government such as the FBI unless they have proper evidence or a proper possible cause to suspect that of any illegality or any wrongdoings.

Many technology-related contemporary concerns have arisen relating to the Fourth Amendment. For example, does the government possess the right to track the location from smartphones? Or can social media postings such as on Facebook or Twitter be used as evidence or against one without a warrant?

Relevance

The Fourth Amendment has been increasingly relevant today since it consists of almost identical elements of the right to privacy. The Fourth Amendment states that the right of the people 

Warrant

The Fourth Amendment requires the police personnel or government officials to search one’s house, belongings or personal property with the help of a warrant.

A warrant is a document signed by a judge or any competent government authority to search an individual’s home, private property or the premises. In order to get a warrant signed, the police will have to state before the judge the ‘probable cause’ or proper evidence that is reasonable enough to believe the committing of any crime.

Wolf v. Colorado (1949)

In the landmark case relating to the Fourth Amendment, Wolf was convicted of conspiracy to perform criminal abortions. The Supreme Court of Colorado affirmed the convictions on appeal. It was further appealed to the US Supreme Court.

The Supreme Court held that the Fourth Amendment provides security against arbitrary police intrusion. However, that decision was only applicable to the federal court and did not extend to any state courts. Later, in the case of Mapp v. Ohio (1964), the Supreme Court held that the rule also applies to the state.

Mapp v. Ohio (1964)

In the landmark case regarding the right to privacy, in 1957 police in Cleveland forcibly broke into the house of a lady named Dollree Mapp. The police officials conducted a search without warrant for a suspect. The police did not find any suspect but discovered some books and pictures prohibited by the state law of Ohio. On appeal, the US Supreme Court declared that using illegally warrantless seized evidence against a convict violates the rights under the Fourth Amendment.

Right to privacy under the Fourth Amendment

Because of the expressions used in this particular Amendment, the legal scholars have interpreted it as that the people are entitled to the right to privacy even though this Amendment does not use this exact word ‘privacy’. But the fact is that the Fourth Amendment is the closest Amendment to having the right to privacy in the Constitution. Several Courts in the United States, including the Supreme Court, have ruled in several cases that the Fourth Amendment, in fact, provides the right to privacy.

This Amendment is especially important in the modern era, i.e. the Internet age when there is hardly any transparency relating to privacy and how the data is being used. The Fourth Amendment plays a crucial role in supervising the sense of privacy in a world connected by the internet, especially from unreasonable observations.

Griswold v. Connecticut (1965)

In the landmark case of Griswold v. Connecticut (1965), the legal position of right to privacy under the Fourth Amendment was interpreted for the very first time. A statute of Connecticut prohibited the usage of contraceptives for married couples. The US Supreme Court held that the statute violates the right to marital privacy and the Connecticut statute was infringing the right to privacy by restricting the use of contraceptives in married couples.

Rights of the accused under the Bill of Rights

The Fifth, Sixth, Seventh, and Eighth Amendments provide the rights of the accused. This, again, carries the colonial legacy where the Crown was thought to have excessive powers and could prosecute an accused arbitrarily. They include a wide range of rights discussed here under. 

The Fifth Amendment

The Fifth Amendment safeguards the five rights of the accused. It is one of the better known Amendments and the suspects often refer to this. The Fifth Amendment is all about due process, the right to remain silent, the right to a grand jury, no double jeopardy and proper compensation if the government takes up the property.

The main objective of the Fifth Amendment is to protect an individual officially accused of a crime. While the Fourth Amendment protects suspects, the Fifth Amendment protects those who have been officially charged with any offence or crime. 

Right to Grand Jury

In the US, Jury refers to a group of peers who carry the responsibility to pronounce a verdict in a court case rather than the government official. 

Unlike the traditional idea of jury, a grand jury is not empowered to decide guilt or innocence but they decide whether there is enough evidence for a trial. This saves an accused going through the entire tedious process of trial if enough evidence is not present. On the other hand, if there is enough evidence, the grand jury offers an indictment, meaning they formally charge the accused with a serious crime. Hence , serious crimes need a grand jury to indict.

No double jeopardy

Double jeopardy refers to the procedure where an accused is tried for the same crime twice. The double jeopardy clause in the Fifth Amendment saves the accused from being tried for the same crime. 

No Self-incrimination

The Fifth Amendment also makes sure that an individual cannot be a witness to one’s crime. This is known as self-incrimination. This indicates that an individual cannot be forced to testify against oneself. 

Right to remain silent

The self-incrimination clause in the Fifth Amendment provides the accused the right to remain silent. An individual has the right to remain silent when accused of crime and in such a situation, the state has the responsibility to prove an individual’s guilt. Unless proven guilty, under the doctrine of presumption of innocence, the individual charged with the crime is to be considered innocent unless proven guilty.

“I plead the Fifth”

A common phrase associated with the Fifth Amendment is that I plead the Fifth which is often heard in the movies, too. It implies that the accused is interested to exercise their right to remain silent as provided under the Fifth Amendment. 

Miranda v. Arizona (1966)

The 1966 case of Ernesto Miranda v. The State of Arizona strengthened the right to remain silent as provided under the Fifth Amendment. Ernesto Miranda, an American worker was accused of horrific crimes of kidnapping and rape. The police detained him and he opted not to have a lawyer. He was interrogated for several hours when he ultimately admitted to committing several of the crimes he was charged with. He was found guilty by the local Court and was sentenced to imprisonment. He further appealed to the Supreme Court stating that he was unaware of the right to remain silent and also had not been told. Hence his confession cannot be used as evidence.

Apart from reversing his conviction the Supreme Court framed a new set of rules and regulations regarding the procedure of obtaining confessions by the police, famously known as Miranda rights and  Miranda Warning.

Establishment of Eminent Domain

The last part of the Fifth Amendment provides the concept of ‘Establishment of Eminent Domain’. It provides that the private property of an individual cannot be taken over by the government without paying proper compensation.

One’s home is the  ‘domain’, while the ‘eminent’ is power. Therefore, the term ‘eminent domain’ refers to the power to take one’s home. At the time of developing a highway, rail station, airport or any other construction, the government usually offers a ‘fair market value’ i.e. the price of the property at an open market without any coercion or external influences, and asks them to sell the property and move out to develop for public usage. This phenomenon is termed as ‘eminent domain.’

Kohl v. United States (1876)

The very first federal use of ‘eminent domain’ goes back to the 1876 case of Kohl v. United States. This was a proceeding instituted by the United States to appropriate a parcel of land in the city of Cincinnati as a site for a post-office and other public uses. The government was preparing to create a site for a post office in the city of Cincinnati. The plaintiffs owned a land in perpetual lease in that place. They moved to the Court 

It was held in the case that the government of the United States has the right to exercise the right of eminent domain under the Fifth Amendment.

Federal Due Process Clause

The Federal Due Process Clause ensures that no citizen is deprived of “life, liberty, or property without due process of law.”  The “due process” refers to the fair trial and justice. It is mentioned in the Fourteenth Amendment and shares a lot of similarity with the Fifth Amendment. 

The Sixth Amendment

The Sixth Amendment (and the Seventh Amendment as well) provides how the legal system works. As an individual accused of a crime, one has the right to a speedy public trial and an impartial jury. One also has the right to counsel and stand according to one’s choice. It prevents the accused from rotting in the jail forever and ensures that the prosecution proceeds without delay.

In a nutshell, the Sixth Amendment provides a citizen the following rights:

  1. Speedy and public trial: Despite the presumption of innocence, sometimes people get arrested for the crimes they did not commit. If they cannot afford bail (pretrial release from prison), they may rot in jail for years. A speedy trial ensures that it does not happen.
  2. Good and impartial jury: A good and impartial jury ensures the proper outcome of the trial.
  3. Right to Counsel: The accused should be provided with proper legal assistance from the state even if the accused cannot afford to bear the cost of a counsel.

Powell v. Alabama (1932)

In this case, nine black youths, later known as the Scottsboro Boys, were convicted with the  charge of raping two white women in Alabama and was sentenced to death except a 13 year old boy among them. They appealed on the ground that they were not provided with any legal counsel to prepare for the trial.

The Supreme Court reversed the conviction and declared that under the Sixth Amendment, the State must provide an accused with a Counsel irrespective of the ability to afford one.

The right to confront the witness

The right to confront the witness, also known as the ‘Confrontation Clause’ applies only to criminal proceedings, not in civil or any other proceedings. However, in the case of Maryland v. Craig (1990), the US Supreme Court held that this right is not absolute.

The Seventh Amendment

The Seventh Amendment a citizen has the right to a jury trial, where the innocence or guilt in criminal proceedings and right or wrong is decided by the twelve (12) impartial peers in the open courtroom as opposed to a judge alone.

Curtis v. Loether 

One of the notable cases under the Seventh Amendment is Curtis v. Loether (1974). In the case, the petitioner filed a suit because she was refused to be rented because of her race. The opposition requested for jury trials which was refused by the District Court.

On appeal, the Supreme Court held that the Seventh Amendment provides the right to jury trial and any of the parties can plead for it.

The Eighth Amendment

While the Fifth Amendment provides the protections for a suspect of a crime and the Sixth and Seventh Amendments provide protection during trial in court, the Eighth Amendment protects when an individual is officially accused of a crime and has been proved guilty in the eyes of the law.

  • No excessive bails or fines: The first part of the Eighth Amendment provides that no excessive bails  or fines cannot be taken from the accused.
  • No cruel and unusual punishments: The Eighth Amendment also prohibits cruel and unusual punishments. There have been a lot of debates as to what are the punishments that fall under the category of ‘cruel’ and ‘unusual’.

Furman v. Georgia (1972)

This case revolved around the issue of cruel and unusual punishment as provided under the Eighth Amendment. The three petitioners  were charged guilty of grievous crimes of murder and rape and were sentence to death. On appeal, a substantial question that revolved around the Supreme Court was whether it violated the ban on the cruel and unusual punishment as provided under the Eighth Amendment. 

The death penalty was temporarily suspended to make sure it is not imposed arbitrarily. The death penalty was then reinstated in the case Gregg v. Georgia (1976).

Gregg v. Georgia

Gregg was found guilty of armed robbery and murder and was sentenced to death by the Georgia Supreme Court. He appealed on the ground that his “capital punishment” violated the Eighth Amendment.

It was held that in extreme cases of deliberate grievous crmes, the death penalty can be used carefully in a judicious manner.

The Ninth and Tenth Amendments

These Ninth and Tenth Amendments originated from the embroiled debate between the Federalists and the Anti-Federalists. The Federalists argued that creating a Bill of Rights was unnecessary and listing rights may exclude the non-listed rights. Hence, the Ninth Amendment states about the non-listed rights in the Bill of Rights as demanded by the Federalists.

Unenumerated Rights

The Ninth Amendment of the Bill of Rights provides that rights not listed in the Bill of Rights or the Constitution are not forbidden rights just because they are not listed. On the other hand, the Tenth Amendment was a shout out to the Anti-Federalists who were concerned with too much power in the hands of the national government.  

Reserved powers

The Tenth Amendment states that the powers not mentioned to be given to the national government in the Constitution are reserved to the states and its citizens.

Distinction between the Ninth and Tenth Amendments of the Bill of Rights with other Amendments

The Ninth and Tenth Amendments are also called ‘Non rights Amendment’. The Ninth Amendment states that unenumerated rights are also retained by the citizens in addition to the enumerated rights. Further, the Tenth Amendment clearly reserves those powers that the Constitution does not delegate to the federal government to the states. 

Moreover, no specific limitations on the authority of the federal government have been curtailed  by the Tenth Amendment. That does not mean that it grants the states any additional powers. It simply indicates that the states are free to establish and maintain their own laws and policies without conflicting with the federal government.

Proposed unratified Amendments of the original Bill of Rights

In 1789, during the ongoing procedure of addition of the Bill of Rights to the US Constitution, James Madison proposed 19 amendments out of which 12 amendments were passed by the Congress and sent to the states to ratify.  The First and Second Amendments of the original Bill of Rights were not ratified. An amendment only becomes a part of the US Constitution when ratified by 3/4th of the states. 10 of the 12 amendments were ratified by 3/4th of the states. Hence, the Bill of Rights consists of 10 amendments instead of originally proposed 12 amendments. 

Original first proposed amendment of the Bill of Rights

The original first (proposed) amendment dealt with the apportionment of Representatives. It proposed a ratio of the number of people to the representatives in the U.S. House of Representatives. It outlined that “there shall be one Representative for every thirty thousand” and the Congress will arrange the proportions according to the number of people to the number of representatives in case of increasing population.

Original First proposed amendment of the Bill of Rights was ratified by 10 states out of 14 states while 3 states namely Massachusetts, Connecticut and Georgia neither supported nor rejected the Bill of Rights. Critics are of the opinion that this amendment was not ratified for good, since if it was amended, now the number of Representatives would have been more than 6000 compared to the current number of 435 representatives.

Original second proposed amendment of the Bill of Rights

The original second (proposed) amendment dealt with the salaries of the Members of Congress. It simply stated that any change in the pay of the members of Congress should not take effect until after the next election. Out of the 14 states, this amendment was ratified only by 6 states. Massachusetts, Connecticut and Georgia abstained themselves from ratification.

However, the original second proposed amendment became the 27th Amendment, the last amendment to the Constitution in 1992, almost more than 200 years later.

Protection of individual rights and liberties by the Bill of Rights

The Bill of Rights ensures that individual rights and liberties are protected and that the government cannot infringe upon the rights of the citizens. It further limits the ability of the government. 

The Bill of Rights also safeguards the rights of the suspected and accused individuals. 

Thus, the Bill of Rights not only offers protection to individual rights and liberties but also ensures the rights and liberties of the common citizens are not violated by any means.

Applicability of Bill of Rights to the states

The Bill of Rights was originally applicable only in cases of the federal government and courts, but it has been expanded to apply for the states through the doctrine of incorporation.

The Bill of Rights was made applicable to the states through the Due Process clause of the Fourteenth Amendment through the doctrine of incorporation .

Prior to the existence of the doctrine of incorporation the Bill of Rights was only applicable to the Federal Government and to federal court cases. The states and state courts could adopt similar laws, but it was not obligatory for them.

Doctrine of incorporation of the Bill of Rights

The doctrine of  incorporation is a type of constitutional doctrine in the United States through which the Bill of Rights were applied to the states through the Fourteenth Amendment. 

The doctrine of incorporation was applied both in substantive and procedural ways. Prior to making the Bill of Rights applicable to the states through the doctrine of incorporation, it only applied to the Federal Government and Federal Court cases.

Relevance of Bill of Rights in modern times

The Bill of Rights is still a highly relevant piece of document and the most revered part of the US Constitution. It is still also among the most widely debated areas. For example, the Second Amendment granting the right to carry arms is the source of one of the most serious political controversies in the US today. Again, the requirement and constitutionality of the death penalty under ‘cruel and unusual punishments’ is another where nobody could reach a permanent solution. The Bill of Rights still continues to provide personal liberty and limit what the government can or cannot do. In a broader context, the Bill of Rights to protect individuals from abuse by state and local governments. 

Conclusion

The United States Bill of Rights is a crucial piece of American history. Though the society has undergone many changes in these more than two hundred years, the interpretation and application of these amendments are as vital today as they were, when first ratified.

