Supreme Court of India (Division Bench (DB)- Two Judge)

Appeal (Civil), 2150 of 2012, Judgment Date: Dec 07, 2015

                                                                  REPORTABLE

                        IN THE SUPREME COURT OF INDIA

                        CIVIL APPELLATE JURISDICTION

                       CIVIL APPEAL NOS. 2150 OF 2012


M/S. STEEL AUTHORITY OF INDIA LTD.                          .....APPELLANT(S)           

                                    VERSUS                                                                 

COMMISSIONER OF CENTRAL EXCISE, RAIPUR                     .....RESPONDENT(S)          


                                   W I T H

                        CIVIL APPEAL NO. 2562 OF 2012

                        CIVIL APPEAL NO. 599 OF 2013

                        CIVIL APPEAL NO. 600 OF 2013

                                    A N D

                     CIVIL APPEAL NOS. 1522-1523 OF 2013


                               J U D G M E N T


A.K. SIKRI, J.

In all these appeals, identical question of law  is  involved  and  for  the
sake of brevity, we are discussing the question of law  by  taking  note  of
the facts from Civil Appeal No. 2150 of 2012.

The appellant/assessee herein, which is a public sector undertaking  of  the
Government of India, has been selling iron  and  steel  products,  that  are
manufactured by it, to the Indian Railways.  For this purpose, contract  was
signed between the said two parties and the goods were  being  sold  to  the
Indian Railways at the price mutually agreed upon  between  them.   On  each
removal of these goods for supply to the Railways,  the  assessee  had  been
paying the excise duty as per the price disclosed by  the  assessee  in  the
invoices issued at the time of the removal of  the  goods.   Goods  in  this
manner were supplied during the period January, 2005  to  July,  2006  which
period is involved in the instant appeal.  It so happened that there was  an
upward revision in the price by the Railways in August, 2006   covering  the
period in question.  On that basis, assessee was paid the  price  difference
on the fixation of enhanced  consideration  for  the  goods  supplied.   The
assessee paid the differential  duty  of  Rs.142.78  crores  voluntarily  in
August, 2006.  According to the Revenue/respondent, since  the  differential
duty was paid in August, 2006 and not paid at the time of clearance  of  the
goods, there was delay in  paying  the  differential  duty  and,  therefore,
under Section 11AB of the Central Excise Act, 1944 (hereinafter referred  to
as the 'Act'), the assessee was liable to pay interest on  the  differential
duty amount paid by it.  The contention of the Revenue has  been  upheld  by
the Authorities below including Custom  Excise  and  Service  Tax  Appellate
Tribunal (hereinafter referred to as the 'Tribunal').

The question, thus, that arises for consideration in these appeals is as  to
whether  interest  is  leviable  under  Section  11AB  of  the  Act  on  the
differential duty amount paid under  supplementary  invoices  due  to  price
increase by virtue of price variation clause in the sale  contract.     Now,
facts in some detail:
              The assessee is engaged in the manufacture of iron  and  steel
products falling under Chapter 72 and 73 of  the  schedule  of  the  Central
Excise Tariff Act, 1985.  The final products  manufactured  includes  rails.
The final products manufactured by the assessee are cleared  on  payment  of
appropriate duty of excise leviable thereon.  The final products are  either
directly sold at the factory gate  or  are  transferred  to  various  Branch
Sales Offices from where they are sold to the customers.  The  sales  either
from the factory or from the BSOs are in terms of purchase  orders  received
from the customers.  The assessee sold the rails to the Indian  Railways  in
terms of the Price Circular  No.  LP-06  of  2005  dated  24.02.2005  w.e.f.
01.07.2004.
            In terms of the  prices  quoted  in  the  purchase  orders,  the
assessee discharged central excise duty at the time of removal of the  rails
to the Indian Railways.  Such price  was  the  “transaction  value”  of  the
goods in terms of Section 4 of the Act at the given time.  In terms  of  the
price variation clause and also in terms of the agreement  with  the  Indian
Railways, the price circular dated 24.02.2005 effective from 01.07.2004  was
revised upwards with increase in the agreed upon  price.   A  revised  price
circular No. LP-010/06 dated 20.07.2006 was issued revising the agreed  upon
price.
            In terms of the revised price circular the  assessee  discharged
differential duty of Rs.142,78,88,172/- on  the  rails  cleared  during  the
period from January, 2005 to July, 2006.  The differential duty was paid  in
August, 2006 under intimation to the Departmental Authorities.

