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Drafting, Pleadings and Appearances · Art of Advocacy and Appearances

Preparation and Conduct of a Case for CS Professional

Updated 11 October 2026 · Fact-checked

Preparation and conduct of a case means getting ready before the hearing and handling the hearing itself. You study the brief, facts and law, marshal evidence, then conduct examination-in-chief, cross-examination, re-examination and final arguments. In the exam, answer in order: preparation, evidence, conduct, then conclusion on the facts given.

Understand Preparation and Conduct of a Case

A case is won or lost mostly before you stand up to speak. Preparation means knowing the client's facts, the documents, the law and the weak points of both sides. The hearing then becomes the careful use of that preparation.

The starting point is the brief. It is the set of instructions and papers given to the advocate or professional who will appear. A good brief holds the client's version of events, a dated chronology, copies of documents, earlier orders, notices and replies, and the relief wanted. Read it fully, and ask the client for anything missing. Do not assume a gap does not matter.

Next, separate facts in issue from facts that are admitted. Then find the law that applies: the Act, rules, regulations and decided cases. Check the forum, limitation, and who may appear. Match each fact you must prove to a piece of evidence, either a document or a witness. This is marshalling evidence. Also list what the other side will say and how you will answer it.

At the hearing, evidence is taken in a fixed order. Examination-in-chief is questioning your own witness to bring out the facts. Leading questions are generally not allowed here. Cross-examination is questioning the other side's witness to test truth, expose contradictions and support your case. Leading questions are generally allowed. Re-examination is a follow-up by the party who called the witness, limited to explaining matters raised in cross-examination. Then come arguments: you link facts, evidence and law to the relief sought, and answer the opponent's points.

Before the Tribunal, procedure is flexible but fair. Under Section 424 of the Companies Act, 2013, the Tribunal is not bound by the Code of Civil Procedure, 1908, but is guided by natural justice. It has the powers of a civil court for matters such as summoning persons, requiring production of documents and receiving evidence on affidavits. So affidavits and documents carry much of the weight, and your preparation must reflect that.

Key rules to remember

Order of examination of a witness
Examination-in-chief → Cross-examination → Re-examination
Re-examination is limited to matters arising out of cross-examination. Leading questions are generally not allowed in chief and generally allowed in cross.
Tribunal procedure (Section 424(1))
Not bound by CPC, 1908; guided by natural justice; may regulate own procedure
This is subject to the Act, the IBC where applicable, and the rules made under them.
Tribunal's civil court powers (Section 424(2))
Summon and examine on oath; discovery and production of documents; evidence on affidavits; commissions; dismissal for default or ex parte decision and setting aside
These powers are for discharging functions under the Act or the IBC.
Examination of a person in winding up (Section 300)
Winding up order + Company Liquidator's report of fraud → Tribunal may direct the person to attend and be examined
Examination is on oath. The person gets a copy of the report at own cost and may engage a CA, CS, cost accountant or legal practitioner entitled to appear under Section 432.
Preparation checklist
Brief → Facts → Law → Evidence → Opponent's case → Arguments
Use this sequence as the skeleton of any answer.

How to solve Preparation and Conduct of a Case questions

For any question on preparing or conducting a case, use this order. It shows the examiner you know both stages and can apply them to the facts.

  1. 1Read the facts and identify the forum, the parties, whom you appear for and the relief sought.
  2. 2State how you prepare the brief: collect instructions, documents, chronology, earlier orders and notices, and note gaps.
  3. 3Identify the facts in issue and the applicable law, including procedure, limitation and right of appearance.
  4. 4Marshal the evidence: list each fact to be proved with its document or witness, and decide what goes by affidavit.
  5. 5Anticipate the opponent's case and prepare questions for cross-examination and answers to likely objections.
  6. 6Describe the conduct: examination-in-chief, cross-examination, re-examination, then arguments, adding Tribunal powers such as Section 424 where relevant.
  7. 7Apply each point to the given facts, not in the abstract.
  8. 8Close with a clear conclusion, and note ethical points such as not misleading the Tribunal.

Quickest way: Prepare, Prove, Present

When to use it: Use when you have little time or the question is a short note such as 'explain preparation of a case'.

  1. Prepare: brief, facts, law, forum.
  2. Prove: map each fact to evidence, documents and witnesses.
  3. Present: chief, cross, re-examination, arguments.
  4. Add one line on Tribunal procedure under Section 424 and close with the conclusion on the given facts.

Common mistakes in Preparation and Conduct of a Case

  • Writing only about the hearing and skipping preparation.