Frequently Asked Questions (FAQs) on Bill of Rights

  1. What is the Bill of Rights?

There have been 27 amendments to the US Constitution till date. Out of these, the first ten amendments are collectively termed as the Bill of Rights.

  1. Which date is celebrated as the Bill of Rights Day?

December 15th is celebrated as the Bill of Rights Day.

  1. Who demanded that the Bill of Rights be added to the US Constitution?

The Anti-Federalists demanded the Bill of Rights to be added to the US Constitution because they were of the opinion that the Bill of Rights was necessary to protect individual freedom and liberty and would limit the government’s power while the Federalists thought that the Constitution was enough to safeguard individual rights and liberty.

  1. Who drafted the United States Bill of Rights?

James Madison, taking inspiration mostly from the Magna Carta, the English Bill of Rights, and Virginia’s Declaration of Rights drafted by George Mason, drafted the 19 amendments containing specific prohibitions on the powers and control of the government, which he submitted to the US House of Representatives on June 8, 1789.

  1. When was the Bill of Rights ratified?

The Bill of Rights was ratified on December 15, 1791.

  1. Which rights are known as the First Amendment Freedoms?

The 5 basic freedoms enlisted in the First Amendment are termed as the First Amendment Freedoms. They include – right to freedoms of religion, speech, and the press, assemble (gather together) and the right of people to petition (make a request of) the government.

  1. What is self-incrimination?

Self-incrimination means incriminating oneself and confessing one’s crime and exposing oneself to criminal prosecution. The Fifth Amendment of the US Constitution prohibits self-incrimination and thud protects the rights of the accused.

  1. Why are the Ninth and Tenth Amendments of the Bill of Rights known as non-rights amendments?

The Ninth and Tenth Amendments of the Bill of Rights are known as non-rights amendments because the rights protected by the amendment are not enumerated, they are termed as “unenumerated” rights, contrary to those rights enumerated in the Constitution. The rights not listed in the Bill of Rights in the Bill of Rights are still retained by the people and the states have the rights to make their own rules, regulations and policies.

  1. Does the original copy of the Bill of Rights still exist?

The original copy of the Bill of Rights is preserved in the Rotunda at the National Archives Museum in Washington, DC, US.

References


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What is arbitration

0

This article is written by Satyaki Deb, a B.A.LL.B.(Hons.) student from the Department of Law, Calcutta University. This article provides an exhaustive overview of what arbitration is and its related concepts from an analytical viewpoint.

It has been published by Rachit Garg.

Table of Contents

Introduction

Disputes happen frequently between parties in the world of business and in today’s fast-paced commercial world, time is nothing less valuable than money. Both parties suffer losses if the dispute becomes the victim of a long-drawn, complex court battle. The solution to this comes in the form of Alternative Dispute Resolution (ADR) mechanisms that have eased and simplified the resolution of disputes between parties. Arbitration is a key ADR method that can be historically traced to the village panchayat days, when the elders used to resolve disputes between persons based on principles of natural justice. In simple words, arbitration is a method of resolving disputes between parties without going to court.

Alternative Dispute Resolution mechanism

The term ADR or Alternative Dispute Resolution signifies any out of court processes adopted to solve disputes. Arbitration, mediation, conciliation, and negotiation are usually the most common methods of ADR. When the courts are understaffed and overburdened with cases, ADR serves the purpose of providing faster and simpler means of dispute resolution. All ADR methods are mostly private in nature. The typical methods of ADR are briefly discussed as follows:

Arbitration 

Arbitration is outside the court settlement of a dispute by one or more (odd number) persons who are appointed as arbitrators by both the parties. According to Section 2(1)(a) of the Arbitration and Conciliation Act, 1996 “Arbitration means any arbitration whether or not administered by permanent arbitral institution”. In other words, any form of arbitration irrespective of its nature has been recognised statutorily in India by bringing such arbitration under the ambit of the Arbitration and Conciliation Act, 1996. It consists of a simplified trial, with simplified rules of evidence and with no discovery. Arbitration hearings are usually not a matter of public record. The arbitral award is binding on the parties just like a court decree or order. 

Mediation 

Mediation usually involves a neutral third party who tries to facilitate the issues between the parties and guides them through dialogue to a win-win situation. Mediation settlements are non-binding in nature.

Negotiation 

Negotiation is a type of ADR where usually no third parties like lawyers, arbitrators, or mediators are involved. The two parties in dispute sit down and discuss terms that best serve their mutual interests. When both parties are willing to come to a compromise, usually the negotiation becomes successful. In case, the parties fail to reach an acceptable, common middle ground, the end result is a stand-off with either a promise of future negotiation or to resort to other methods of ADR like mediation. There are no hard and fast rules or technicalities in a negotiation.

Conciliation 

Conciliation is a flexible and informal process of ADR where the disputing parties resolve their disputes with the aid of one or more conciliators who act in an impartial manner and aid the parties in reaching an amicable settlement. Compared to a mediator, a conciliator is more proactive in persuading the parties to reach a settlement by making proposals for settlement at any stage of the conciliation proceedings. It may be noted in this regard that neither the mediator nor the conciliator is bound by the Civil Procedure Code (CPC) or the Indian Evidence Act. They are bound by the principles of natural justice and can in no way impose their wills upon the parties. 

Comparison table of various ADR methods

IssuesArbitrationMediationConciliationNegotiation
Definition Arbitration is outside the court settlement of a dispute by one or more (odd number) persons who are appointed as arbitrators by both the parties.Mediation involves usually a neutral third party who tries to facilitate the issues between the parties and guides them through dialogues to a win-win situation.Conciliation is a flexible and informal process of ADR where the disputing parties resolve their disputes by the aid of one or more conciliators who act in an impartial manner and aid the parties in reaching an amicable settlement. Negotiation is a type of ADR where usually no third parties like lawyers, arbitrators or mediators are involved and the two parties at dispute sit down and discuss terms that best serve their mutual interests.
Governing law in IndiaPart I and II of the Arbitration and Conciliation Act, 1996.Mediation Bill, 2021 after it is passed and comes into force.Part III of the Arbitration and Conciliation Act, 1996.Principles of natural justice.
Procedural rules followedMutually decided by the parties; in case of institutional arbitration the institutional rules are usually adopted; in case of ad hoc arbitration the parties mutually decide the arbitral rules to be followed i.e. the seat of arbitration is decided by the parties. E.g: the parties may agree to follow the UNCITRAL Arbitration Rules.Mutually decided by the parties; usually CEDR Model Mediation Procedure or their equivalents are followed.Subject to Part III of the Arbitration and Conciliation Act, 1996, the procedural rules are mutually decided by the parties.Mutually decided by the parties based on the principles of natural justice.
Nature of outcomeBinding and thus mostly  enforceable.Usually non-binding, unless a court order directs to the contrary.Usually non-binding, unless a court order directs to the contrary.Becomes binding only after the negotiated deal is ratified by a competent court of law.
Role of third partiesRoughly speaking, the third party, i.e., the arbitrator(s) who constitute the arbitral tribunal act like a civil judge.The third party, i.e., the mediator, engages in talks with both parties and helps both parties come to a win-win solution to the dispute.The third party, i.e., the conciliator, is more proactive compared to a mediator. The conciliator proposes solutions that are acceptable to both parties.No third party is involved.

Types of arbitration

There are various types of arbitration depending upon the nationality of the parties, the arbitral award or the arbitrators involved. They are discussed as follows:

Ad Hoc Arbitration

Ad hoc arbitration is the type of arbitration where the parties mutually agree to resolve their disputes by arbitration proceedings conducted by mutually appointed arbitrators but not by an institution. This is one of the most common forms of arbitration in India where the parties themselves agree to and arrange for arbitration. Here, in this method of arbitration, both the parties and the arbitrators mutually and independently decide the procedures of arbitration, without the involvement of an arbitral institution. Example: When the parties decide to keep the arbitration seat in India, the dispute would be resolved as per the provisions of the Arbitration and Conciliation Act, 1996.

Institutional Arbitration

Institutional Arbitration is the form of arbitration where an institute, which has been set up for the purpose of settling disputes by arbitration or other ADR methods, is employed to conduct arbitration. Such institutes may be national or international in character and they usually lay down their own rules of arbitration. But such rules cannot override the provisions of the Arbitration and Conciliation Act, 1996. These institutes maintain a panel of arbitrators from which arbitrators are recommended to the parties. Besides that, these institutes also offer administrative and consultancy services. So, with the proper infrastructure and experience that these institutes bring to an arbitral proceedings, some parties really find institutional arbitration beneficial. Some of the prominent institutes that offer institutional arbitration are as follows: 

Domestic Arbitration

When the arbitration takes place in one jurisdiction and both the parties come under that jurisdiction, then such an arbitration is called domestic arbitration. In other words, both the parties must be nationals of the same jurisdiction as that of the seat of arbitration or in case of body corporates, they must be incorporated under the same jurisdiction as that of the seat of arbitration. Eaxmple: when the seat of arbitration is in India to resolve a dispute between two Indian companies, then it is a domestic arbitration.

International Arbitration

International arbitration is the type of arbitration where at least one of the parties at dispute is a foreign national or in the case of a body corporate, has been incorporated in a foreign country. In other words, at least one of the parties must be a foreign national or habitually resident in a foreign country. And in case of a body corporate or an association or body of individuals, the core control and central management must be operated from outside India. Also, one of the parties may be a foreign government too. Then such an arbitration is construed as international arbitration. Section 2(1)(f) of the Arbitration and Conciliation Act, 1996 has defined international commercial arbitration in the light of international arbitration for commercial disputes.

Emergency Arbitration

Emergency arbitration is a form of arbitration where interim relief is given by the arbitral tribunal to a party who wants to protect their assets and/or evidence from being otherwise lost or altered. It can be roughly compared to the concept of interim injunctions granted by civil courts. In India, there is no mention of the term ‘emergency arbitration’ in the Arbitration and Conciliation Act, 1996 till date, and regarding the enforceability of the same, the picture is still unclear. But the concept of emergency arbitration has been adopted in India by various arbitral institutions like Delhi International Arbitration Centre, Court of Arbitration of the International Chambers of Commerce-India, International Commercial Arbitration (ICA), Madras High Court Arbitration Centre (MHCAC), Mumbai Centre for International Arbitration etc. within their rules.

Stages of arbitration in India

The stages of an arbitral process as per the provisions of the Arbitration and Conciliation Act, 1996 are described as follows:

Arbitration agreement (Section 7, Arbitration and Conciliation Act, 1996)

The arbitration agreement is the first step towards arbitration and it has been discussed in detail here.

Number of arbitrators (Section 10, Arbitration and Conciliation Act, 1996)

Section 10 of the Arbitration and Conciliation Act, 1996 lays down the number of arbitrators that will be adjudgung the arbitral proceedings. According to this Section-

  • The parties are empowered to themselves determine the number of arbitrators they want provided that such number of arbitrators are odd in number.
  • In cases where the parties are unable to come to a decision as to what shall be the number of arbitrators, the arbitral tribunal will be graced by a sole arbitrator.

Commencement of arbitral proceedings (Section 21, Arbitration and Conciliation Act, 1996)

Section 21 of the Arbitration and Conciliation Act, 1996 lays down the provision as to when shall an arbitral proceeding begin. According to this Section,  in the event of no agreement to the contrary, the arbitration proceedings shall be deemed to commence from the date the respondents have received a request i.e., notice of referring the dispute to arbitration from the other party i.e., the petitioners / claimants. 

Appointment of arbitrators (Section 11, Arbitration and Conciliation Act, 1996)

Section 11 of the Arbitration and Conciliation Act, 1996 deals with the provision of appointment of arbitrators. Just like the parties can mutually decide upon the number of arbitrators vide Section 10 of the Act, similarly they can also mutually decide upon the procedure of appointment of arbitrators and can appoint any person(s) of any nationality as arbitrator(s) based on mutual agreements. Also, in case of disputes regarding appointment of arbitrators, the parties can approach the Supreme Court or High Court (as the case may be depending on arbitration agreement) to appoint arbitrator(s) for them.

Statements of claim and defence (Section 23, Arbitration and Conciliation Act, 1996)

Section 23 of the Arbitration and Conciliation Act, 1996 envisages the provision of statements of claim and defence made by both the parties before the arbitral tribunal. According to the section, subject to the mutual agreements between the parties or as per the order of the arbitral tribunal, the claimant shall submit his claims in details corroborated with facts, issues and relief or remedy sought. In response, the respondent is to submit defence i.e., counter-statements within the stipulated time. According to the recently added sub-section (4) of Section 23, the statements of claim and defence of both the parties should be finished within a maximum period of six months from the date of appointment of arbitrator(s). 

Hearing and written proceedings (Section 24, Arbitration and Conciliation Act, 1996)

Section 24 of the Arbitration and Conciliation Act, 1996 deals with the provisions of hearing and written proceedings before an arbitral tribunal. According to the Section, subject to an agreement to the contrary between the parties, it is upto the arbitral tribunal to decide whether the arbitral proceedings will be held orally or on the basis of documents and other materials. Moreover, as far as practicable the Act encourages the arbitral tribunal in the holding of oral hearings on a regular basis and strongly discourages unnecessary adjournments without sufficient cause. The arbitral tribunal is also empowered to impose cost on the party seeking adjournment without sufficient cause. It may be noted in this regard that, although speedy disposal is of the essence in arbitration, it is only just that the parties be given sufficient notices at every stage of hearings and evidence submission, inspection etc.

Arbitral award

The judgement or order of the arbitral tribunal is called the arbitral award and it has been discussed in detail here.

Challenging of arbitral award (Section 34, Arbitration and Conciliation Act, 1996)

Section 34 of the Arbitration and Conciliation Act, 1996 deals with the provision of applications for setting aside of arbitral awards and was pari materia to the Section 34 of the  UNCITRAL Model Law on Arbitration. Just like the UNCITRAL Model Law on Arbitration is territorial in nature, India’s Arbitration and Conciliation Act, 1996 also follows the territoriality principle. In other words, just like the seat of arbitration governs the law related to the arbitral proceedings, similarly the challenge to the arbitral award will also depend upon the seat of arbitration. Thus, if the seat of arbitration is in India, any aggrieved party can seek redressal under the provision of Section 34 of the Act.

Section 34(2) and Section 34(2-A) of the Act lays down the ground for setting aside of the arbitral award and Section 34(3) lays down the time i.e. limitation period within which the aggrieved party needs to approach the Court for challenging an arbitral award. According to Section 34(3), the aggrieved party has 90 days or three months from the date of receipt of the arbitral award or from the date an application under Section 33 of the Act seeking correction and interpretation of arbitral award or additional award has been duly disposed off by the arbitral tribunal.