In the above background, on a scrutiny of ER-1 return filed by the  assessee
for the month of August, 2006, a show  cause  notice  dated  01.06.2007  was
issued to the assessee contending that in respect of the  differential  duty
of Rs.142.78 crores paid in August, 2006, the assessee are required  to  pay
an interest of Rs.15,51,81,231/- under Section 11AB of the Act.  The  notice
alleged that since the price was not correctly determined  at  the  time  of
removal of goods there was short payment  of  duty  hence  the  assessee  is
liable to pay interest.  The notice also alleges that since  the  price  was
not final the duty should be treated as paid on the  provisional  price  and
in terms of Rule 7(4) of the Central Excise  Rules  interest  under  Section
11AB is payable.  The notice also relied on  circular  dated  28.07.2003  to
allege that the assessee is required  to  pay  interest.   The  notice  also
proposed to impose penalty under Rule 25 for contravention of Rules 7 and  8
of the Rules.

The  assessee  filed  detailed  reply  dated  17.10.2007   challenging   the
allegations contained in the  show  cause  ntoice  and  contending  that  no
interest is payable on the  differential  duty  paid  on  account  of  price
variation.

The Commissioner of Central Excise, Raipur  passed  order  dated  31.10.2007
confirming the amount of interest proposed in  the  show  cause  notice  and
also imposing penalty of Rs.2,00,000/-.  Against the order dated  31.10.2007
passed by the Commissioner of Central  Excise,  Raipur,  assessee  filed  an
appeal before the Tribunal.  The Tribunal  has  passed  the  impugned  order
dated 13.08.2010 and dismissed the appeal.  This order is challenged by  way
of instant appeal.

It  becomes  manifest  from  the  aforesaid  facts  that  the  assessee  had
discharged the excise duty on the goods  cleared  by  it  on  the  basis  of
invoices raised indicating the value of these goods and as on  the  date  of
the clearance of  these  goods.   It  cannot  be  disputed  that  the  price
declared in the said invoice was the  transaction  value  of  the  goods  in
terms of Section 4 of the Act inasmuch as that was the price  fixed  between
the parties at which the goods were to be supplied at the time and place  of
removal. The occasion for differential duty arose at a  later  date  due  to
price variation clause in the contract for sale.  The  moment  the  assessee
received the enhanced price due to price escalation,  it  paid  differential
duty on its own immediately on receipt of the said price.

It is in this backdrop it is to be examined as to whether the difference  in
price, as per the decision taken by the Railways on a later date  i.e.  much
after the date on which the goods were cleared, can be treated as  price  as
on the date when the goods were actually removed and, therefore,  it  is  to
construed that the duty initially paid was 'short paid' to bring this  event
within the  fold  of  Section  11AB  of  the  Act.   As  per  the  assessee,
provisions of Section 11AB  of  the  Act  would  not  be  attracted  at  all
inasmuch as, by no stretch of imagination, it can be  treated  that  on  the
date of removal of the goods when the duty was paid as per the  price  fixed
at that time, it is now to be treated as 'short paid' only  because  of  the
occurrence of an event at a later date which  could  not  be  visualised  or
taken into consideration at the time of removal of these goods.

For proper understanding of the  matter,  we  may  reproduce  provisions  of
Section 11AB of the Act at this stage, which reads as under:
“(1)  Where any duty of excise has not been  levied  or  paid  or  has  been
short-levied or short-paid  or  erroneously  refunded,  the  person  who  is
liable to pay the duty as determined under sub-section (2), or has paid  the
duty under sub-section (2B), of Section  11A,  shall,  in  addition  to  the
duty, be liable to pay interest at such rate not below eighteen percent  and
not exceeding thirty-six percent per annum, as is for the time  being  fixed
by the Central Government, by notification in  the  Official  Gazette,  from
the first date of the month succeeding the month in which the duty ought  to
have been paid under this Act, or from the date of  such  erroneous  refund,
as the case may be, but for the provisions contained in sub-section (2),  or
sub-section (2B), of Section 11A till the date of payment of such duty:

      Provided that in such cases where the duty becomes payable  consequent
to issue of an order, instruction or direction by the  Board  under  Section
37B, and such amount of duty payable is voluntarily paid  in  full,  without
reserving any right to appeal against such payment at any subsequent  stage,
within forty-five days from the date of issue of such order, instruction  or
direction, as the case may be, no interest shall be  payable  and  in  other
cases the interest shall be payable on the whole of  the  amount,  including
the amount already paid.

The provisions of sub-section (1) shall not apply to cases  where  the  duty
had become payable or ought to have been paid before the date on  which  the
Finance Bill, 2001 receives the assent of the President.

Explanation 1. - Where the duty determined to be payable is reduced  by  the
Commissioner (Appeals), the Appellate Tribunal or, as the case may  be,  the
Court, the interest shall be payable on such reduced amount of duty.

Explanation 2. - Where the duty determined to be  payable  is  increased  or
further increased by the Commissioner (Appeals), the Appellate Tribunal  or,
as the case may be, the  Court,  the  interest  shall  be  payable  on  such
increased or further increased amount of duty.”