    Students think of advocacy as speaking in court.

    Fix: Always give preparation its own part: brief, facts, law, evidence. Then cover the hearing.

  • Saying leading questions are always banned in examination-in-chief.

    The rule is remembered in a simplified form.

    Fix: Say they are generally not allowed in chief, with exceptions such as introductory or undisputed matters, and generally allowed in cross-examination.

  • Treating re-examination as a chance to add new evidence.

    Students confuse it with a second examination-in-chief.

    Fix: State that it is limited to explaining matters arising from cross-examination.

  • Saying the Tribunal follows the Code of Civil Procedure strictly.

    Tribunal hearings look like civil trials.

    Fix: Quote Section 424(1): not bound by the CPC, guided by natural justice, with power to regulate its own procedure.

  • Giving generic advice without using the facts in the question.

    Students write memorised points to save time.

    Fix: Name the parties, the documents and the relief in the problem, and tie each step to them.

  • Ignoring the opponent's case during preparation.

    Students focus only on their own client's story.

    Fix: List the opponent's likely arguments and weak points, and prepare cross-examination and replies.

Worked examples

Example 1

You are a company secretary instructed to appear for Sharma Textiles Pvt Ltd in an application before the NCLT. Briefly explain how you would prepare the brief and the evidence.

Show the solution
  1. Brief: obtain the client's written instructions, the application papers, notices, replies and earlier orders, and prepare a dated chronology.
  2. Gaps: note missing documents, such as board resolutions or correspondence, and ask the client for them.
  3. Issues and law: identify the facts in dispute, the provisions relied on, the forum's procedure and limitation.
  4. Evidence: list each fact to prove with its supporting document or witness. Since the Tribunal can receive evidence on affidavits under Section 424(2)(c), prepare clear affidavits with annexed documents.
  5. Opponent: anticipate their objections and prepare replies and cross-examination points.
  6. Arguments: prepare a short written note linking facts, evidence and law to the relief sought.

Answer: Prepare a complete brief with chronology, identify issues and law, map every fact to a document or affidavit, anticipate the opponent's case, and prepare a concise note of arguments.

Example 2

In a case, a witness called by your client, Mr Iyer, has given evidence. The opposite counsel then questions him, and some answers need explanation. Describe the stages that follow and the limits on each.

Show the solution
  1. The witness first gave examination-in-chief, conducted by you, to bring out the facts. Leading questions are generally not allowed here.
  2. Opposite counsel's questioning is cross-examination. Its purpose is to test truth and expose contradictions. Leading questions are generally allowed.
  3. Since some answers in cross-examination need explanation, you may conduct re-examination.
  4. Limit of re-examination: questions must be confined to matters arising from cross-examination. New matter needs the Tribunal's permission.
  5. After the evidence closes, both sides make final arguments linking facts and law to the relief.

Answer: The order is examination-in-chief, cross-examination, re-examination (confined to matters raised in cross-examination), then final arguments.

Exam tips

  • Structure answers as preparation first, then conduct. Use short headings or bullets for each stage.
  • Quote Section 424 when the forum is the NCLT or NCLAT: not bound by CPC, natural justice, civil court powers.
  • In case-based questions, name the documents and witnesses from the facts and say how each will be used.
  • For winding-up facts involving fraud, mention Section 300: the Tribunal may order examination on oath, and the person may engage a professional to put questions.
  • End with a one-line conclusion, and mention professional ethics where the facts hint at misleading the Tribunal.

Practice questions from Art of Advocacy and Appearances

Preparation and Conduct of a Case: frequently asked questions

What is a brief in advocacy?

A brief is the set of instructions and papers given to the advocate or professional who will appear in a case. It contains the client's facts, documents, earlier orders and the relief sought. You study it fully before the hearing.

What is the difference between examination-in-chief and cross-examination?

Examination-in-chief is questioning your own witness to bring out the facts, and leading questions are generally not allowed. Cross-examination is questioning the opposite party's witness to test their evidence, and leading questions are generally allowed.

Does the NCLT follow the Code of Civil Procedure?

No, not strictly. Under Section 424(1) of the Companies Act, 2013, the Tribunal is not bound by the Code of Civil Procedure, 1908. It is guided by natural justice and can regulate its own procedure, subject to the Act, the IBC and the rules.

Can the Tribunal examine a promoter or director after a winding up order?

Yes, in a defined case. If the Company Liquidator reports that a fraud has been committed, the Tribunal may direct the person to attend and be examined on oath under Section 300. The person can engage a professional to put questions that help explain their answers.