The grounds for setting aside of an arbitral award under Section 34 of the Act can be briefly stated as follows:

  • A party was under some incapacity.
  • The arbitration agreement between the parties is invalid under the applicable law or violates the law for the time being in force.
  • Insufficient notice or lack of proper notice to a party regarding appointment of arbitrators or arbitral proceedings or where one party was otherwise unable to present his case.
  • The arbitral award pertains to a subject beyond the scope of the terms of the arbitration agreement or the arbitral award is on a subject that is non arbitrable in nature as per the law of the land. In situations where, the arbitral tribunal has transgressed the subject submitted to arbitration and such transgression can be shredded off from the remaining award pertaining to the valid arbitrable subject as per the arbitration agreement, then the invalid portion is only set aside and the valid portion of the award becomes enforceable. 
  • The composition of the arbitral tribunal was in violation of agreement between the parties subject to the provisions of Part I of the Act. In other words, if the agreement does not violate the mandatory provisions of Part I of the Act and still the composition of the arbitral tribunal violated the agreement between the parties or in the absence of such an agreement, the composition of the tribunal violated the provisions of Part I of the Act, it is a ground for setting aside the arbitral award.
  • The arbitral award cannot be in violation of public policy of India.
  • Other than an arbitral award of an international commercial arbitration, any other arbitral award may be set aside in the event of prima facie vitiation of the award because of its patent illegality.

Initially, there has been a lot of dispute about the power of the Courts under Section 34 of the Act. The main unresolved question of law was whether the Courts are only empowered to set aside the arbitral award in case of violations of procedural safeguards and fairness or can modify or vary them for the ends of justice. It is now a settled position in law after the recent National Highways Authority of India v. M. Hakeem (2021) case that the Courts can only set aside the arbitral award if deemed fit but cannot vary or modify the arbitral award. This is a welcome interpretation of Section 34 because as stated before Section 34 of the Act is pari materia with Article 34 of the UNCITRAL Model Law on Arbitration. Article 34 of the UNCITRAL Model Law does not envisage any scope of varying or modifying the arbitral award. So, with this line of interpretation adopted by the Hon’ble Supreme Court, the international obligation of India with respect to arbitration has also been upheld. It is interesting and pertinent to note in this regard that the Courts under Section 34 of the Act can partially set aside an award subject to the doctrine of severability. In other words, the bad portion of the award, if separable from the just portion of the award, can be partially set aside by the Courts even if that amounts to modification or varying of the arbitral award.

Enforcement of arbitral awards

Section 36 of the Arbitration and Conciliation Act, 1996 deals with the enforcement of domestic arbitral awards. According to the section, when the limitation period for approaching the Court under Section 34 of the Act is over, the arbitral award can be enforced  just like a decree of court can be enforced as per the provisions of the Code of Civil Procedure, 1908

Part II of the Act deals with enforcement of foreign arbitral awards and the same has been discussed in detail here

Important concepts related to arbitration

Arbitration Agreement and its essentials

Arbitration agreement is a written agreement between the parties whereby both the parties resolve to submit themselves to arbitration in the event of a dispute. It has been defined in Section 2(1)(b) of the Arbitration and Conciliation Act, 1996. According to this provision, “Arbitration Agreement” means an agreement referred to in Section 7. And according to Section 7(1), “arbitration agreement” means an agreement by the parties to submit to arbitration all or certain disputes which have arisen or which may arise between them in respect of a defined legal relationship, whether contractual or not. 

It may be noted in this regard that the form of arbitration agreement is not important. In other words, an arbitration agreement may be a separate written agreement or it may be inserted in the clauses of the contract between the parties or it may be present in any form of electronic communication between the parties.

Conditions to be fulfilled to enforce an arbitration clause

In the event there is a contract between the parties and that contract refers to another document which contains the arbitration clause, then for such arbitration clause to be construed as an arbitration agreement, certain essential conditions need to be fulfilled, which are as follows:

  • The contract must be in writing.
  • The reference to the arbitration clause in the separate document is made in a manner so as to signify that the arbitration clause is a part of the contract.
  • The reference to the arbitration clause must be in clear and unambiguous terms.
  • The arbitration clause should be well framed, clearly portraying the intention of the parties to resort to arbitration, so that in cases of disputes under the contract, such clause can be made applicable.
  • The arbitration clause should not be repugnant to any other terms of the contract.
  • Whether the arbitration agreement is an independent agreement or a composite agreement, it is important that the arbitration clause should be severable from the rest of the agreement or contract. This ensures that the arbitration agreement survives if the main agreement gets terminated or invalidated. 
  • In case the arbitration agreement is an independent agreement, it must fulfil the criteria of a valid contract.
new legal draft

Seat of arbitration

The place of arbitration is referred to as the seat of arbitration. Usually, both parties agree to a seat of arbitration within the terms of the arbitration clause or arbitration agreement itself. The importance of the seat of arbitration is paramount because it is the seat of arbitration that governs the arbitration rules and procedures to be followed in resolving the dispute in case the parties have not predetermined any procedure. In other words, the seat of arbitration determines the situs of arbitration. But in case the parties fail to agree on the place of arbitration as per Section 20(1) of the Arbitration and Conciliation Act, 2015, then the arbitral tribunal can fix the seat of arbitration for the parties depending on the circumstances of the case and as per the convenience of the parties vide Section 20(2) of the Act.

In the case of  Bharat Aluminium Company Ltd v. Kaiser Aluminium Technical Service Inc (BALCO case) (2012), the Hon’ble Supreme Court held that if the disputing parties have agreed to a seat of arbitration in a different country, then it necessarily implies that the parties have accepted the law of that country governing the rules and procedures of arbitration. However, after the enactment of the Arbitration and Conciliation (Amendment) Act, 2015,  Part I of the Act, such as Section 9 (interim relief), Section 27 (court assistance for evidence), Section 37(1)(a) (appealable orders) of the Act will apply even to an international commercial arbitration where the seat of arbitration is outside India subject to an agreement to the contrary vide Proviso to Section 2(2) of the Act. 

In the recent case of PASL Wind Solutions (P) Ltd. v. GE Power Conversion (India)(P) Ltd. (2021) the Hon’ble Supreme Court, stressing on party autonomy, held that two Indian parties have the liberty to choose a foreign seat of arbitration.

Venue of arbitration

Sometimes confusion arises when the words ‘venue’, ‘seat’, ‘place’ of arbitration get used interchangeably in the arbitration agreement or arbitration clause. Although the seat of arbitration and the place of arbitration mean the same thing, the venue of arbitration usually means the convenient geographical place where the arbitration proceedings are being conducted. So, the seat of arbitration refers to the place whose rules and procedures are to be applied to the arbitration proceedings and it also determines which courts will have supervisory jurisdiction over the arbitration proceedings. Thus, the venue of arbitration may not be the same as the seat of arbitration. When the seat of arbitration has been fixed, i.e., the governing rules and procedures have been fixed, the proceedings can go on at any geographical place or venue, even across countries. Hence, it can be said that the term ‘venue of arbitration’ carries less weightage than the term ‘seat of arbitration’.

Arbitrability of subject matter

All matters cannot be resolved outside the court by arbitration since arbitration is a private forum of resolution. This brings us to the crucial word ‘arbitrability’ which determines if a subject matter can be submitted to the process of arbitration or not. The legislature and judicial authority decide which matters cannot be subjected to arbitration. 

The legislature has barred certain types of disputes from being subjected to arbitration by stating in Section 2(3) of the Arbitration and Conciliation Act, 1996 that if by any law in force some matters are barred from arbitration then such law will override any provisions of Part I of this Act. In other words, the non-obstante provision mentioned in Section 5 of the Act will not override any law in force that bars a subject matter from being submitted to arbitration. Also, Section 34(2)(b)(i) of the Act enables the courts to set aside an arbitral award if the subject matter of the arbitration was non-arbitrable in nature. Basically, no list has been provided by the legislature which dictates which subject is arbitrable and which is not arbitrable. Section 2(3) read with Section 34(2)(b)(i) of the Act empowers the judiciary to decide the principles for non-arbitrability of a subject matter within the parameters of law and this was held in the recent case of Vidya Drolia v. Durga Trading Corporation (2020).

To make the principles of arbitrability of a subject matter comprehensible, the Hon’ble Supreme Court, for the first time, in Booz Allen & Hamilton Inc. v. SBI Home Finance Ltd. (2011) laid down the following three conditions that need to be met for a subject matter to become arbitrable, viz:

  1. The disputes between the parties must be capable of being settled and adjudicated by the private forum of arbitration.
  2. The disputes must come under the ambit of the arbitration agreement or arbitration clause.
  3. The parties to the dispute must refer the same to arbitration.

Arbitral Award

In simple words, the judgement or order of the arbitral tribunal (consisting of the appointed or chosen arbitrators) is called the arbitral award. Section 2(1)(c) of the Arbitration and Conciliation Act, 1996 defines arbitral award. According to this provision, “arbitral award includes an interim award.” It is clear from this definition that the statutory definition is not exhaustive in nature and basically includes any order of the arbitral tribunal. 

The arbitral award must be duly written, signed by the arbitrator(s) and dated with proper mention of the place of arbitration. The arbitral award must contain due reasons for the granting of such an order unless the parties have waived the necessity of  a reasoned decision or speaking order. It may be noted in this regard, that an arbitral award is binding on the parties just like a judgement of the court. Also, any party within thirty days of the receipt of the award may request the tribunal to correct any errors in the award and if all the parties so wish, can even ask for interpretation of a specific part or portion of the arbitral award.

After the time has expired to make an application for setting aside of the arbitral award under Section 34 of the Act and no such dismissal or stay order has been granted by the court, then the arbitral award in a domestic arbitration shall become enforceable just like a decree of a Civil Court under the Code of Civil Procedure, 1908.

In general, when the seat of arbitration is in India, whether it is a domestic arbitration or an international commercial arbitration, the award granted is a domestic arbitral award. In other words, a domestic award is granted under Part I of the Act.

Foreign Arbitral Award

Foreign arbitral award or foreign award is the award granted by an arbitration tribunal recognised by the New York Convention (1958) (as defined in Section 44 of the Act) and under the Geneva Protocol and Geneva Convention (as defined in Section 53 of the Act). In a way, because of a lot of dissatisfaction, the New York Convention (1958) replaced the Geneva Protocol (1923) and Geneva Convention (1927).

Recognition and enforcement of foreign arbitral awards

A foreign arbitral award is enforceable under Part II of the Arbitration and Conciliation Act, 1996. But in order to be enforceable, certain conditions laid down under Section 48 of the Arbitration and Conciliation Act, 1996 (for awards granted under the New York Convention, 1958) and Section 57 of the Act (for awards granted under the Geneva Convention, 1927) need to be fulfilled. Some of these conditions are mentioned below:

  • The arbitral award is granted in matters considered to be commercial matters by laws in force in India  because India has adopted the commercial reservation under the New York Convention and the Geneva Convention.
  • The arbitral award must be granted in pursuance of an arbitral agreement that comes under the ambit of the New York Convention and the Geneva Convention.
  • The arbitral award should be granted in relation to parties where at least one person is subject to the jurisdiction of a territory duly notified in the Official Gazette by the Indian government and passed in one such notified territory.
  • The award must be final in nature to become enforceable in India, and such award will be deemed to be final when no proceedings challenging the award are pending or ongoing in that foreign country.
  • The foreign arbitral award must not be against the public policy in India.
  • The foreign award must be an arbitrable subject matter in India.
  • The foreign award must not have been set aside or suspended by competent authorities in the foreign country.
  • The executing court for a foreign award may be a High Court which has jurisdiction over the territory in which the award debtor’s assets are situated or where a suit for the recovery of money can be filed.
  • In order to enforce a foreign award, the enforcing party must duly submit before the executing court the following:
  • The original or authenticated copy of the arbitral award.
  • The original or certified copy of the arbitration agreement.
  • Evidence demonstrating that the arbitral award is a foreign award.

UNCITRAL Arbitration Rules

UNCITRAL Arbitration Rules are a set of rule based procedural framework of arbitration rules that parties, either as a part of their contract or after a dispute occurs, can use to govern their arbitration proceedings. UNCITRAL Arbitration Rules are pretty flexible in nature as they allow the parties to mutually modify the rules to specifically suit their needs vide Art. 1(1), UNCITRAL Arbitration Rules (2013 Revision). The UNCITRAL Arbitration Rules were originally adopted way back in 1976 by the United Nations General Assembly but were last modified in 2013 and the latest Expedited Arbitration Rules were adopted recently on 21.07.2021 by the UNCITRAL w.e.f. 19.09.2021 by this press release. The UNCITRAL Arbitration Rules can be broken down into four parts, viz:

  • Section 1: Introductory Rules (Articles 1-6)
  • Section 2: Composition of the Arbitral Tribunal (Articles 7-16)
  • Section 3: Arbitral proceedings (Articles 17-32)
  • Section 4: Arbitral award (Articles 33-43).

UNCITRAL Model Law on International Commercial Arbitration

The UNCITRAL Model Law on International Commercial Arbitration acts as a set of guidelines so that the national governments can make proper arbitration laws in their countries. In other words, it is designed to act as a lighthouse while guiding states to frame their own domestic legislation on arbitration in a proper way. It was first adopted in 1985 and was modified later by amendments in 2006. In cases where countries already have legislation on arbitration, the UNCITRAL Model Law is meant to assist the States  in the modernisation and reformation of their domestic legislation on arbitration at par with international standards. It covers  all stages of arbitration, starting from the arbitration agreement to enforcement of the arbitral award.

Laws dealing with Arbitration in India

Arbitration and Conciliation Act, 1996

In India, the main law which governs arbitration is the Arbitration and Conciliation Act, 1996 which came into force on 22nd August, 1996 and extends to the whole of India. In the 246th Report of the Law Commission, it was noted that “The 1996 Act is based on the UNCITRAL Model Law on International Commercial Arbitration, 1985 and the UNCITRAL Conciliation Rules, 1980.” After the enactment of the Arbitration and Conciliation (Amendment) Act, 2015 and 2019, recently the Arbitration and Conciliation (Amendment) Act, 2021 was passed into law on 10th March, 2021 and retrospectively came into force on and from 4th November, 2020 except as otherwise stated.

The Act can be structured into four parts and seven schedules, viz:

New Delhi International Arbitration Centre Act of 2019 (NDIAC Act, 2019)

The New Delhi International Arbitration Centre Act, 2019 was enacted to establish the New Delhi International Arbitration Centre. This centre is meant to act as an independent and autonomous institutionalised arbitration centre and for acquisition and transfer of the undertakings of the International Centre for Alternative Dispute Resolution for the more efficient and better management of arbitration. The New Delhi International Arbitration Centre has also been declared as an institute of national importance and the Indian government is actively working to make it a major arbitration hub which can provide quick and efficient dispute resolution. This centre was necessary to overcome the failures of the International Centre for Alternative Dispute Resolution which was established in 1995. 

Arbitration Council of India (ACI)

The Arbitration and Conciliation (Amendment) Act, 2019 under its Clause (10) introduced Part IA in the Arbitration and Conciliation Act, 1996. This part consists of Sections 43A to 43M and inter alia, speaks about the setting up of the Arbitration Council of India as a body corporate with headquarters in Delhi. The Council will be entrusted to perform functions and discharge duties as per the provisions of this Act. Part 1A is yet to come into force as the same has not yet been notified by the central government in the Official Gazette. One of the major functions of the Arbitration Council will be to boost institutionalised arbitration by grading institutes of arbitration and accrediting arbitrators as per the provisions of the Eighth Schedule, which has yet to come into force.