A bare reading of the aforesaid provision reflects that in order to  attract
the same, following requirements need to be fulfilled:
(a)   Non-levy or non-payment of duty.
(b)   Short levy or short payment of duty.
(c)   erroneous refund.
(d)   duty determined under Section 11A(2).
(e)   Section 11A(2) requiring Notice issued under Section 11A.
(f)   duty payment under Section 11A(2B).
(g)   interest is payable on such reduced or increased duty   determined  to
be payable by Commissioner (Appeals) or      Appellate Tribunal etc.

Before proceeding further, we would like  to  point  out  that  we  are  not
treading on a virgin territory, inasmuch as the provisions of  Section  11AB
of the Act have already been interpreted by  this  Court  in  two  judgments
under almost similar circumstances.  These are:
      (a)   CCE v. SKF India Ltd.[1]
      (b)  CCE v. International Auto Limited.[2]

In SKF India Ltd. case, the assessee was  engaged  in  the  manufacture  and
sale of ball bearings and textile machine parts. It sold goods  manufactured
by it on certain prices on payment of excise duty leviable on the  price  on
which the goods were sold. Later on, there was a  revision  of  prices  with
retrospective  effect.  Following   the   revision   the   assessee   raised
supplementary invoices on its buyers and also paid the differential duty  on
the goods sold earlier.  The Revenue took the view  that  the  assessee  was
liable to pay interest on differential duty.  This  factual  position  would
reflect that it was almost  same  that  prevails  in  the  present  appeals.
Though,  the  demand  made  in  Order-in-Original  was  set  aside  by   the
Commissioner (Appeals) and the  order  of  the  Commissioner  (Appeals)  was
upheld by the CESTAT holding that no interest  was  chargeable  where  there
was time gap between the  payment  of  differential  duty  and  issuance  of
supplementary invoices to the customers on the basis of upward  revision  of
prices in respect of the goods sold earlier.  The said view of the  Tribunal
was reversed by this Court holding that interest was payable  under  Section
11AB of the Act.  After reproducing the  provisions  of  Section  11AB,  the
Court in the first instance pointed out that  the  aforesaid  provision  was
not happily worded and made following remarks in this behalf:
“9.  If the object of the law is to  state  clearly  and  unambiguously  the
obligations of the person whom the law addresses and to  spell  out  plainly
and without any confusion the  consequences  of  failure  to  discharge  the
obligations cast by the law then the four sections of  the  Act  fall  miles
short of the desired objective. Even as originally cast the provisions  were
far from very happily framed and worded.  Subjected to amendments from  time
to time those provisions have now become so complicated  that  in  order  to
discern their meaning it becomes necessary  to  read  them  back  and  forth
several times.

We see no reason why the two periods for which interest is leviable may  not
be put together and dealt with in  one  consolidated  provision  instead  of
being split up in Sections 11-AA and 11-AB.  Also, there is  much  scope  to
reorganise all the different sub-sections of Section  11-A  and  to  present
the scheme of that section in a more coherent and readable  form.   Be  that
as it may.  In the case in hand we have to deal with the law  as  it  stands
now.”

Thereafter, the Court contrasted the provisions of Section 11A with  Section
11AB and some other provisions.  It also took note of the judgment  of  High
Court of Bombay in CCE v. Rucha Engg. (P) Ltd.[3] wherein  the  Bombay  High
Court had held that Section 11AB of the Act is  not  applicable  in  such  a
situation.  The Court, however, rejected the aforesaid view  of  the  Bombay
High Court.  We would like to reproduce  the  relevant  discussion  touching
the aforesaid aspect, as contained in the judgment:
“11. Section 11-A puts the cases of non-levy or short-levy,  non-payment  or
short-payment or erroneous refund of duty in two categories.  One  in  which
the non-payment or short-payment, etc. of duty is for a  reason  other  than
deceit; the default is due to oversight  or  some  mistake  and  it  is  not
intentional. The second in which the non-payment or short-payment,  etc.  of
duty is “by reason  of  fraud,  collusion  or  any  wilful  misstatement  or
suppression of facts, or contravention of any of the provisions of  the  Act
or of Rules made thereunder with intent to evade payment of duty”;  that  is
to say, it is intentional, deliberate and/or by deceitful means.  Naturally,
the cases falling in the two groups lead to different consequences  and  are
dealt with differently.

12. Section 11-A, however allow the assessees-in-default in  both  kinds  of
cases to make amends, subject of course to  certain  terms  and  conditions.
The cases where the non-payment or short-payment, etc. of duty is by  reason
of fraud, collusion, etc. are dealt with under sub-section (1-A) of  Section
11-A and the cases where the non-payment or short-payment  of  duty  is  not
intentional under sub-section (2-B).

