Rules 97 explained: this guide covers what it means, who it applies to, the step-by-step process, documents required, fees, due dates and penalties in India — so you can stay compliant with confidence and avoid costly mistakes.
Part XI of the Rules, headed "Maintenance of Registers", is a housekeeping part. It lists the registers the Registry keeps, divides each case record into four files, says what goes in each file, and sets how long records are kept before being weeded out.
The Registry keeps four registers: of petitions, of unnumbered petitions or appeals, of caveats lodged, and of interlocutory applications, posted daily (rule 97). Each case record is divided into four parts: the main file, the miscellaneous application file, the process file and the execution file (rule 98), with contents set by rules 99 to 102. Physical records are preserved for five years after the final order, while the Registry maintains the record of petitions and orders for fifteen years (rule 103). The Record Keeper scrutinises records within three days and prepares an index, and the Registrar weeds out records when the period expires (rule 104). Read as amended up to the National Company Law Tribunal (Amendment) Rules, 2020 (G.S.R. 80(E), 3 February 2020); these rules were not amended. Later amendments should be checked.
Rule 97: registers to be maintained
The following registers are maintained and posted on a day-to-day basis by the Registry by such ministerial officer or officers as the Registrar directs, subject to any order of the President:
- (a) register of petitions;
- (b) register of unnumbered petitions or appeals;
- (c) register of caveats lodged; and
- (d) register of interlocutory applications.
The caveat register ties to the caveat procedure in rule 25; see the article on rules 25 and 26 for the caveat. Registration of a case follows scrutiny under rule 28; see the article on rules 27 to 30 and 63.
Rule 98: arrangement of records in pending matters
The record of an appeal or petition is divided into four parts, collated and maintained as:
- (a) the main file (the petition being kept separately);
- (b) the miscellaneous application file;
- (c) the process file; and
- (d) the execution file.
Rule 99: contents of the main file
The main file is kept in this order and is a permanent record until ordered to be destroyed under the rules: (a) index; (b) order sheet; (c) final order or judgment; (d) memo of appeal or petition with any schedule; (e) counter, reply or objection, if any; (f) evidence: (i) oral evidence or proof of affidavit, (ii) evidence taken on commission and (iii) documentary evidence; and (g) written arguments.
Rule 100: contents of the process file
(a) index; (b) power of attorney or vakalatnama; (c) summons and other processes and affidavits relating to them; (d) applications for summoning witnesses; (e) letters calling records; and (f) all other miscellaneous papers such as postal acknowledgements. For the vakalatnama, see the article on rules 45, 46 and 119 to 124.
Rule 101: execution file
(a) index; (b) the order sheet; (c) the execution application; (d) all processes and papers connected with the execution proceedings; (e) transmission of the order to the civil court, if ordered; and (f) result of execution. The execution application is in Form NCLT-8; see the article on rules 56 and 57.
Rule 102: file for miscellaneous applications
For all miscellaneous applications there may be only one file, with a title page prefixed to it. Immediately after the title page come the diary, the miscellaneous applications, the supporting affidavit, the order sheet and all other documents.
Rule 103: preservation of records
- Rule 103(1). All necessary documents and records relating to petitions or applications dealt with by the Tribunal are stored or maintained as provided in the Rules, and other physical records kept in a record room are preserved for five years after the passing of the final order.
- Rule 103(2). Notwithstanding sub-rule (1), the record of petitions or applications, including orders and directions, is maintained by the Registry for fifteen years after the final order.
The two sub-rules sit side by side: five years for the physical records in the record room, and fifteen years for the record of petitions, applications, orders and directions maintained by the Registry. The Rules do not explain the difference further.
Rule 104: retention, preservation and destruction
- Rule 104(1). The Record Keeper or any other officer designated is responsible for the records consigned to the Record Room. He scrutinises the records received within three days and prepares an index.
- Rule 104(2). On the expiry of the period for preservation under rule 103, the Registrar weeds out the record.
The document that lets a party inspect a file is covered separately; see the article on rules 114 to 118. Parallel provisions for appeals to the NCLAT are in Rules 41 to 47 of the NCLAT Rules. For help with documentation of your own legal records, our compliance documentation team can assist.
File to contents to retention
| File | Rule | Contents | Retention |
|---|---|---|---|
| Main file | 99 | Index, order sheet, final order, petition, reply, evidence, written arguments | Permanent record until ordered destroyed under the rules |
| Process file | 100 | Index, vakalatnama, summons, applications for witnesses, letters calling records, other papers | Physical records: five years after final order (rule 103(1)) |
| Execution file | 101 | Index, order sheet, execution application, processes, transmission, result | Same |
| Miscellaneous file | 102 | One file: title page, diary, applications, affidavit, order sheet | Same |
| Record of petitions and orders | 103(2) | Petitions, applications, orders and directions | Fifteen years after final order |
An example
A petition of Ridge Pharma Limited is disposed of by a final order on a stated date. The Registry keeps the main file with the index, order sheet and final order on top, the process file with the vakalatnama and summons, and an execution file if execution is sought. The Record Keeper scrutinises the records within three days of receipt and prepares an index. On expiry of the preservation period the Registrar weeds out the record, while the Registry still maintains the record of the petition and orders for fifteen years.
What a practitioner checks
- That the petition is entered in the right register, and a caveat in the caveat register.
- That the file the paper belongs in is the right one: main, miscellaneous, process or execution.
- That the retention periods of five years and fifteen years are noted before assuming a file can still be traced.
- That inspection requests are made before the record is weeded out.
Need help with documentation of your legal matters?
A clean paper trail of orders and filings supports every later step. For help organising legal and compliance documents, speak to our compliance documentation team.
Key takeaways
- The Registry keeps four registers: petitions, unnumbered petitions or appeals, caveats and interlocutory applications (rule 97).
- Case records are divided into the main, miscellaneous application, process and execution files (rule 98).
- Physical records in the record room are kept five years; the record of petitions, applications and orders is kept fifteen years (rule 103).
- The Record Keeper scrutinises records within three days; the Registrar weeds out expired records (rule 104).
Read next
- Rules 114 to 118: inspection of case records
- Rules 159 to 162: indexing and transmission after disposal
- Rules 41 to 47 of the NCLAT Rules: registers and case files
- Rules 91 to 96: diaries and order sheet
Disclaimer: Based on the National Company Law Tribunal Rules, 2016 (G.S.R. 716(E)) as amended up to the National Company Law Tribunal (Amendment) Rules, 2020 (G.S.R. 80(E)), consulted on 3 October 2026. Later amendments, fees, forms, NCLT practice directions and the Companies Act, 2013 provisions referred to should be checked. This article is general information, not legal advice; check the official text before acting.