Advantages of arbitration

The advantages of arbitration are discussed as follows:

  1. Fair process: In arbitration, both parties usually decide or appoint the arbitrators. This ensures dispute resolution by a fair and impartial third party, unlike in litigation where the parties do not have much control over the judge or jury selection.
  2. Timely procedure: Arbitration proceedings mainly work on arbitration rules that have been framed based on the principles of natural justice. They are not complex like procedural laws necessary in traditional court battles where the legal dispute gets dragged on for years. The more flexible and less formal arbitration rules ensure a quick dispute resolution between the parties.
  3. Cost effective process: In most cases, both the parties bear the cost of arbitrators equally as per the pre set terms of the arbitration agreement. Since, arbitration is a smoother and faster process, the disputes end quickly with less legal representation and saves tons of money for both parties.
  4. Private proceedings: Mostly, the parties at dispute are unwilling to air their dirty laundry in front of the whole world if the dispute reaches trial stage in front of a jury or judge. This problem is solved by outside the court resolution by arbitration in private meetings where confidentiality is ensured.
  5. Final and binding nature: The arbitral awards granted by the arbitral tribunal are binding on both parties and they are enforceable in nature, just like a decree of a civil court. Only in very limited circumstances, as prescribed in the domestic legislation, can arbitral awards be challenged in court.
  6. Ease of proceedings: The simple procedural nature of arbitration encourages the disputing parties to come to an agreeable solution easily.
  7. Reduces burden of courts: Most courts in most countries are overburdened with cases. Arbitration is one of the key solutions to reducing the burden of the courts and leaving the courts free for more pressing issues that absolutely warrant court proceedings.

Disadvantages of arbitration

The disadvantages of arbitration are discussed as follows:

  1. No appeals: Arbitral award is binding on both the parties. So, even if one party feels that the award was unjustified or biased, they mostly cannot appeal against it. Only in very limited circumstances, the arbitral awards are set aside.
  2. Evidence Rules: In a traditional court, usually there are rules that strictly govern as to what evidence is admissible and what is not. But in case of arbitration, the arbitrators admit whatever is brought in front of them most of the time. Illegally obtained evidence admission is a major problem in most arbitrations in the absence of proper arbitration rules for evidence.
  3. Lack of cross-examination: Most arbitrations lack the necessary rules for cross-examination of documents and witnesses that are possible in courts. This jeopardises the credibility of the documents and witnesses presented.
  4. Lack of consistency: Arbitration rules governing arbitrations vary from country to country and convention to convection. This creates the problem of lack of consistency and sometimes leads to unjust or biased arbitral awards.
  5. Lack of Transparency: Public perception of public bodies at disputes is very important and when these public entities get to work behind closed doors by arbitration, there are chances of sweeping the dust beneath the carpets privately and the public miss the chance of holding these public bodies accountable for their faults committed.

Why is arbitration preferred more in modern days

Indian laws related to arbitration and other alternative dispute resolution (ADR) mechanisms have been amended many times to adapt the country’s legal scenery to the evolving international commercial law jurisdictions in the interest of integrating India with the world’s business community. Concerted efforts are being made by both the government and various private players to promote ADR mechanisms like arbitration, conciliation, mediation and negotiation because of the many advantages of arbitration as stated before. Because of the many advantages that arbitration brings to the table, it is preferred in modern times and the journey ahead for India in this regard can be stated as follows:

The way forward for arbitration in India

The way forward for arbitration in India can be envisaged under the following points as mentioned below:

  1. Necessity of a virtual or platform inbuilt Online Dispute Resolution (ODR) System in India:

If a dedicated platform based Online Dispute Resolution (ODR) mechanism is introduced in India, then the whole Indian consumer complaint redressal scenario stands to be revolutionised. Such ODR platforms are available for various European Union (EU) countries like Norway, Liechtenstein, Iceland, etc. and even countries like Mexico have adopted similar procedures. In this process, consumers may file their complaints against goods and services online and the consumer protection agencies or other responsible authorities of the concerned countries resolve these complaints quickly and efficiently via telephone or over the internet. 

  1. Necessity to address and accept emergency arbitration in India:

In the famous Amazon, Future Group and Reliance case, Amazon obtained an emergency injunction from a Singapore International Arbitration Centre (SIAC) tribunal and blocked the Future Group from Rs 24,700 crores retail business monetization agreement. But since there is considerable controversy regarding emergency arbitration in India, the enforceability of this emergency award became doubtful. Singapore, Hong Kong, London Court of International Arbitration (LCIA), the American Arbitration Association (AAA), and the International Chamber of Commerce (ICC) have officially accepted emergency arbitrator’s temporary orders but India is still lagging behind. This novel concept of emergency arbitration saves time and money and expedites the process. It is high time that India introduces proper legislative provisions for the enforceability of emergency awards.

  1. Need for proper laws to address novel technologies like blockchain, NFTs, smart contracts in arbitration and ADR:

The newly introduced Digital Dispute Resolution Rules in the UK (UK Rules) have pioneered the way digital disputes are resolved, especially using novel technologies like blockchain. A novel concept called ‘on-chain’ dispute resolution or ‘automatic dispute resolution’ has been introduced where the arbitrator is directly empowered to enforce the arbitral award on a blockchain using a private key. E.g: it can be decided by the arbitral tribunal that the losing party deposit compensation amount immediately in the victorious party’s blockchain based digital wallet. Moreover, by the use of ‘digital signature, cryptographic key, password, or other digital access grant’ the arbitral tribunal is enabled to operate, modify, sign or cancel any relevant digital asset. It is highly recommended that India adopts new laws and amends existing laws to embrace this new future where smart contracts, NFTs, blockchain technologies etc are becoming an integral part of arbitration and other ADR methods.

Permanent Court of Arbitration (PCA)

The Permanent Court of Arbitration (PCA) was established way back in 1899. It serves as an intergovernmental organisation with over 122 contracting parties. It is situated at the Peace Palace, Hague. Its main aim is to adopt arbitration and other alternate dispute resolution mechanisms to settle disputes between the governments of countries. Today, even after more than a century, the Permanent Court of Arbitration acts as a modern, multi-faceted arbitral institution to meet the ever evolving needs of the international community. The organisational structure of the PCA can be said to be made of three bodies viz-  

One of the famous cases of the Permanent Court of Arbitration (PCA) where India had been a party is discussed as follows: 

The Enrica Lexie case (Italy v. India)

This was the famous ‘Italian Marines case’ where inter-state arbitration took place between the Republic of India and the Italian Republic following ad hoc rules of procedure under Annex VII, Article 1 of the United Nations Convention on the Law of the Sea (UNCLOS). It all started on 15th February 2012, when two Italian marines aboard the Italian oil tanker Enrica Lexie, approximately 20.5 nautical miles off the coast of India, shot two Indian fishermen aboard the Indian vessel St. Antony. The five member arbitral tribunal of the PCA granted the arbitral award wherein it was found inter alia that the Italian marines would enjoy immunity from criminal proceedings in India just like state officials, and Italy was to give compensation to India for the “connection with the loss of life, physical harm, material damage to property (including to the “St. Antony”) and moral harm suffered by the captain and other crew members of the “St. Antony.” The compensation amount was to be mutually decided between India and Italy, and the agreed upon sum received as due compensation was INR 100 million (10 crores).

Conclusion

Today, it is indeed true that India has come a long way in the journey of accepting, promoting and implementing arbitration and other alternative dispute resolution (ADR) mechanisms. Multiple amendments to the Arbitration and Conciliation Act, 1996 to cater to the needs of the ever evolving global business community, show the commitment of the Indian government in making India a global hub for arbitration and other ADR mechanisms. But India still has miles to go in becoming the first choice of the international commercial bodies in the ease of resolving disputes in business by arbitration and other ADR methods. Constant adaptations based on the learnings of the relevant commercial jurisdictions of the world and proper implementations of the same with regard to arbitration can only leverage India as the world leader in quick and efficient dispute resolution.

Frequently Asked Questions (FAQs) related to arbitration

What is the difference between UNCITRAL arbitration rules and UNCITRAL model law on arbitration?

Simply put, the UNCITRAL arbitration rules are a set of arbitration rules that disputing parties may apply to govern their ad hoc arbitration proceedings, whereas UNCITRAL model laws on arbitration are meant for States so that the countries can be guided to make proper domestic legislation pertaining to arbitration.

What is the importance of arbitration rules?

Arbitration rules are the procedural rules that govern the proceedings and all stages of arbitration. The parties are usually free to accept the rules in full or accept them in part or modify them mutually to suit their specific needs.

What to do if originally there was no arbitration clause or agreement and the parties are willing to resort to arbitration later?

In that case, the parties should form a new arbitration agreement in clear terms and resort to arbitration thereafter. It is pertinent to mention in this regard that the subject matter of the dispute must be arbitrable in nature for this recourse.

The dispute is already in court and the parties want to resort to arbitration. Is this possible? If yes, how?

Yes, this is possible if the subject matter of the dispute is arbitrable in nature. If there was no arbitration clause or agreement before, a new arbitration agreement must be entered into first. But most importantly, leave of the court where the dispute is ongoing, is mandatory and domestic laws, if any, must be upheld.

What are some of the examples of disputes that can be resolved by arbitration?

Generally, any civil, commercial, contractual or business disputes between parties can be resolved by arbitration depending on the domestic legislation on arbitration and other laws in force  for the time being. Some examples of disputes that can be resolved by arbitration are: matrimonial matters like divorce, maintenance; insolvency matters like winding up of a company, declaring a person insolvent; damages for breach of contract, employer-employee disputes, neighbour disputes, IPR disputes etc. It must be mentioned here that most matrimonial disputes and insolvency disputes are not arbitrable in India.

Can criminal matters be referred to arbitration?

Arbitrations are mostly for private disputes and since criminal matters are committed against State, criminal matters are generally not arbitrable in nature. Only in very exceptional cases where the criminal matter prima facie appears to be false in the bigger picture of a private dispute, with the leave of the court, such criminal matters may be referred to arbitration, subject to domestic legislations.

Are arbitration proceedings confidential?

Yes, the arbitration proceedings are completely private and confidential in nature and if one party leaks such confidential information related to proceedings, damages can be sought from the accused party.

How much does arbitration cost?

Arbitration proceedings are very cost effective in nature compared to litigation. Mostly, both the parties bear the cost equally. If the seat of arbitration is India, Section 11(14) of the Arbitration and Conciliation Act, 1996 read with the Fourth Schedule of the Act, determines the fees of the arbitral tribunal mostly depending on the sum in dispute.

Can two Indian parties have a foreign seat of arbitration?

Yes, in the recent case of PASL Wind Solutions (P) Ltd. v. GE Power Conversion (India)(P) Ltd. (2021) the Hon’ble Supreme Court, stressing on party autonomy, held that two Indian parties have the liberty to choose a foreign seat of arbitration.

Can the Supreme Court of India refuse to enforce a foreign arbitral award?

Yes, the Supreme Court can refuse to enforce a foreign arbitral award if the subject matter of the award is not arbitrable in India or if the award is against the public policy of India or the conditions mentioned in Section 48 of the Arbitration and Conciliation Act, 1996 for the enforcement of foreign awards are not met.

References

  1. https://www.indiacode.nic.in/handle/123456789/1978?sam_handle=123456789/1362
  2. https://pca-cpa.org/en/home/
  3. https://blog.ipleaders.in/arbitration-type-significance/ 
  4. http://arbitrationblog.kluwerarbitration.com/2021/05/23/indias-arbitration-and-conciliation-amendment-act-2021-a-wolf-in-sheeps-clothing/#:~:text=The%20Arbitration%20and%20Conciliation%20.  

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Vernacular Press Act

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This article has been written by Nimisha Dublish of Vivekananda Institute of Professional Studies, GGSIPU, Delhi. The main focus of the article is to make the readers aware of the very historic law, i.e., the Vernacular Press Act of 1878, and how it played a major role in revolutionising Indians to fight for freedom of the nation and get their Fundamental Right of Freedom of Press in place.

This article has been published by Sneha Mahawar.

Introduction

In ancient times, there existed no modern printing styles and concepts, but still, media communication used to happen. It was the Mughal Empire that introduced the written form of newspapers (Mughals appointed akhbar nawis, i.e., news writers) whose aim was to collect global news for a certain period of time and then circulate them via handwritten newspapers. The authenticity at that time was not guaranteed and writers ended up giving certain wrong pieces of information. In the era when Akbar ruled, offices were established to make and maintain records of the news. 

The Vernacular Press Act came into being in 1878. The main word in the Act, ‘Vernacular’ was derived from vernaculus, a Latin term (meaning Native). The process by which ordinary people communicate in their day-to-day lives is basically known as vernacular. The ethnic languages that the people of a nation speak because they are more spoken than written come under the category of vernacular languages. In British India, the Act was introduced with the aim of curtailing the freedom of the Indian press and limit them from criticising the British Government of that era.

History of the Vernacular Press Act, 1878

The relations between the British government and the public grew bitter at the time of the British revolt. The British revolt of 1857 gave rise to racial animosity. Racial animosity is resentment and anger that takes shape as the belief that people of another race aren’t like you, can’t be trusted, and don’t deserve what you deserve. During this period, the European Government always stood in support of the ruling government. At the same time, it was the vernacular press that used to criticise the ruling government. The criticism can be traced back to 1782, when the Hicky’s Bengal Gazette was banned because it criticised the East India Company. Other similar newspapers also followed the same fate and later Richard Wellesley, and 1st Marquess Wellesley were given the responsibility to regulate the press in the year 1799. Each publication was required to undergo this process where the government would approve what could be published and what could not be published by the newspaper agencies. 

Lord Lytton was the Viceroy of India (1876-80). He was an English politician who was famously known for his ruthless behaviour at the time of second Anglo-Afghan War and the Great Famine of 1876-78.  All such actions of the government made the public angry and made them form an opinion against the policies of Lytton. It was in 1876-77 when, on one hand, the country was suffering through famine and Lytton focussed on constructing and spending heavily on imperial Delhi Durbar. As a result, 10.3 million people who died. After a year the Second Anglo-Afghan War took place, which put more criticism on the British government. The criticism of the government was the main topic or headline of every publication across India. 

The late 19th century gave rise to the latest socio-political consciousness. Socio-political consciousness is the ability of a person to critically analyse the political, economic, and social factors that are shaping the economy of a country. The vernacular press expanded its horizons. The smaller towns started publishing their own vernacular papers. This gave rise to the number of readers and their opinion against the government. On one hand, the Vernacular Press Act was being planned, and on the other hand, there existed around 200 native language papers and only 20 English papers. People had full knowledge regarding the political issues prevailing in the country and eventually instigated people to raise their voices regarding the same. Other offences like sedition were given under Section 124A of the Indian Penal Code, 1860. The government could have used this offence but still, the government chose to introduce a separate Act for controlling and regulating the vernacular press across India. Seeing massive revolts in the country, Lord Lytton announced the enactment of the Vernacular Press Act in 1878 and appointed officials for the same who were loyal to the ruling party. 

Timeline before the revolution took place

History of Indian press laws

After the Battle of Plassey took place in 1757, the East India Company took over India. There were no laws regulating the press at that time. During the tenure of the British government, the first Indian newspaper, named the Bengal Gazette, was published. However, it was seized due to the rise of criticism of the government in 1872. Bengal was the first one to implement licensing as per Adam’s regulation. In 1857, licensing was reintroduced by Lord Canning. This was made applicable to all the publications. Offences like defamation, obscenity, etc were added in the Indian Penal Code, 1860.  