13. Sub-section (2-B) of Section 11-A provides that the  assessee-in-default
may, before the notice issued under sub-section (1) is served on  him,  make
payment of the unpaid duty on the basis  of  his  own  ascertainment  or  as
ascertained by a Central  Excise  Officer  and  inform  the  Central  Excise
Officer in writing about the payment made by him and in that event he  would
not be given the demand notice under sub-section (1). But Explanation  2  to
the sub-section makes it expressly clear that  such  payment  would  not  be
exempt from interest chargeable  under  Section  11-AB,  that  is,  for  the
period from the first date of the month succeeding the month  in  which  the
duty ought to have been paid till the date of payment of the duty.

14. What is stated in Explanation 2 to sub-section (2-B)  is  reiterated  in
Section 11-AB that states where any duty of excise has not  been  levied  or
paid or has been short-levied or short-paid  or  erroneously  refunded,  the
person who has paid the  duty  under  sub-section  (2-B)  of  Section  11-A,
shall, in addition to the duty, be liable to pay interest…. It  is  thus  to
be seen that unlike penalty that is attracted to the category  of  cases  in
which the non-payment or short-payment,  etc.  of  duty  is  “by  reason  of
fraud, collusion or any wilful misstatement  or  suppression  of  facts,  or
contravention of any  of  the  provisions  of  the  Act  or  of  Rules  made
thereunder with intent to evade payment of duty”, under the  scheme  of  the
four Sections (11-A,  11-AA,  11-AB  and  11-AC)  interest  is  leviable  on
delayed or deferred payment of duty for whatever  reasons.  The  payment  of
differential duty by the assessee at the time of issuance  of  supplementary
invoices to the customers  demanding  the  balance  of  the  revised  prices
clearly falls under the provision of sub-section (2-B) of  Section  11-A  of
the Act.

15. The Bombay High Court, Aurangabad Bench,  in  its  decision  in  CCE  v.
Rucha Engg. (P) Ltd., (First Appeal No. 42 of 2007 decided  on     3-4-2007)
that was relied upon by the Tribunal for  dismissing  the  Revenue’s  appeal
took the view that there would be no application  of  Section  11-A(2-B)  or
Section 11-AB where differential duty was paid by the assessee  as  soon  as
it came to learn about the upward revision of prices of goods sold earlier.

16.  In Rucha Engg. the High Court observed as follows:
“It is evident that Section 11-AB comes into play if  the  duty  paid/levied
is short. Both, the Commissioner (Appeals) and  CESTAT  have  observed  that
the assessee paid the duty on its own accord immediately  when  the  revised
rates became known to them from their customers. The differential  duty  was
due at that time i.e. when the revised rates applicable  with  retrospective
effect were learnt by the assessee, which was much after  the  clearance  of
the goods and, therefore, question of payment of interest does not arise  as
the duty was paid as soon as it was learnt  that  it  was  payable.  Finding
that provisions of Section 11-A(2) and 11-A(2-B) were not applicable as  the
situation occurred in the instant case  was  quite  different,  Section  11-
AB(1) was not at  all  applicable,  and  therefore,  the  assessee  was  not
required to pay interest.”
      It further held that a case of this  nature  would  not  fall  in  the
category where duty of excise was not paid or short-paid.

17.  We are unable to subscribe to the view  taken  by  the  High  Court  in
Rucha Engg. It is to be noted that the assessee was able to demand from  its
customers the balance of  the  higher  prices  by  virtue  of  retrospective
revision of the prices. It, therefore, follows that at the time of sale  the
goods carried a higher value and those  were  cleared  on  short-payment  of
duty. The differential duty was paid only later  when  the  assessee  issued
supplementary invoices to its customers demanding the balance amounts.  Seen
thus, it  was  clearly  a  case  of  short-payment  of  duty  though  indeed
completely unintended and without any element of deceit,  etc.  The  payment
of differential duty thus clearly came under sub-section  (2-B)  of  Section
11-A and attracted levy of interest under Section 11-AB of the Act.”

Fact situation in International Auto Limited was also  almost  similar.   In
that case, the assessee, viz., International Auto Limited had supplied  auto
parts to its customers (manufacturers of motor vehicles) who determined  the
prices  of  auto  parts  having  regard  to  the  cost  of   raw   material,
manufacturing  cost,  profit  margin,  etc.  and  placed  orders  with   the
assessee.  Since price difference arose between the price  on  the  date  of
removal and the enhanced price at which the  goods  stood  ultimately  sold,
the Department issued show cause notice proposing to levy  interest  on  the
differential duty, paid by the assessee, under Section  11-AB  of  the  Act.
The assessee took up the defence  that  prices  indicated  in  the  purchase
order were final and not liable to change at the  time  of  removal  of  the
goods and, thus, it was not the case  of  'short  levy'  on  which  interest
could be charged.  After extensively quoting from the judgment of SKF  India
Ltd. and following the  same,  aforesaid  contention  of  the  assessee  was
repelled.  In addition, the judgment also contained some further  discussion
on Section 11AB of the Act which needs to be taken  note  of.   It  runs  as
under:
“6. Section 11-A of the Act deals with recovery of duty not  levied  or  not
paid or short-levied or short-paid. The said section, which  stood  inserted
by Act 25 of 1978, underwent a sea change  when  Parliament  inserted  major
changes in that section vide Act 14 of 2001  (with  effect  from  11-5-2001)
and Act 32 of 2003 (with effect from 14-5-2003). It needs  to  be  mentioned
that simultaneously Act 14 of 2001 also made changes  to  Section  11-AB  of
the Act.

7.  In SKF India Ltd., (2009) 13 SCC 461, it has been, inter alia, held,  as
can be seen from the  abovequoted  paragraphs,  that  sub-section  (2-B)  of
Section 11-A provides that the assessee in default may make payment  of  the
unpaid duty on the basis of his own ascertainment or  as  ascertained  by  a
Central Excise Officer and, in that event, such assessee  in  default  would
not be served with the demand notice  under  Section  11-A(1)  of  the  Act.
However, Explanation 2 to the sub-section makes it clear that  such  payment
would not be exempt from interest chargeable  under  Section  11-AB  of  the
Act. What is stated in Explanation 2 to sub-section (2-B) is  reiterated  in
Section 11-AB of the Act, which deals with interest on  delayed  payment  of
duty.

From the scheme of Section 11-A(2-B)  and  Section  11-AB  of  the  Act,  it
becomes clear that interest is levied for loss of revenue on any  count.  In
the present case, one fact remains  undisputed,  namely,  accrual  of  price
differential. What  does  differential  price  signify?  It  signifies  that
value, which is the function of the price, on the date of  removal/clearance
of the goods was not correct.  That,  it  was  understated.  Therefore,  the
price indicated by the supplementary invoice is directly  relatable  to  the
value of the goods on the date of  clearance,  hence,  enhanced  duty.  This
enhanced duty is on the  corrected  value  of  the  goods  on  the  date  of
removal. When the differential duty is paid after the date of clearance,  it
indicates short-payment/short-levy on the date of removal,  hence,  interest
which is for loss of revenue, becomes leviable under Section  11-AB  of  the
Act.

In our view, with the entire change in the scheme of recovery of duty  under
the Act, particularly after insertion of Act 14 of 2001 and Act 32 of  2003,
the judgment of this Court in MRF Ltd. would not apply.  That  judgment  was
on interpretation of Section 11-B of  the  Act,  which  concerns  claim  for
refund of duty by the assessee. That judgment was  in  the  context  of  the
price list approved on 14-5-1983. In that case,  the  assessee  had  made  a
claim for refund of excise duty on the differential  between  the  price  on
the date of removal and the reduced price at  which  tyres  were  sold.  The
price was approved by the Government. In that case, the  assessee  submitted
that its price list  was  approved  by  the  Government  on  14-5-1983,  but
subsequent thereto, on account of consumer  resistance,  the  Government  of
India directed the assessee to roll back the prices to  pre-14-5-1983  level
and on that account, price differential arose on  the  basis  of  which  the
assessee claimed refund of excise duty which stood rejected  by  this  Court
on  the  ground  that  once  the  assessee  had   cleared   the   goods   on
classification, the assessee became liable to payment of duty  on  the  date
of removal and subsequent  reduction  in  the  prices  for  whatever  reason
cannot be made a  matter  of  concern  to  the  Department  insofar  as  the
liability to pay excise duty was concerned.

In the present case, we  are  concerned  with  the  imposition  of  interest
which, as stated above, is charged to compensate the Department for loss  of
revenue. Be that as it may, as stated above, the scheme of Section  11-A  of
the Act has since undergone substantial change and,  in  the  circumstances,
in our view, the judgment of this Court in MRF Ltd. has  no  application  to
the facts of this case. In our view, the  judgment  of  this  Court  in  SKF
India Ltd. is squarely applicable to the facts of this case.”


Mr. Lakshmikumaran,  who  appeared  for  the  assessees  in  these  appeals,
insisted on a different course of action.  He adopted two pronged  strategy.
 His first endeavour was to show that the judgments in the cases of SKF  and
International  Auto  were  not  applicable  as  the  aforesaid  cases   were
distinguishable.  His alternate submission was that these judgments  do  not
correctly  interpret  the  provisions  of  Section  11AB  of  the  Act  and,
therefore, matter required a fresh look by a Larger Bench.

It is difficult to accept the first  submission.   As  already  pointed  out
above, the factual scenario in which the aforesaid two  cases  were  decided
were similar, nay, almost identical.  When this Court on the basis  of  same
type of events interpreted the provisions of Section 11AB of the  Act  in  a
particular manner and held, in no certain terms, that interest was  payable,
it is difficult to countenance the  argument  of  the  assessee  that  these
cases are distinguishable on facts.  Therefore,  we  advert  to  the  second
plank  of  Mr.  Lakshmikumaran's  submissions  which  was  argued  with  all
vehemence,  covering  the  entire  length  and  breadth  of  the   statutory
provisions with relevant case laws.