Vernacular Press Act : a way toward Indian press laws

Provisions of the Vernacular Press Act, 1878

The printer and publisher of any vernacular newspaper could be called upon by the district magistrate to enter into an agreement confirming that none of their published papers will include hatred, disaffection, or antipathy towards the government. If any press fails to follow the guidelines and fulfil the agreement then the security deposit amount shall be forfeited and press equipment would be seized. The Act empowered the district magistrate to take action against those who committed the offence. The Act restricted the press to file re-appeal in any of the courts and that the action of the magistrate shall be final and binding. If a native newspaper submits proofs to the government censor, then it could get an exemption from the Act’s operation. 

The Act clearly distinguished between European and vernacular newspapers. Vernacular newspapers were not given a single chance to prove themselves. 

The most significant case was of the Amrita Bazar Patrika, which turned into an English newspaper overnight. This step was taken by the vernacular newspaper to escape the liabilities under the Vernacular Press Act. There were cases against Som Prakash, Bharat Mihir, Dhaka Prakash, and Samachar Darpan, which were some of the other vernacular newspapers that were used to criticise and convey an anti-government opinion.  

Indians and Vernacular Press Act : the impact

Indian nationalists had only one main goal in their minds, which was to protect the nation’s sentiments and their freedom of opinion from the Britishers. The vernacular press turned out to be the only tool to educate them regarding their rights and importance of freedom. The moment the country started the revolution, the Act came into being and disrupted the process. After the enactment of the Vernacular Press Act, it popularly came to be known as the ‘Gagging Act’ of the country. The people of India felt that there was grave discrimination between the Europeans and the vernaculars. The sentiments of Indians were deeply hurt and they lost faith in the government due to its biased behaviour. After the case of Amrita Bazar Patrika, the pre-censorship clause was repealed meaning that an officer shall be appointed to provide the press with right and authentic news. 

In the whole chaos between the government and the people of the nation, the Som Prakash newspaper, which belonged to Ishwar Chandra Vidyasagar, was also halted. They gave assurances and made sure that they formed an alliance with the government and supported them, then it resumed in 1880. Many papers were heavily fined and editors were imprisoned for leading seditious movements opposing the government. The whole nation demanded the repeal of the Act.

Repealing of the Vernacular Press Act 

It was Lord Ripon who repealed the Act in 1882. Lord Ripon was a man who worked for the people of India to improve the condition of education. He was the Viceroy of India from 1880-84. The Vernacular Press Act faced strong opposition. In 1883, the very first journalist in India was imprisoned for criticising the Calcutta High Court’s judgement. The journalist said that the judge was insensitive toward Bengali sentiments. In 1898, the government of Lord Elgin II revised Section 124A and introduced Section 153A, making it illegal for anybody to bring the Government of India into disrepute or to incite animosity amongst different classes, i.e., vis-à-vis the English in India. Protests erupted around the country as a result of this. Several restrictive laws were passed during the Swadeshi and Boycott Movements, as well as due to the emergence of militant nationalist movements.

Present Indian press laws

Press freedom is not governed by any discrete set of laws but comes under Freedom of Speech and Expression under Article 19(1)(a) of the Indian Constitution. The freedom of the press has been given the utmost importance by those who write about politics and analyse different political agendas. The freedom of the press is talked about under the fundamental right of Freedom of Speech and Expression. The limits are decided by the judiciary in each case as to whether the actions of the press come under the purview of Freedom of Speech and Expression or not. 

The Indian Telegraph Act, 1885 covers the use of both wired and wireless telegraphy, digital communications, etc. The government law enforcement agencies are authorised under this Act to monitor and tap the phone lines as per the conditions mentioned in the Indian Constitution. 

Criticism and restriction of the freedom of press in India

Nowadays, in India, we can see that the media has become a bit biased in nature. The government took initiatives to counterfeit the spread of fake news and restrict the inappropriate content in terms of biases and preferences across various media platforms. Fact Check Units have been set up by the government under Information Technology Act 2000. In 2018, WhatsApp launched 3 ad films to spread awareness about fake news. This protects the citizens’ intellectual, moral, and fundamental rights. The laws focus on prohibiting fake news publication and anti-government views, not abiding by which leads to imprisonment and closure of newspapers. 

The Indian Press Act of 1910

The English language was supported and promoted, limiting the influence of the Indian vernacular press. The Act was enacted by the British government, imposing strict censorship on all the publications of the nation. The Indian Press Act came into being after there was a huge influence of Kesari, Jugantar, and Bandematram newspapers in Western and Eastern parts of the country. It was in Maharashtra and Bengal that people started the revolution against the terror of the British Raj and had a great influence on them from these vernacular newspapers. This gave rise to the re-enactment of the most repressive provision of the Vernacular Press Act which was repealed in 1882. But this time, the newspaper was given a chance to re-appeal in court and submit a security deposit of Rs. 1000 in order to get a new registration permit. 

Conclusion

It was during the British era when there was a huge outcry against the Vernacular Press Act. However, later on, it was repealed, but it had a huge impact on the press. People were prosecuted and harassed, and many people lost their jobs in the process. The legislation became a piece of learning for Indians and showed them how mercilessly they were treated regardless of which they refused to give up. The emphasis was laid on freedom of speech and expression, which covers the freedom of the press. The law was a major booster at the time of the revolution to incite Indians to fight for themselves against the British Raj.

Frequently Asked Questions(FAQs)

  1. Who was the person who enacted the Vernacular Press Act and why did he do so?

Lord Lytton enacted the Vernacular Press Act of 1878, which gave power to the government to seize newspapers that published ‘anti-government material.’ Englishmen were barred from this act and were not regulated as per the provisions of the Act.

  1. Briefly explain the primary provisions of the Vernacular Press Act?

According to the Vernacular Press Act, any magistrate or Commissioner of Police had the authority to require any printer or publisher of a newspaper to enter into a bond promising not to print a certain type of material and could confiscate any printed material it deemed objectionable.

  1. What role did the vernacular press and literature play in the rise of Indian nationalism?

Newspapers in English and vernacular languages played a significant part in the development of nationalism in Indians. The press facilitates the exchange of thought on a mass scale within a short time. The publications with nationalist and democratic views awakened the spirit of nationalism in India.

References


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Registration and effect of registration of charges under the Companies Act, 2013

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This article is written by Shruti Jha pursuing a law firm Bootcamp. This article has been edited by Ojuswi (Associate Lawsikho). 

This article has been published by Sneha Mahawar.

Introduction 

The Companies Act, 2013 is a comprehensive enactment and has provisions relating to the compliances related to the corporate entity’s transactions from its start to the end i.e., from the incorporation to the termination of the entity. One among such provisions is the provisions relating to the charges – its registration and related compliances. The article covers the registration and the effects of registration under the Companies Act, 2013.

For a better understanding of the registration of charges and their effects, it is essential to understand what a charge is. 

What is Charge

Generally, a charge means a right created to the lender over the assets in order to secure repayment of the loan. It is one of the methods by which the borrower can get the loan sanctioned by providing the assets as a security/collateral. In this case, only the rights over the assets would be secured rather than creating ownership interest against the lender. This is easier in the case of corporate entities because the same entity can use assets over which the loan was approved of. 

Section 2(16) of the Companies Act, 2014 defines charges to mean interest or lien created on the property or assets of a company or any of its undertakings or both as security and includes a mortgage. 

Although the companies act, 2013 includes mortgages in the definition of the charges but charges are different from mortgages. Typically, a mortgage creates an ownership interest over the security used for the loan, but a charge only creates rights to the lender over the security. But the Transfer of Property Act distinguishes charge from mortgage and rather connects them in its definition. 

According to Section 100 of the Transfer of Property Act, 1882, where an immovable property of one person is by an act of parties or operation of law made security for the payment of money to another and the transaction does not amount to a mortgage, the latter person is said to have a charge on the property, and all the provisions which apply to a simple mortgage shall, so far as may be, apply to such charge.

The definition of charges in the TP Act is only to provide clarity upon transfer of rights in case of Charges are not deemed to be a transfer at all under the TP Act. This is because the only right transferred under charges is security or assurance for the repayment of the loan amount. Whereas in the Companies Act, 2013 the scope of Charges is much wider and clear as it solely deals with defining charges and imposing the statutory regulations in the event of creating the charges. 

Need of creating a Charge over the assets

For every transaction a corporate entity makes, they need funds. The sources of funds could be capital or borrowings to finance the project. The borrowings may include debentures, either secured or unsecured, or taking up loans from financial institutions.

Consequently, any financial institution wouldn’t lend its money without having an assurance that the money would be paid back. This assurance by the entity seeking to borrow funds could be only given through the collaterals of some assets etc, which are given for security. Now if the ownership rights are created over the assets, then it would be difficult for the entity to work in the same manner as the lender would be deemed over the asset. But creating a charge makes this simpler for the borrower as all the operations could still be continued because instead of creating ownership rights other rights are created for the lender.

A charge could also turn out to be an important source of funding as there could be a creation of the same subsequently to the same assets. Hence, financial aid could be taken upon providing already charged assets again. However, this is subjected to the consent of the earlier lender. If the earlier financing institution denies creating the subsequent charge, no subsequent charge shall be created.  

Kinds of Charges 

There are generally two kinds of charges which are created over the assets by the entities. They are as follows:

Fixed charges

These charges are created against specific property which is identifiable and certain and doesn’t change over time or through the period of the loan.

Floating charge

These charges are not created against a specific property that could be identifiable in nature. Generally, the assets over which floating charges are created are uncertain. 

For Example, Tony Stark being the owner of Stark Industries India Ltd wants financial assistance to continue his research in futuristic technology. He wants to create a charge upon the assets rather than mortgaging as the assets would be involved in the R&D process. if he creates charges upon the Iron Man Suits then as the worth is known he would be creating a fixed charge. If he creates charges upon the stocks such as stark international, the value keeps changing (given all the factors involved) hence, the charge created upon the stocks would be a floating charge. 

insolvency

Registration of a Charge

Based on the above example, if Mr. Stark wishes to create a charge over the assets of Stark Industries India Ltd., he has to get it registered under section 77 of the Companies Act, 2013.  

Duty to register

According to Section 77(1) of the Act, It shall be the duty of every company to create a charge within or outside India, on its property or assets or any of its undertakings, whether tangible or otherwise, and situated in or outside India, to register the particulars of the charge signed by the company and the charge-holder together with the instruments, if any, creating such charge in such form, on payment of such fees and in such manner as may be prescribed, with the Registrar within thirty days of its creation 

In simple terms, the above section imposes a duty upon the entity creating charge to register the particulars which were signed/attested by the entity and the lender along with filling up the prescribed forms and prescribed fees.  

The category of the charges has also been given in the provision, it states that every charge shall be registered either created within or outside India. The charge created over any property or undertakings of the entity irrespective of being tangible or intangible is mandated to be registered under the Act. The period within which the charge has to be registered is of thirty days.

Under the provision there is an extension to the period of thirty days, it could be to the extent of 300 days (if the charge was formed before the 2nd November 2018) or 60 days (if it was formed after the 2nd November 2018). If the delay persists and the entity fails to register before the above period then according to section 87 of the Act, the entity could seek an extension through the Central Government itself. But such extension is subjected to additional fees and no rights shall be affected regarding the property due to the delay.

Application of registration by the charge-holder/lender

As per Section 78 of the Act, in the event of the entity failing to register the charge within the specified period, the lender in whose favor the charge is created can apply to register. The registrar seeks the reasoning for the failure of registration at the earliest and the lender is entitled to recover the amount paid for any ordinary or additional fees and such entity has to give the expenditure incurred by the lender for such registration of charges.

Certificate of registration of Charge

The certificate of Registration of Charge is issued by ROC (Registrar of Companies) in the prescribed format. The certificate is only issued until after Roc is satisfied that the charges created are legible and in case of delay the reasoning given is acceptable or not. All the factors are considered and only then the certificate is issued and such charge shall be deemed to be registered under the Act. This certificate is also to be considered conclusive evidence. 

Modification of Charge 

If the entity makes any modifications to the charged assets as to its terms and conditions or the extent of the property (acquisition of property subject to the charge) or its operations, then section 79 of the Act makes it a mandatory requirement for the entity to register all such modifications under the prescribed form. Registration of such modification is required to be made within 30 days. The process of registering a modification is the same as that of the registration of the creation. The person acquiring the property/asset is deemed to have knowledge/notice of the charge being created over the property (u/s 80 of the Act). 

Register of Charges

As per Section 81 of the Act, the registrar is bound to maintain a register of the Charges. Such a register would be containing the particulars of the Charges in respect of every entity (which created any such charge and was issued the certificate of registration). The register is open to inspection subject to the payment of a prescribed fee for each inspection. This section makes it clear that a charge created is a matter of public knowledge and would be available to anyone who seeks it. 

Subsequently, as per section 85, the company/entity is also mandated to maintain a register at its registered office. The register shall include all the kinds of charges created by it, the period for which the charges were created, a modification made to the charges, and the particulars of such charges. The entries made in the register are required to be authenticated by the director or any other key managerial personnel authorized by the Board. This register has to be kept safe and the relevant instruments must be held good for eight years. Even this register is open to inspection subject to the reasonable restriction prescribed under the articles of the company.

Satisfaction of Charges

When the company repays its loan completely to the lender and consequently the assets provided as security will be released from the charge then it is known as the satisfaction of the charges. The act mandates the entity to inform the registrar about the satisfaction of the charges. In simple words, the satisfaction of charges is done when the transactions related to the charges are completed.

Effects of registration

If a charge is registered it comes along with its perks be it either to the charge holder or the entity creating the charge. The certificate issued acts as proof to the public that there has been a charge created over the property and the charge holder holds good interest in the same. As said earlier the certificate also acts as conclusive proof that the charge over the property is registered and no one can question the same. Besides, a company registering its charges under the act shall not have to face the consequences of non-registration. If the charge is not registered then;

  1. The Charge shall be void.
  2. The creditors can’t claim any benefits over the charged property (but could be eligible to recover their dues).
  3. The penalty for contravention is a fine prescribed under the act and might also be imprisoned. 

Important forms under the rules prescribed for the registration of charges

CHG-1 – application for registration of charge 

CHG-2 – certificate of registration by ROC 

CHG-3 – certificate of registration (if modifications are made to the charge)

CHG-4 – All the relevant particulars(documentations) for the charge

CHG-5 – Memorandum as to the charges being created

CHG-6 – Notice of appointment or termination of the manager of such charge

CHG-7 – Register of Charge (to be maintained by the entity)

CHG-8 – Application for extension of the specified period to the Central Government

CHG-9 – Modifying or converting the Charge into Debentures 

CHG-10 – Application for the delay to the registrar

Conclusion

From the above text, it is safe to conclude that the right of reassurance is created by way of creating a charge upon property or asset. The lender, rather than being left with the collaterals, is also given rights over the property so as for the repayment of the loan amount. Although the concept of Mortgage has different charges but it is clear from the Act that mortgage shall also be applicable to all the compliances to which charges are applicable to. Though the process of registration and modifications to the charges are sophisticated, it becomes worthwhile by making the charges valid which results in saving the entity from the repercussions of non-registration. 