In the first instance, he pointed out that in these appeals,  there  can  be
two distinct types of transactions: (a)  where the price  of  the  goods  is
'fixed' at the time and place of removal, and  as  a  result  of  subsequent
negotiations (often protracted) the price is retrospectively revised by  the
buyer; (b) where the price at the time and place of removal is  'not  fixed'
(price subject to escalation clause), and the final price is agreed  between
the seller and buyer subsequently.  According to him in  the  cases  falling
in the first category, even the differential duty is not payable.   However,
all these appeals fall  in  second  category  and,  therefore,  we  are  not
indulging in any discussion pertaining to the first category.  We  may  also
point out that in all these appeals, the period in dispute (i.e. the  period
in which supplementary invoices on account of price  revision  were  raised)
is post the introduction of the 'transaction value'  definition  in  Section
of the Act, 1944 but before 2010.

It is a common case of the parties and even  the  learned  counsel  for  the
assessee admits that in  non-fixed  price  scenario,  differential  duty  is
liable to be paid on subsequent revision of price  which  the  assessee  had
already paid the differential duty at or about the time when  revised  price
was agreed upon by the seller and the buyer.  The question, however,  is  as
to whether interest thereon is payable from the date of clearance  of  goods
when duty was paid on the basis of invoice, till the date when  differential
duty was paid.

Starting from the basics, it is axiomatic that interest under  Section  11AB
can be levied/charged where any duty of excise has not been levied  or  paid
or has been short levied or short  paid.  In  such  an  event,  interest  is
liable to be paid 'from the first date of the month succeeding the month  in
which the duty ought to  have  been  paid'.   Section  4(1)(a)  of  the  Act
provides that the value of the goods shall be the price  'actually  paid  or
payable' for the goods.  This means the  price  which  has  been  'paid'  or
'agreed to be paid' by the buyer  of  the  goods.   We  find  force  in  the
argument of the assessee that the expression 'ought to have  been  paid'  in
Section 11AB has to be understood in this light.  Thus, for the purposes  of
Section 11AB, the expression 'ought to have been paid' would mean  the  time
when the price is agreed upon by the seller and the buyer.  In other  words,
the right of the seller to receive the revised price crystallises only  when
the buyer agrees to sanctions the same, and only at that time can  liability
to pay duty, if at all, on the revised price arise.  Both  parties  are  not
aware of the final price at the time when the  goods  are  removed.  In  the
context of price revision subsequent to clearance, duty 'ought to  be  paid'
only after the  sanctioning  of  the  revised  priced  by  the  buyer.   The
differential duty on account of price revision is paid  in  the  month  when
the revised price is agreed between the seller (assessee) and the buyer  and
it ought to have been paid only at that time and not before.

One has also to keep in mind the difference  between  'what  should  be  the
quantum of duty to be paid' and 'when such duty is payable'.  In  the  cases
price revision, the quantum of duty would be on the escalated price but  the
time for payment of differential duty is when  the  parties  agree  for  the
escalation in prices. On that  reckoning,  it  would  follow  that  interest
clock for differential duty will start ticking from  the  date  differential
duty is due, i.e., the  date  of  agreement  of  escalated  prices  and  not
before.  This concept gets clarified with the latest amendment  in  2015  to
Section 11A with regard to the 'relevant date' for payment of interest.

We have already taken note  of  judgments  in  SKF  and  International  Auto
including the reasons which have been given in  support  of  the  view  that
interest would be payable.  At the outset, we may  mention  that  the  Bench
did not consider the effect of the expression  'ought  to  have  been  paid'
occurring in Section 11AB of the Act.  It is undeniable that  under  Section
4 of the Act, the excise duty is to be paid on the 'transaction  value'  and
such a transaction value has to be seen at the  time  of  clearance  of  the
goods.  Indubitably, when the goods were cleared, the excise duty  was  paid
taking into consideration the  price  that  was  actually  charged  and  was
reflected in the invoices raised  for  the  said  purpose.   The  Department
cannot plead that as on that date, this  was  not  the  price  charged.   No
doubt, when the differential payment  is  made  at  a  later  date,  further
amount towards excise duty becomes payable as a result of said  differential
in price.  Further, such an event took place at a subsequent  date.   As  on
the date when the goods were cleared, there  was  no  certainty  that  there
would be price escalation and it was beyond comprehension to  ascertain  the
exactitude of such an escalation.  It would  be  impossible  to  expect  the
assessee to pay the excise duty, at the time of clearance of the  goods,  on
the basis of price escalation that took place at a  later  date  in  future.
Therefore, as on the date of clearance when excise duty was paid,  it  could
not be treated as 'short paid' on the said date.  As a consequence when  the
principal amount, namely, the excise duty itself was not  payable  (i.e.  on
the differential) on the date of clearance of the  goods,  there  cannot  be
any question of law to pay interest.

No doubt, on receipt  of  differential  price,  when  the  buyer  agreed  to
escalation in the price, further excise duty  also  become  payable  and  on
that reckoning one can say that  the  excise  duty  originally  paid  became
'short paid'.  However, that would  only  attract  payment  on  differential
excise duty and not the interest thereon.

The two judgments in SKF India Ltd. and International Auto are by  the  same
Bench.  International Auto follows SKF India Ltd.   The  primary  factor  by
which the Bench was influenced was that there is a loss of  revenue  to  the
Government and, therefore, the Government should compensate  for  that.   It
proceeds on the basis that the price which  was  originally  stated  at  the
time of removal of the goods was  'understated'  (para  8  of  International
Auto).  However, value of the goods for the purpose of duty is 'at the  time
of removal', as emphasised above which remains  fundamental  principle  from
the inception of the Central Excise  Act  originally  enacted  in  1944  and
remains valid till date.  It is, therefore, difficult  to  accept  that  the
price was 'understated' on the date of removal of those goods.

We further find that the Bench  distinguished  earlier  three  member  Bench
judgment in the  case  of  MRF  Ltd.  v.  Commissioner  of  Central  Excise,
Madras[4] on the purported ground that there was  'sea  change'  in  Section
11A of the Act (which was originally  inserted  by  Act  25  of  1978)  when
Parliament inserted major changes in  that  Section  vide  Act  14  of  2001
w.e.f. 11.05.2001, Act 32 of 2003 w.e.f.  14.05.2003  and  Act  14  of  2001
whereby Section 11AB of the Act was also amended.  However, we  are  of  the
opinion that amendments made to Section 11A in 2001 and  2003  have  nothing
to do with the valuation of the goods based on 'the price  at  the  time  of
removal'.  MRF was a case where a particular price was charged by  the  said
assessee from the buyer  on  the  date  of  removal  and  excise  duty  paid
thereupon.  However, thereafter this price was reduced on the  direction  of
the Government.  On that basis,  assessee  laid  its  claim  for  refund  of
excise duty on differential between price on the date  of  removal  and  the
reduced price at which  the  buyers  were  sold  on  the  direction  of  the
Government.  This claim of the assessee was rejected and  the  order  upheld
by this Court as well with the following discussion:
“2.  We have heard the learned counsel for the assessee.  Once the  assessee
has cleared the goods on the classification and price indicated  by  him  at
the time of the removal of the goods from the  factory  gate,  the  assessee
becomes liable to payment of duty on  that  date  and  time  and  subsequent
reduction in Excise Department  insofar  as  the  liability  to  payment  of
excise duty was concerned.   This  is  the  view  which  was  taken  by  the
Tribunal in the case of Indo Hacks Ltd. v. CCE (1986) 25 ELT 69 (Trib.)  and
it seems to us that the Tribunal's view that the duty is chargeable  at  the
rate and price when the commodity is cleared at the factory gate and not  on
the price reduced at a  subsequent  date  is  unexceptionable.   Besides  as
rightly observed by the Tribunal the subsequent fluctuation  in  the  prices
of the commodity can have no relevance whatsoever so far  as  the  liability
to pay excise duty is concerned.  That being so, even if we assume that  the
roll back in the price of tyres manufactured by the  appellant  Company  was
occasioned on account of the directive issued  by  the  Central  Government,
that by itself, without anything more, would not entitle  the  appellant  to
claim a refund on the price differential unless it is shown that  there  was
some agreement in this behalf with the Government and the latter had  agreed
to refund the excise duty to the extent of the reduced  price.   That  being
so, we see no merit in this appeal brought by the assessee and  dismiss  the
same with no order as to costs.”

            We, thus, are of the view that principle laid down in  MRF  Ltd.
would continue to prevail.