Reference


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How to file a defamation case in India

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This article is written by Monesh Mehndiratta, a student of BA LLB, Graphic Era Hill University, Dehradun. This article explains defamation as a civil wrong and a criminal offence. It further gives exceptions to it and explains the procedure to file a defamation case in India. 

It has been published by Rachit Garg.

Introduction

The law provides protection to an individual’s life, property, and reputation. Even Section 11 of the Indian Penal Code, 1860 defines injury as “harm to a person’s body, mind, reputation, and property”. It has imbibed in it, the safeguard to protect a person’s reputation by providing punishment for the offence of defamation. Defamation is both a crime made punishable under Section 499 IPC and, a civil wrong given in the law of torts. One of the recent cases of defamation that has grabbed the attention of people all over the world is the case of Johnny Depp and Amber Heard. Johnny Depp sued Amber Heard for defamation for an allegation that she published in the Washington Post in 2018. The case is under trial and the judgement is yet to come. 

The article deals with defamation, its essentials and types of defamation, along with exceptions. It further explains the procedure for filing a defamation case in the country as a criminal case and a civil suit.

Defamation

It is an injury to a person’s reputation. The law of defamation, like in common law countries, is uncodified in India and is largely dependent on case laws and precedents.

Types of defamation

English law divides defamation under 2 heads, these are:

Slander  

It means the publication of a defamatory statement in the transient form. For example, anything that is spoken or the gestures harming the reputation of the person. It was held in the case of Hirabai Jehangir v. Dinshaw Edulji (1932) that when remarks are made on the chastity of women, there is no need for special damages to be proved.

Libel 

It means any kind of representation in permanent form. For example, something that is written, printed or picturized. In the case of D.P. Chaudhary v. Manjulata (1997), a 17-year old girl who belonged to a middle-class educated family and was a student of B.A. was defamed by a publication in a local newspaper that she ran away with a boy named Kamlesh. Though the news was false and fabricated, she had to face repercussions as a result of such publication. When she filed a case against the local newspaper, she was entitled to compensation of Rs. 10,000/-. 

In the case of Youssoupoff v. M.G.M. Pictures Ltd. (1934), it was held that not only the photographic part of a film but also the speech in it is seen as libel.

Difference between libel and slander

Under the English law, libel and slander have been differentiated as:

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  • Libel is addressed only to the eye, but slander is addressed to the ear.
  • Under criminal law, only libel is made punishable and slander is no offence. 
  • Under the law of torts, slander is only actionable in cases of special damages, but libel is actionable per se.

Indian law – Criminal law in India does not differentiate between libel and slander, unlike English law. Both are offences and punishable under Section499 of IPC. Also, both are actionable per se in the country.

Essentials of Defamation

The statement must be defamatory

Any statement which makes a person subject to humiliation, disrespect, or contempt is considered to be defamatory. In the case of Ram Jethmalani v. Subramaniam Swamy (2006), the defendant during the proceedings said in written proof that the plaintiff had received money from the LTTE, which is a  banned organization. It was found that the statement was defamatory and the defendant exceeded the privilege, gave evidence of evil intention and was held liable.

In another case of South Indian Railway Co. v. Ramakrishna (1890), the guard went to a carriage to check the tickets and, while checking, made remarks to a person that he suspected of travelling illegally. The person produced the ticket and later sued the railway company for defamation. The court held that the statement was bonafide and made under circumstances that did not amount to defamation.

The statement must refer to the plaintiff

It is necessary for defamation to be proved that the statement was made to the person filing the suit. The intention is immaterial whether the person wanted to defame or not. In the case of Newstead v. London Express Newspapers Ltd. (1939), an article was published that “Harold Newstead, who is a Camberwell man,” is convicted of bigamy. The suit was filed by another person with the same name who was a barber. It was held that the article did not provide complete information as a result of which it was seen as referring to the plaintiff and they were held liable.

It should also be noted that when the words are used for a class of persons or a group, no one as an individual can claim damages for defamation until and unless it is proven that the words referred to him. 

The statement must be published 

It means that the defamatory statement must also be known to some other person other than the person it is referring to, only then any civil action can be taken against that person. In the case of Mahendra Ram v. Harnandan Prasad (1958), the defendant had sent a letter written in Urdu to the plaintiff, who did not know how to read it. He asked another person to read it and found that it contained some defamatory statements. It was held that the defendant will not be held liable for defamation unless it is proved that he knew that the plaintiff did not know how to read Urdu. 

Defences 

The various defences which do not amount to defamation are:

  1. A statement which is true or can be justified,
  2. Fair comment in the public interest
  3. Privileges, which are further of the following types: 
    • Absolute privilege
      1. Parliamentary proceedings
      2. Judicial proceedings
      3. State communications
    • Qualified privilege
      1. A statement made in discharge of duty
      2. Without malice

Filing of a civil suit

A person whose reputation has been harmed by another person can either file a civil suit or initiate a criminal proceeding against the person. A person can file a civil suit under Section 19 of the Civil Procedure Code, 1908 (CPC) which includes within it any civil wrong done to a person. However, it does not mention the word defamation, but as mentioned under the law of tort, defamation is a civil wrong where the personal rights of an individual are infringed. It is a well-known fact that the law of torts is not a codified law in India, and as such, there is no specified procedure to file a civil suit for damages. The judge decides the compensation on the grounds of equity, justice, and good conscience,  mostly depending on the precedents having similar facts and circumstances. Thus, the procedure for filing a civil suit is as follows:

  • Order 7 of CPC mentions the filing of a civil suit and so a suit for defamation can be filed under this. 
  • The complaint can also be filed under Section 200 of the Code of Criminal Procedure, 1973
  • In civil cases, the parties to the suit are the plaintiff and the defendant. 
  • The cases that are of civil nature, must be filed in the civil courts. 

Procedure 

The procedure followed in civil suits is as follows:

  • A written complaint or a plaint is filed in the court which includes the name of the court, nature, name and address of parties involved, and a declaration by the plaintiff that all the information is correct. 
  • A necessary court fee of Rs. 10/-and a procedure fee of Rs. 25/- is paid, which varies from case to case. 
  • The next step is the hearing. On the first day of the hearing, the court decides whether the plaint contains a substantial matter or not. If it does, a written notice is sent to the defendants. The plaintiff is under an obligation to submit the required documents within 7 days of notice:
    • process fee
    • 2 Copies of the plaint 
  • The next stage is the submission of written statements, which are submitted as soon as the notice of the next appearance is received by the parties. It must contain the arguments related to the charges and verification by the defendants. It must be submitted within 30 days of notice, but in exceptional cases, it can extend to 90 days. 
  • Plaintiff is required to file replication, which is his response to the written statement filed by the defendant. At this stage, the pleading is said to be complete.
  • The next step is the framing of issues, which is done by the court. The parties must file the list of witnesses within 15 days. 
  • The parties can either call the parties personally or if the court feels it can issue a  summons to the witness. 
  • On a specified date, the witnesses are cross-examined and the court announces the date of the final hearing. 
  • After the final hearing, the court issues the final order and a certified copy of the order. 
  • The parties to the suit, if they are not satisfied with the order, have other options:
    • Appeal 
    • Reference 
    • Review

Defamation as a criminal offence

The offence of defamation is given under Section 499 IPC. It is necessary for a person who is accused of defamation to prove that the statement was true and was made in good faith for the public at large. The section further mentions that mens rea or the intention of the person making such a statement must be considered. In the case of Scott v. Simpson (1882), defamation was defined as “any false statement about a man and his credits.” The punishment for the offence of defamation is given under Section 500 IPC. 

The Section states that the following persons can be defamed:

  1. Imputation to a deceased person
  2. Any company, association or class of persons
  3. Defamation by innuendo, i.e., any indirect statement
  4. Any statement that harms or lowers the moral or intellectual character of the person and also includes a remark on his caste. 

Ingredients 

The ingredients of Section 499 are:

Publication of any statement against the reputation of a person

Imputation made in the form of

  • Words, whether spoken or written
  • Signs
  • Any representation that is visible

Intention to harm the reputation of the person or the presence of mens rea to defame him. 

Exceptions 

Public interest

The conditions necessary for this exception are:

  1. True statement 
  2. Made for the public good 

Conduct of public servants 

In the case of Purshottam Vijay v. State of Madhya Pradesh (1961), the High Court laid down the requirements necessary for second and third exceptions under the section. 

  1. The facts must be true
  2. Fair comments
  3. Criticism must be made in the interest of the public. 

Reports of court proceedings

This exception provides that if the court proceedings are published, then in such a case, any statement made cannot be treated as defamatory. However, it is necessary that the proceeding be published continuously as held in the case of Ananda Prasad v. Manotosan Roy (1953)

Conduct of witnesses and merits of public performance

It means that the conduct of any person in any court proceeding is not defamatory and the literary criticism of public performances or the opinions on art, painting, literature, etc. does not amount to defamation. 

Censure passed in good faith

The following acts of censure are included under this:

  • Censure of conduct of any witness or officer by the judge
  • A person under the head of the department
  • A schoolmaster who derived authority from the censure of the parents
  • Censure of a servant by the master 
  • Censure of the cashier by the bank

Accusation in good faith

Any allegation made against any authorised person who acted in good faith comes under the exception to the offence of defamation. However, it is not necessary to prove that the statements or allegations were true. 

Caution conveyed in good faith

Such caution must be exercised for the good of the person to whom it is addressed. Thus, the intention of the person conveying caution needs to be proved. 

Filing of criminal proceedings 

If a person wants to file criminal proceedings against a person who tried to defame him, he can file a complaint. The accused will be charged under Section 499 of IPC. As soon as the officers receive the complaint and permission from the magistrate, they will start the investigation under Section 156 of the Code of Criminal Procedure, 1973. The magistrate, after the accused has been produced before him, will start the trial and, based on evidence and arguments from both sides, will give punishment to the accused. The punishment for the offence of defamation is given under Section 500 IPC, which is simple imprisonment for 2 years or a fine or both. The offence is non-cognizable, bailable, and triable by the Sessions Court. 

Procedure

  • A complaint is filed to the police officer who mentions all the details in a book or diary authorized by the State Government in the case of a non-cognizable offence. 
  • The complaint is further sent to the magistrate, with whose permission, the officers proceed with the investigation. 
  • The complainant has a right to follow up on the investigation process. He can also file a complaint directly to the magistrate if police officers do not act properly. 
  • A magistrate, on being satisfied, can issue a notice to the accused to appear before the court and start the proceedings. 
  • If he is not satisfied that the case contains the substance, he may ask the police officer to conduct a proper inquiry. If he is satisfied, he will summon the accused and continue the trial procedure. 
  • The evidence is produced and, after that, the police file the final report with the magistrate, which also means that the investigation has been completed. 
  • The two types of final reports are:
    • Closer report – it reveals that there is no evidence against the said charges and the magistrate, based on this report, either closes the case or orders further investigation. 
    • Chargesheet – it contains brief facts, a copy of the FIR, Panchanamas, a list of witnesses, seizures, etc., which helps the magistrate to believe that the case is genuine and contains substance. 
  • After the charge sheet has been filed, the prosecution takes cognizance of the case and issues a warrant to the accused as per the provisions of the Criminal Procedure Code, 1973. (Section 190)
  • If the case is not made out in the first hearing, the accused is discharged under Section 227 of the code. 
  • If he pleads guilty, he is directly convicted under Section 229 of the Code or else the trial is continued. 
  • The next stage is when the prosecution produces the witnesses and their cross-examination. At any stage during the trial, if the judge thinks he can examine the accused as per Section 313 of the Code. 
  • After the prosecution, the defence lawyer presents his witnesses and both parties argue. On the basis of arguments, the judge decides whether the accused must be convicted or acquitted. 

Defamation cases against celebrities

The life of a celebrity is not hidden from the public. From what they wear to what they eat, everything is reported to the people. Here are some famous cases of defamation which involved celebrities:  

  1. Recently, a defamation suit was filed by celebrity Shilpa Shetty in 2021 against the  media personnel where she accused them of destroying her image and reputation after her husband was accused and arrested for creating derogatory content (pornography). She requested the court to order the media to delete all such articles and issue a written apology. On this the court remarked that such an order would affect the media, curtail their rights and have a “chilling effect” on them. 
  2. Another such instance of defamation is when the famous Akshay Kumar filed a defamation case against a Youtuber, asking to pay Rs. 500 crore as damages to him. The content creator was alleged to have defamed Akshay during Sushant Singh Rajput’s case. 
  3. A famous instance of defamation witnessed by the country was when lyricist Javed Akhtar filed a criminal case of defamation against actress Kangana Ranaut for her comments during her interview with a TV channel. He asked for the punishment as she used his name in the death case of Sushant Singh Rajput. 
  4. When actress Payal Gosh used the name of actress Richa Chadha in a derogatory way during a fight with Anurag Kashyap in the Metoo movement, she filed a defamation suit against her. The case was settled between the two after Payal Gosh gave a public apology for the same. 
  5. Another famous defamation case which grabbed the attention of the public was the defamation case filed by actor Salman Khan during his trial in the Blackbuck case against a news channel and asked to pay Rs 100 crores as damages in the High Court of Bombay. He also asked the court to order the channel not to publicize the sting operation done by them as it would ruin his reputation. 
  6. Even the filmmakers have filed defamation cases against each other. Mahesh Bhatt and his brother filed a defamation suit against an actor for making false and fabricated allegations against both of them in the Bombay High Court and asked for Rs 1 crore as damages. 

Landmark judgements on defamation 

Knupffer v. London Express Newspaper Ltd. (1944)

Facts

In this case, the appellant was one of the members of a party. Out of 2000 members, 24 members including him, were in England. The respondents published a defamatory article making a reference to the party. But the appellant took it as if the article referred to him and filed a defamation case against the publication agency. 

Issue

Whether the respondents are liable for defamation 

Judgement

It was held that when an article refers to a large number of people or a class of people, it cannot be taken as referring to one particular person. The reason being that in such a case, it is very difficult to prove whether the defamatory sentence was referred to the appellant or not. Thus, the respondents were not held liable. 

T.V. Rama Subba Iyer v. A.M.A Mohindeen

Facts

In this case, the defendants published a news headline in their newspaper that a person was exporting scented agarbattis to Ceylon (present day Sri Lanka) and had smuggled drugs in the name of agarbathis. It further stated that the person resided in Tirunelveli and has been arrested. The plaintiff from the same place as mentioned had a business of scented agarbattis and exported it to Ceylon. As a result of this publication he suffered a loss in the business and filed a suit of defamation against the defendant. The defendants pleaded that they did not have any intention to defame him and also corrected the news article the next day stating that the article did not refer to the plaintiff. 

Issue 

Whether there is any liability in India for a defamatory statement published without the intention to defame a person.

Judgement

The Court while delivering the judgement referred to the case of Hulton and Co. v. Jones and held that in India there is no liability  for the statements that are published innocently and thus, they were not held liable. 

Cassidy v. Daily Mirror Newspapers Ltd. (1929)

Facts 

In this case, Mr. Cassidy also at times called Mr. Corrigan was married to a lady who was his lawful wife but did not live with him. The defendants published in their newspaper that “Mr. Corrigan, the owner of the race course and Miss ‘X’s engagement has been announced”. The lady or the wife of Mr. Corrigan sued the defendants for libel stating that the innuendo  was that Mr. Corrigan was not her husband and he had immoral cohabitation with her. It was also shown that some of their friends formed a bad opinion because of such a publication. 

Issues

Whether the defendants will be held liable for the defamation.

Judgement

The jury found that the meaning of the statement was defamatory and held that innuendo was established. The defendants were not given any defence of innocence and were held liable. 

Ram Jethmalani v. Subramanian Swamy (2006)

Facts

In this case, a commission was set up to enquire about the facts relating to assassination of Late Shri Rajiv Gandhi. The defendant in a press conference said that the CM of Tamil Nadu had prior information regarding the same. The plaintiff was appointed as the senior counsel to the then Chief Minister as a result of which he cross-examined the defendant. During the proceeding, the defendant made a written submission stating that the plaintiff had taken money from LTTE which is a banned organization. This statement appeared defamatory and the plaintiff filed the suit for the same. 

Issue 

Whether the defendant is liable for defamation?

Judgement

The Court held that the statement made for the plaintiff is irrelevant and not connected to the case. This showed malice on the part of the defendant and he was held liable for defamation and the Court awarded Rs. 5 lacs as damages to the plaintiff. 

Conclusion 

Defamation is a civil wrong where the individual rights of a person are infringed. The remedy for defamation can either be a civil remedy where damages will be paid to the plaintiff or criminal punishment where the accused will be punished with simple imprisonment up to 2 years or a  fine or both. The complaint regarding defamation can be filed to the magistrate who will direct the police officers to initiate the investigation and then the criminal trial will start. For a civil suit, the plaint must be filed by the plaintiff in the civil court under Section 19, CPC. This way a defamation case can be filed in the country. 

Frequently Asked Questions (FAQs)

Where is defamation defined under IPC?

The offence of defamation is given under Section 499 whose punishment is given under Section 500 of the IPC

What are the ingredients of Section 499 IPC?

The ingredients to Section 499 are:

Publication of any statement against the reputation of a person

Imputation made in the form of:

  • Words whether spoken or written
  • Signs
  • Any representation which is visible

Intention to harm the reputation of the person or the presence of mens rea to defame him. 

Is defamation a civil wrong?

Defamation is a civil wrong where the individual rights of a person are infringed. However, in India, a person can either file a civil suit against the person for defamation or initiate the criminal proceedings by filing a complaint as the remedy to defamation. 

What are the defences to defamation as a civil wrong?

The defences are:

  1. Justification or true statement
  2. Fair comment
  3. Absolute and qualified privileges. 

5. Who all can be defamed as per Section 499 of the Indian Penal Code?

The Section states that the following persons can be defamed:

  1. Imputation to a deceased person.
  2. Any company, association or class of persons.
  3. Defamation by innuendo, i.e., any indirect statement.
  4. Any statement that harms or lowers the moral or intellectual character of the person and also includes a remark on his caste.

References 


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Section 34 of Arbitration and Conciliation Act, 1996

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This article has been written by Hemant Bohra of Lovely Professional University, Punjab. This article discusses in detail the provision of Section 34 of the Arbitration and Conciliation Act, 1996 which includes the grounds to challenge an award, limitation of time, judicial intervention, and more with relevant case laws.

It has been published by Rachit Garg.

Introduction

In the 1990s, India made significant changes to its arbitration legislation, such as the change in the time period for concluding an arbitration proceeding, i.e., 12 months, and the disqualification of foreign arbitrators. The primary reason was that prior to arbitration, legislation was deemed to be highly problematic, resulting in unnecessary delay and expenditure. As a result, new and efficient dispute resolution regulations were required, and the Arbitration and Conciliation Act of 1996 was enacted.

Arbitration is a method of resolving commercial disputes outside of the court to reduce the burden of the case on them. International trade arbitration is favored because enforcing a foreign arbitral verdict is easier than enforcing a court judgment. However, if a claimant’s claim is unsuccessful, an arbitral award can be non-pecuniary, as neither party is required to pay any money to the other. This article gives a detailed analysis of Section 34 of the Arbitration Act and every provision related to it that a reader needs to know.

Section 34 of Arbitration and Conciliation Act, 1996

Article 34 of UNCITRAL (United Nations Commission on International Trade Law) Model Law and Section 30 of the Arbitration Act 1940 are both referenced in Section 34 of the 1996 Act as they both talk about setting aside an arbitral award. Section 34 of the Arbitration and Conciliation Act of 1996 specifies grounds for challenging an arbitral award rendered under Section 31. However, the challenge to an award under Section 34 is subject to certain limitations, such as the fact that it may only be contested within three months of receiving the award, which can be extended for another 30 days.

In Municipal Corp. of Greater Mumbai v. Prestress Products (India) (2003), the court held that the new Act (1996) was enacted with the explicit Parliamentary goal of limiting judicial participation and by which the scope of a prospective challenge to an award is greatly reduced under Section 34.

What is an Arbitral Award

An arbitral award is a decision made by an arbitration tribunal in an arbitration proceeding that is believed to be equivalent to a court of law’s judgment concerning certain exceptions. The award may provide the parties with a number of remedies, including money, consent, injunctions, and other remedies. Depending on the nature of the dispute, the award may be interim, partial, or final.

Furthermore, under Section 31 of the Arbitration and Conciliation Act of 1996, the arbitral award must include the reasons for its decision unless the parties have agreed that no reasons should be given or the ruling is an arbitral award on agreed conditions under Section 30.

Conditions in which an arbitral award can be set aside

Section 34(2)(a) and Section 34(2)(b) of the Arbitration and Conciliation Act, 1996 provide several grounds on account of which the Court can set aside the arbitral award, which are as follows:

  1. Incapacity of the party

If any of the parties is under the age of majority or is a minor, they are not obligated to follow any agreement in place. As a result, the agreement becomes void, and any award made in such a case may be revoked by the court. For example, a woman who is infected with schizophrenia, a psychotic disorder, can through her representative, apply for an award to be set aside.

The incompetent person can, however, apply to the court for the appointment of a guardian for arbitral proceedings under Section 9 of the arbitration act and, after that, the ground for incapacity of the party will cease to exist.

  1. Agreement is not valid

In order for a contract to be enforceable, all of its essential elements must be met. If the contract is illegal, the arbitration agreement will be declared void as well, and the arbitral award can be revoked. In Adarsh Kumar Khera v. Kewal Kishan Khera, 2007, the arbitral award was set aside since it was made without giving the parties a chance to be heard, it was deemed void, and both parties wanted it overturned.

  1. Other party was not notified

Arbitral award shall be revoked if the party filing the application was not provided with an advance notice of the arbitrator’s appointment or the arbitral procedures or was otherwise unable to submit his case.

In AKM Enterprises Pvt. Ltd. v. Ahluwalia Contract (India) Ltd. (2016), an arbitral award was set aside on the basis that the Arbitrator wouldn’t arbitrate upon a counter case of the applicant on merits on the ground that no notification had been given preceding the subject assertion and hence the council didn’t have ward to engage something very similar, which is in opposition to the settled place of regulation that reason for the counter case is to limit assortment of procedures and that in such cases the court would have the purview to arbitrate upon them even without an earlier notification.

  1. Subject matter beyond the arbitration clause

The arbitral award will be challenged if it deals with an issue that is not addressed by the arbitration agreement or contains decisions on subjects that are outside the scope of the arbitration agreement. Also, if the judgments on items submitted to arbitration can be differentiated from those not so submitted, only that portion of the arbitral award, including decisions on subjects not submitted to arbitration, may be set aside.

In India Yamaha Motor Pvt. Ltd. v. Divya Ashish Jamwal 2019, the arbitral award was set aside because it was issued in violation of the contract’s provisions, without taking into account relevant evidence on file, and based on assumptions. Further, in Rulia Mal Amarchand v. Hindustan Petroleum Corporation Ltd. 2019, it was held that the arbitrator should have limited himself to the problems and agreement that had been presented for arbitration.

  1. Composition of arbitral tribunal not as per contract

If the arbitrator is not appointed in accordance with the provisions of the agreement or by the parties, or if any other administrative aspect of the agreement that was determined earlier by the parties has not been fully implemented, the aggrieved party may seek to have the award set aside in court.

In Bharat Sanchar Nigam Ltd. v. Maharashtra Knowledge Corporation Ltd. (2019), the award was partially set aside because the arbitrator failed to examine important information while making his decision on the account of which the Arbitral Tribunal was formed and this resulted in the breach of terms of the contract.

Apart from the above grounds, there are a few other grounds that the court may use to set aside an arbitral award as mentioned under Section 34(2)(b) of the Arbitration and Conciliation Act, 1996 if the court finds that:

  • Subject matter is of any other act/law – If the subject matter is related to some other law and not Arbitration Act, an arbitral award can be challenged.
  • Not adhered to Public Policy of India – If the arbitral award is in conflict with the Public Policy of India, then the court can set it aside.  In Steel Authority of India Ltd. v. Primetals Technologies (2020), the award was partially set aside as being against public policy because an extraordinarily high-interest rate of 14 percent per annum was given without any justification in comparison to current interest rates. Furthermore, the high interest rate looked to be punitive in character given the circumstances. As a result, the interest rate was cut to 10% per year.

Conditions in which an arbitral award cannot be set aside

Section 34 (3) of the Arbitration and Conciliation Act, 1996 talks about limitations in which an arbitral award cannot be set aside, which are as follows:

Application filed after three months of when the award was received

The Court will not consider an application to set aside an award if it is filed after three months have passed since the applicant received the arbitral award, according to Section 34(3). The caveat to this section further states that if the Court is convinced that the applicant was prevented from making the application within the necessary time by sufficient reason, the Court may hear the application for an additional 30 days but not beyond.

Erroneous application of law or misappreciation of evidence

In Haryana Urban Development Authority v. M/S Mehta Construction Company (2022), the supreme court held while quashing aside the judgment of Punjab and Haryana High Court that an arbitral award cannot be set aside simply because of erroneous application of law or misappreciation of evidence.

Rationale behind the award

Section 31(3) of the Arbitration Act states that the award must be a reasoned award unless the parties stated in their agreement that there was no need for reasons, or if it is an award made on agreed conditions under section 30 of the Act.

The court in Praveen Diwan and Others v. Himachal Pradesh Agro Industries Corporation Ltd., (2017) while setting aside the ruling under Sudarshan Trading Company v. Government of Kerala, (1989), held that the award cannot be set aside on the ground that it is not a speaking award.

Public Policy of India

The Court concluded in Oil & Natural Gas Corporation Ltd. v. SAW Pipes Ltd., 2003, that in the instance of an application under Section 34 to set aside an award, the Court’s position was seen to be that of an appellate/revision court, giving it broad powers. Furthermore, it was mentioned that the term “public policy” refers to something that concerns the public benefit and interest. However, the award cannot be argued to be in the public interest because it is patently in breach of legislative prohibitions. The administration of justice is likely to be harmed by such an award or decision.

In Mohan Steels Ltd. v. Steel Authority of India (SAIL), (2017), the court set aside the arbitral award because the Arbitrator construed the contract based on circumstances unrelated to contract terms by relying on Regulator’s notifications, which were first brought on record after the parties’ closing arguments. Even while it was clearly denied in its statement of claims, this was done without giving the petitioner a chance to refute its application to the case.

Limitation of time under Section 34 of Arbitration and Conciliation Act

The aggrieved party must request for the arbitration award to be set aside within three months after the date of the award, according to Section 34(3) of the Arbitration Act. If the applicant can demonstrate to the court that there was sufficient cause that prevented him from filing the application, the three-month timeframe might be extended for another 30 days. After “three months,” the time limit under Section 34(3) expires. The rule of thumb for constructing this time is to regard it as a calendar month rather than a 90-day span. As a result, the period would end in the third month, on the date that corresponds to the commencement date.

The Supreme Court decided in the case of Union of India v. Tecco Trichy Engineers & Contractors, (2005) that the statute of limitations for filing an application under Section 34 would begin only after a valid delivery of the judgment was made under Section 31(5) of the Arbitration Act.

In the case of State of Maharashtra v. M/S. Ark Builders Pvt. Ltd., (2011), the Supreme Court declared that Section 31(1) required arbitral tribunal members to make their awards in writing and sign them. It was held that Section 31’s sub-section (5) required the transmission of a copy of the award signed by the arbitrator’s members, not just any copy of the award. The Court further said that if Section 31(5) and Section 34(3) were read together, the time of limitation for submitting objections would begin only after the signed copy of the award was submitted to the party bringing the motion for setting aside the award.

Furthermore, according to Section 34(6) of the Arbitration Act, imposes a one-year deadline for disposing of the application from the notice period. The purpose of enacting this clause is to encourage the quick resolution of conflicts, given the large number of cases that arise in commercial arbitration. However, in the case of The State of Bihar & Ors. Vs. Bihar Rajya Bhumi Vikas Bank Samiti, (2018), the Supreme Court has reached the judgment that the revised sections are advisory rather than mandatory, based on various earlier precedents. The character of the revised clauses was determined by looking at these examples.

Can a court modify or alter the arbitral awards

new legal draft

The arbitral award can only be set aside by Section 34, and the findings in the arbitral judgment cannot be changed or modified. In the case of Project Director, National Highway Authority of India v. M. Hakeem & Anr., (2021), a division bench comprising Justice R.F. Nariman and Justice B.R. Gavai of the Supreme Court of India decided in favor of minimum judicial intervention, declaring that courts cannot amend, revise, or alter an arbitral judgment under Section 34 of the Arbitration Act. However, under Article 142 of the Constitution of India, the Court has allowed awards to be modified in the interest of comprehensive justice which clearly states that the court hasn’t retreated in altering the award but is giving respect to Section 34 by representing minimum judicial involvement.

It is important to keep in mind that India is not the only country where there are disputes and issues around award alteration. If a challenge is raised on a substantive issue or an appeal is filed on a matter of law in England, courts have the jurisdiction to change the decision under the English Arbitration Act, 1996.

The Arbitration Act, on the other hand, has no provision for partial annulment of arbitral judgments. As a result, it is appropriate to modify or change the arbitral award in part by putting it aside in part.

Reliability of Arbitral Award and Judicial Intervention

An arbitration award is comparable to a court verdict as it is binding on the parties and is crucial in that it aids in the resolution of the dispute between them. The most important factor in deciding to challenge an arbitration judgment is whether the arbitration decision is binding or not. If the arbitration is ineffectual and non-binding, any party or parties may appeal the award without a reasonable basis for doing so. If the arbitration is binding, however, the party or parties must have a compelling basis to dispute the award in court, just as they would in a jury trial.

A number of decisions have stated that provisions for setting aside an arbitral decision should never be entertained. Nobody should be given the right to doubt the ability of the arbitrators to conclude a matter. Whether the arbitrator’s ruling is in their best interests or not, the parties should follow it. In Eastern and North East Frontier Railway Cooperative Bank Ltd. v. B. Guha and Co., (1986), it was held that even if the arbitrator has made a mistake, the court cannot reexamine the evidence.