Mr. Lakshmikumaran  argued,  and  we  find  force  in  this  argument,  that
observations of the Bench in the  aforesaid  case  that  the  imposition  of
interest is to compensate the Department for loss of revenue is contrary  to
the Constitution Bench judgment in the case of J.K.  Synthetics  Limited  v.
Commercial  Taxes  Officer[5]  wherein  the  argument  that   interest   was
compensatory in nature was specifically rejected.   The  Constitution  Bench
considered in detail the correctness of earlier three member Bench  judgment
in the case of Associated Cement Company Limited v. Commercial Tax  Officer,
Kota and Others[6] wherein  majority  view  was  that  interest  claimed  on
unpaid tax dues could be charged as it was  compensatory  in  character  and
not penal.  Bhagwati, J. had, however,  dissented  giving  various  reasons,
one of which was that tax which  has  yet  to  be  ascertained  through  the
process of ascertainment could not be treated as tax payable from  the  date
of submission of the return and, therefore, no  interest  could  be  charged
from the date of filing of the return upto the  date  of  assessment.   This
view of Bhagwati,  J.  was  accepted  after  detailed  discussion  with  the
following conclusion:
“...Our attention was, however, drawn by Mr. Sen  to  two  cases.   Even  in
those cases, CIT v.  M.  Chandra  Sekhar,  (1985)  1  SCC  283  and  Central
Provinces Manganese Ore Co. Ltd. v. CIT, (1986) 3  SCC  461,  all  that  the
Court pointed out was that provision for charging interest  was,  it  seems,
introduced in order to compensate for the loss  occasioned  to  the  Revenue
due to delay.  But then interest was charged on the strength of a  statutory
provision may be its objective was to compensate the Revenue  for  delay  in
payment  of  tax.   But  regardless  of  the  reason  which   impelled   the
Legislature to provide for charging  interest,  the  Court  must  give  that
meaning to it as is conveyed by the language used  and  the  purpose  to  be
achieved.  Therefore, any provision  made  in  a  statute  for  charging  or
levying  interest  on  delayed  payment  of  tax  must  be  construed  as  a
substantive law and not adjectival  law.   So  construed  and  applying  the
normal rule of interpretation of statutes, we find, as  pointed  out  by  us
earlier and by Bhagwati, J. in the Associated Cement Co. case, that  if  the
Revenue's contention is accepted it leads to conflicts and  creates  certain
anomalies which could never have been intended by the Legislature.”

We are conscious of the sentiments expressed by seven Judges Bench  of  this
Court in Keshav  Mills  Company  Limited  v.  Commissioner  of  Income  Tax,
Bombay[7] wherein the Court sounded caution and stated  the  restraint  that
has to be exercised while dealing with the question as  to  whether  earlier
decisions of this Court should  be  reconsidered  and  revised.   The  Court
observed that merely because two views are possible should not be  a  reason
to review the earlier judgment as it was necessary to  maintain  consistency
and depict certainty in law.  At the same time,  Court  made  the  following
remarks:
“...That is not to say that if  on  a  subsequent  occasion,  the  Court  is
satisfied    that  its   earlier decision  was clearly erroneous, it  should
not  hesitate  to correct  the  error;  but  before  a   previous   decision
is pronounced to be plainly erroneous, the Court must be satisfied  with   a
fair amount of unanimity amongst  its  members that a revision of  the  said
view is fully justified.  It  is not  possible  or  desirable,  and  in  any
case  it  would  be inexpedient  to lay down  any  principles  which  should
govern the  approach  of  the  Court  in  dealing  with  the   question   of
reviewing  and  revising its earlier  decisions.   It  would always   depend
upon several relevant considerations-What  is the  nature of  the  infirmity
or error on which a plea for  a review  and revision of the earlier view  is
based?  On  the earlier  occasion,  did  some  patent  aspects  of  question
remain unnoticed,  or was the attention of the  Court  not   drawn   to  any
relevant and material statutory provision, or  was  any  previous   decision
of this Court bearing on the  point  not noticed? Is the Court hearing  such
plea  fairly  unanimous that there is such an error  in  the  earlier  view?
What would be the impact of the error on the general administration  of  law
 or  on  public  good?  Has   the   earlier   decision   been  followed   on
subsequent occasions either by this Court  or  by the   High  Courts?   And,
would the reversal of  the  earlier decision lead to  public  inconvenience,
hardship or mischief?  These  and  other  relevant  considerations  must  be
carefully drawn in mind  whenever this Court is called upon to exercise  its
jurisdiction  to  review  and   revise   its   earlier   decisions.    These
considerations becomes still more  significant  when  the  earlier  decision
happens to be a unanimous decision of a Bench  of  five  learned  Judges  of
this Court.”

We have kept in mind the aforesaid consideration and feel that  decision  in
SKF and Auto International require a re-look for the  reasons  given  by  us
above.  We, thus, direct  the  Registry  to  place  the  matter  before  the
Hon'ble Chief Justice of India for constituting a Larger Bench  to  go  into
the issue involved in this case which is of seminal  importance  having  far
reaching ramifications.


                             .............................................J.
                                                                (A.K. SIKRI)



                             .............................................J.
                                                     (ROHINTON FALI NARIMAN)

NEW DELHI;
DECEMBER 07, 2015.
-----------------------
[1]   (2009) 13 SCC 461
[2]   (2010) 2 SCC 672
[3]   First Appeal No. 42 of 2007 decided on 03.04.2007
[4]   (1997) 5 SCC 104
[5]   (1994) 4 SCC 276
[6]   (1981) 4 SCC 578
[7]   (1965) 2 SCR 908