Arbitration is a consensual agreement in which parties agree to accept the arbitrator’s judgment, even if it is incorrect, as long as the arbitrator follows proper processes. As a result, courts cannot interfere with the enforcement of an award based on a legal or factual error, as was decided in Rajasthan State Mines and Minerals Ltd. v. Eastern Engineering Enterprise, (1999). If the courts are given the power to review based on a legal or factual error, then it will again create the problem of the burden of cases on courts of which at the first place and as a primary aim the Arbitration tribunal was established.

However, the Arbitration Act allows the court to hear any such applications for intervention in arbitration cases if the court is convinced that the applicant party does not have a copy of the arbitration agreement and will not be able to get one in the normal course of the arbitration procedure.

Section 34(4) of Arbitration and Conciliation Act, 1996

Section 34(4) of the Arbitration Act grants authority to the court to adjourn the proceedings for a period of time that is challenging the arbitral award in order to correct the flaws in an arbitral award. The extent of the court’s authority under Section 34(4), on the other hand, can only be fulfilled under certain conditions:

  1. A party must invoke Section 34(4) of the Arbitration Act before the award is set aside under sub-section (1).
  2. If the party does not ask the court to postpone the Section 34 proceedings before the award is formally set aside, the party will be barred from filing an application under Section 34(4) of the Arbitration Act.
  3. A party to the arbitration proceedings must submit a written application under Section 34(4) of the Arbitration Act.
  4. The court cannot exercise its power under Section 34(4) of the Arbitration Act on its own.

In the case of Radha Chemicals vs. Union of India, (2018) the the Supreme court of India held that the position of limitation had not been determined correctly and directed that the matter be remanded to the sole arbitrator to determine the point of limitation all over again. The court further said that a new arbitrator would have to be appointed to re-determine the case.

Conclusion

One should understand that the primary reason for the parties to select arbitration over litigation is to resolve their disputes and obligations quickly through an arbitral. However, most arbitral rules only specify that the award is binding on the parties. The current arbitration rules and regulations represent a suggestion rather than a clear and full legal framework addressing the conclusive effect of an arbitral award.

Arbitration as an institution is still developing, and it has not yet reached the point where it can successfully meet the demands of economic expansion. To effectively execute and achieve the act’s goal, India has to make several revisions to the rules governing the setting aside of arbitral awards, ambiguity in public policy, time limits, and more. However, the intervention of the Judiciary in arbitral awards needs to be reduced to provide the importance and reliance to Arbitration proceedings.

Frequently Asked Questions (FAQs)

What is patently illegal?

Although the term “Patently illegal” is nowhere defined in the Act, in a general sense, it is a ground to set aside an arbitral award if an award is found to be opposed to the substantive provisions of law or the requirements of the Arbitration and Conciliation Act, 1996, or against the terms of the contract.

Does the limitation period for setting aside an award begin on the date of the award or the date of receipt of the award?

The Supreme Court of India held that the limitation period under S.34(3) begins on the day the party, not the lawyer or agent, receives the signed copy of the award.

What is the difference between the partial and final award?

In partial award, some of the issues of the parties’ claim need to be resolved before passing on the verdict but in Final award, all the issues are resolved and the final claim has to be granted while stating the reasons.

References


Students of Lawsikho courses regularly produce writing assignments and work on practical exercises as a part of their coursework and develop themselves in real-life practical skills.

LawSikho has created a telegram group for exchanging legal knowledge, referrals, and various opportunities. You can click on this link and join:

https://t.me/lawyerscommunity

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All about Section 332 IPC

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Section 120A

This article is written by Michael Shriney from the Sathyabama Institute of Science and Technology. This article covers a brief overview of Section 332 of the Indian Penal Code of 1860, including its essentials, procedures, case laws, and differences between Sections 332 and 333 of the IPC.

This article has been published by Sneha Mahawar.

Introduction

The voluntary cause of harm to stop a public servant from his job is covered under Section 332 of the Indian Penal Code of 1860. This Section was popular during the COVID lockdown when there was a rise in attacks against public officials, particularly police and law enforcement officers, who were struggling to ensure the safety of the country’s citizens. People were frustrated by newly enacted laws and began to fight against police nationwide while these public servants were performing their duties. 

During the pandemic, there were several incidents in which people began to harm police officers on duty in various states. Sections 332 and 353 of the IPC are necessary and relevant in the recent times of pandemic to protect the rights of public servants. If the culprit knowingly causes harm to any public servant who is carrying out his duties, he would be charged under Section 332 of the IPC, 1860.

The following article will provide a brief overview of Section 332 of the Code, including relevant case laws and procedures.

Who is a public servant under IPC

To understand Section 332, it is necessary to first understand Section 21A of the IPC. Section 21A of the IPC deals with public servants. They are as follows:

  1. Every commissioned officer in the military is a public servant, both naval and air forces; 
  2. Any judge or other legal authority is referred to as a public servant; 
  3. Any individual officer in a court of justice is a public servant; 
  4. Every juryman, assessor, or member of a panchayat assisting a court of justice; 
  5. Any arbitrator or other person to whom a subject has been referred for investigation or resolution is also included and referred to as a public servant; 
  6. Anyone who is empowered by law to hold a person in confinement is also a public servant; 
  7. Every officer of the government who has the authority to prevent crimes, apprehend wrongdoers, conduct investigations or protect public health, safety or convenience are covered and included as a public servant; 
  8. Any officer set up by the government to execute contracts on the government’s behalf, execute sale deeds or purchases in the government’s name, keep a record of all certified documents, and prevent law infringement. These officials are also regarded as public servants.
  9. A public servant is an officer whose job is on behalf of the government to charge taxes for the benefit of any town, village, or property.
  10. Anyone with the authority to compile, maintain, or update an electoral roll, or to conduct an election or a portion of an election is considered as a public servant; 
  11. Anyone appointed by the government to receive remuneration or commission for performing government tasks or in the service of any government firm under Section 427 of the Companies Act, 2013 is also a public servant.

Section 332 IPC

Section 332 punishes committing voluntary harm or hurt to a public servant in order to deter him from doing his duties.

  • Any person who voluntarily causes harm or hurt in the discharge of any person who is a public servant from his duty; or 
  • Any person whose intention is to prevent or deter that person; or 
  • Any other public servant who is discharging from his duty as a public servant; or 
  • Any person who has done anything or attempted to be done by that person in the lawful discharge of his duty as a public servant.
  • If the above circumstances occur, anybody who intentionally harms a public servant gets a sentence of up to three years in jail, a fine, or both.

Example of Section 332 of the Indian Penal Code: If ‘A’ is a police officer, he is a public servant, and when doing his duties as a police officer, such as during a pandemic, all people are advised not to leave their homes until and unless there is an emergency. ‘A’ is responsible for keeping things under control throughout that period. At this moment, a passerby ‘B’ came out unnecessarily when ‘A’ attempts to examine ‘B’ and then ‘B’ hurts ‘A’, causing bodily harm. In this case, ‘B’ can be charged under Section 332 of the IPC, 1860.

Essential ingredients of Section 332 IPC

The essential ingredients to be satisfied for Section 332 of the IPC are as follows:

  • The public servant must be engaged in discharging his duties; 
  • Harm or injury must be caused to the public servant; 
  • The act must be done with the intent to deter or prevent the public servant from discharging his duty; 
  • In any other case, any person does or attempts to do anything in the lawful discharge of his duty as a public servant.

Evidence required to convict under Section 332 IPC

The evidence necessary to establish an offence under Section 332 of the IPC is:

  1. The accused must voluntarily cause bodily pain, disease, injury, or harm to the victim; 
  2. The victim must be a public servant who has been harmed;
  3. The public servant must be engaged in fulfilling his duties as a public servant at the time of causing harm.
  4. The accused must prevent or deter the public servant from doing his or her duties.
  5. This act must be done intentionally in order for the discharge of his role to occur.

Nature of the offence under Section 322 IPC 

  1. Section 332 offences are cognizable, which implies that the accused can be arrested without a warrant. In these kinds of circumstances, police constables have the authority to arrest anyone who is infringing on the right without a court order.
  2. These offences are also non-bailable, which means that issuing bail is not a matter of right; instead, a person must appear in court, where the judge will decide whether or not to grant bail.
  3. These are non-compoundable offences, meaning the victim is unwilling to accept a compromise and file criminal charges against the accused.
  4. Section 332 of the Indian Penal Code can be tried in a trial court by a Magistrate of First Class. The department of internal security is part of the relevant ministry of home affairs.

Punishment for Section 332 IPC

A breach of Section 332 of the IPC, which deals with punishment for the offence of voluntarily causing harm in order to deter a public worker from doing his duties, can lead to a three-year jail sentence, a fine, or both. Any Magistrate Court can hear this case.

What is the procedure for filing a case under Section 332 IPC

The procedure for filing an offence under Section 332 of the IPC is as follows:

  1. When the crime is a cognizable one, the victim must go to the local police station and register an FIR (First Information Report).
  2. If any evidence relating to the offence committed by the accused is discovered, the police will arrest the accused. If there is no evidence to support the charge, the case will be dismissed.
  3. The charge sheet will be submitted following this procedure, and all evidence collected will be recorded in it.
  4. The case will be heard in court from both sides, a lawyer will be engaged, and a decision will be made.

For more convenience, one can also file under E-FIR. The breach of Section 295 of the IPC is a cognizable offence. The following are the steps to file an E-FIR:

  1. The victim must go to the official website of the local or involved police station.
  2. When the website opens, select the “services” option.
  3. After selecting the services option, a drop-down menu will appear, from which you must select the type of victim’s case.
  4. Once the category is chosen, a new page appears, asking the victim to enter information such as
  • Complainant’s name, 
  • Mother or father’s name, 
  • Complainant’s email address, 
  • Date and place of incident, 
  • Complainant’s phone number, and 
  • any other important details about the case.
  1. Before submitting, double-check all the information and make sure the email address is valid since the FIR will be emailed to that address for future reference.
  2. After submitting the form, the user must verify their submission by entering the captcha code on the form.

The police may undertake an investigation following the FIR procedure, and if there is any substantial proof, the accused may be arrested without a warrant because it is a cognizable offence. If no proof is provided, the case is dismissed. If any serious evidence is discovered, the police create a charge sheet. After the charge sheet is completed, the case is taken to court for a trial, with the prosecution attempting to prove the elements of Section 332, and if successful, the accused may be sentenced to up to two years in jail, a fine, or both, according to the court’s discretion.

Case laws

Rajesh Rai v. the State of Sikkim, (2012)

Facts of the case

In this case, an under-trial prisoner hit a jail warden on the head with a wooden plant. He also beat another warden in order to escape from prison. The accused was a repeat criminal who was also involved in previous offences. The victims suffered severe injuries.

Issues involved in this case

The question was whether an accused should be punished for his offence against a public servant because he was a repeat offender involved in a variety of previous offences and was already imprisoned at the time of the offence.

Judgement of this case

The trial court decided that the judicial discretion to impose the maximum sentence after considering all aspects of the issue. The accused was sentenced to life imprisonment and a fine of Rs.20,000 for the offence committed by him, and if he was in default, he was to suffer for another 6 months, according to the proper judgement of the High Court.

D.S. Saravanan v. State rep. by the deputy superintendent of police, (2018)

Facts of the case

In this case, the victim was an executive officer in charge of Hindu religious and charitable endowments at a temple. His office is in one of the marriage halls linked to the temple where he had been working. The accused was occupying a nearby plot near the temple, and he needed some repairs done to his house. Without the victim’s consent, he began his repairs. The victim became aware of the incident and made a complaint to stop the work. However, the repair work was still continuing. The victim then urged the staff to stop their work. Then  the accused arrived at the victim’s office, he grabbed his shirt, dragged him out, and punched his chest. The police filed an FIR for this offence. The accused was convicted under Section 332 of the Indian Penal Code.

Issues involved in this case

The question arises whether the trial court did not punish the appellant enough for the offence under Section 332 of the IPC.

Judgement of this case

The accused must pay a fine of Rs.1,000/-, as per the Principal District and Sessions Court, and the sentence imposed by the trial court would remain. If the offender is found to be in default, he would be punished with three months in prison under Section 332 of the Indian Penal Code. This was the decision of the High Court of Madras.

Sarvan v. the State, (2020)

Facts of the case

In this case, the complainant was an Air Force Sergeant. He and his wife arrived at the railway station platform, collected his bags, and began walking with his wife. A youngster took the complainant’s wife’s gold necklace and ran away while they were walking. While attempting to catch him, a Railway Protection Force (RPF) officer got stabbed in the hand by the culprit. The constable arrested the robbery culprit and was taken to the police station. A complaint was filed. The accused was found guilty under Section 332 of the IPC. 

Judgement of this case

The Delhi District Court held that the accused is sentenced to 18 months in jail and must pay Rs. 5000/- in compensation to the victim. He would be imprisoned for 15 days if he was found to be in default.

Difference between Section 332 and 333 of IPC

Subject matterSection 332 IPCSection 333 IPC
1.ScopeAny person who voluntarily causes harm or injury to a public servant while performing his duties as a public servant; or Any person who voluntarily causes grievous harm to a public servant while doing his duties as a public servant; or
2.OffenceThis Section deals with a less severe offence.This Section deals with a more severe offence.
3.Nature of offenceThis is a less serious offence that does not lead to grievous hurt.This is a more serious offence that leads to grievous hurt.
4.Penalty processIn comparison to Section 333, this section has a less severe punishment.In comparison to Section 332, this section contains a harsh punishment.
5.Definition SectionSection 319 of the IPC contains the definition of hurt..Section 320 of the IPC contains the definition of grievous hurt
6.PunishmentA penalty under this Section is imprisonment for a term of up to three years, a fine, or both.A penalty under this Section is imprisonment for a term of up to ten years and also liable to a fine.

Conclusion

The article is concluded with a short statement on Section 322 of the Indian Penal Code, which is primarily concerned with public servants and falls under Section 21A of the Indian Penal Code. This section is particularly aimed at safeguarding public workers. If they are attacked or injured, this Section will apply to punish the culprit and protect the public servant. Offenders commit this offence in a violent manner in order to deter or stop public officials from carrying out their duties. This section also includes a penalty of severe imprisonment for a duration of up to three years, as well as a fine or both.

Any Magistrate Court has jurisdiction over this offence. In nature, this is a non-bailable, non-compoundable, and cognizable offence. The proof must be linked to the offence committed by the offender. If there is no evidence against the offender, the case will be dismissed. In this sort of case, evidence is required. There will also be a charge sheet to fill in these details and provide them to the court in order to show the offender’s guilt. There is no necessity for a warrant to arrest the offender; the offender can be arrested without a warrant which is issued by the court.

Frequently asked questions (FAQs)

  1. What offence is defined under Section 332 IPC?

The offence of causing hurt voluntarily to deter a public servant from doing his duties is defined under Section 332 of the IPC.

  1. What is the punishment for Section 332 IPC?

The punishment under Section 332 of the IPC is three years in prison or a fine, or both.

  1. Is Section 332 IPC cognizable offence or a non-cognizable offence?

Section 332 of the Indian Penal Code (IPC) is a cognizable offence.

  1. Is Section 332 IPC a bailable or non-bailable offence?

Section 332 of the Indian Penal Code (IPC) is a non-bailable offence.

  1. In which court can Section 332 IPC be tried?

In the court of Magistrate First Class, Section 332 of the IPC is being prosecuted.

References

https://lawpage.in/criminal_laws/difference_ipc_332_353_18112020


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