Competition Act 1998

SCHEDULE 9 CMA's Rules

Section 51(2). General 1 In this Schedule “rules” means rules made by the CMA under section 51. Delegation of functions 1A (1) Rules may provide for the exercise of a function of the CMA under this Part on its behalf— (a) by one or more members of the CMA Board (see Part 2 of Schedule 4 to the Enterprise and Regulatory Reform Act 2013); (b) by one or more members of the CMA panel (see Part 3 of that Schedule to that Act); (c) by one or more members of staff of the CMA; (d) jointly by one or more of the persons mentioned in paragraph (a), (b) or (c). (2) Sub-paragraph (1) does not apply in relation to any function prescribed in regulations made under section 7(1) of the Civil Aviation Act 1982 (power for Secretary of State to prescribe certain functions of the Civil Aviation Authority which must not be performed on its behalf by any other person). Applications 2 Rules may make provision— (a) as to the form and manner in which an application for guidance or an application for a decision must be made; (b) for the procedure to be followed in dealing with the application; (c) for the application to be dealt with in accordance with a timetable; (d) as to the documents and information which must be given to the OFT in connection with the application; (e) requiring the applicant to give such notice of the application, to such other persons, as may be specified; (f) as to the consequences of a failure to comply with any rule made by virtue of sub-paragraph (e); (g) as to the procedure to be followed when the application is subject to the concurrent jurisdiction of the OFT and a regulator. Provisional decisions 3 Rules may make provision as to the procedure to be followed by the OFT when making a provisional decision under paragraph 3 of Schedule 5 or paragraph 3 of Schedule 6. Guidance 4 Rules may make provision as to— (a) the form and manner in which guidance is to be given; (b) the procedure to be followed if— (i) the OFT takes further action with respect to an agreement after giving guidance that it is not likely to infringe the Chapter I prohibition; or (ii) the OFT takes further action with respect to conduct after giving guidance that it is not likely to infringe the Chapter II prohibition. Decisions 5 (1) Rules may make provision as to— (a) the form and manner in which notice of any decision is to be given; (b) the person or persons to whom the notice is to be given; (c) the manner in which the CMA is to publish a decision; (d) the procedure to be followed if— (i) the CMA takes further action with respect to an agreement after having decided that it does not infringe the Chapter I prohibition; or (ii) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (iii) the CMA takes further action with respect to conduct after having decided that it does not infringe the Chapter II prohibition; ... (iv) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (2) In this paragraph “decision” means a decision of the CMA — (a) as to whether or not an agreement has infringed the Chapter I prohibition; or (b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (c) as to whether or not conduct has infringed the Chapter II prohibition; or (d) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Individual exemptions 6 Rules may make provision as to— (a) the procedure to be followed by the OFT when deciding whether, in accordance with section 5— (i) to cancel an individual exemption that it has granted, (ii) to vary or remove any of its conditions or obligations, or (iii) to impose additional conditions or obligations; (b) the form and manner in which notice of such a decision is to be given. 7 Rules may make provision as to— (a) the form and manner in which an application under section 4(6) for the extension of an individual exemption is to be made; (b) the circumstances in which the OFT will consider such an application; (c) the procedure to be followed by the OFT when deciding whether to grant such an application; (d) the form and manner in which notice of such a decision is to be given. Block exemptions 8 Rules may make provision as to— (a) the procedure to be followed by the CMA if it cancels a block exemption; (b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Assimilated exemptions 9 Rules may make provision as to— (a) the circumstances in which the CMA may— (i) impose conditions or obligations in relation to an assimilated exemption, (ii) vary or remove any such conditions or obligations, (iii) impose additional conditions or obligations, or (iv) cancel the exemption; (b) as to the procedure to be followed by the CMA if it is acting under section 10(5); (c) the form and manner in which notice of a decision to take any of the steps in sub-paragraph (a) is to be given; (d) the circumstances in which an exemption may be cancelled with retrospective effect. ... 10 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Directions withdrawing exclusions 11 Rules may make provision as to the factors which the CMA may take into account when it is determining the date on which a direction given under paragraph 4(1) of Schedule 1 or paragraph 2(3) or 9(3) of Schedule 3 is to have effect. Disclosure of information 12 (1) Rules may make provision as to the circumstances in which the CMA is to be required, before disclosing information given to it by a third party in connection with the exercise of any of the CMA's functions under Part I, to give notice, and an opportunity to make representations, to the third party. (2) In relation to the agreement (or conduct) concerned, “third party” means a person who is not a party to the agreement (or who has not engaged in the conduct). Applications under section 47 13 Rules may make provision as to— (a) the period within which an application under section 47(1) must be made; (b) the procedure to be followed by the CMA in dealing with the application; (c) the person or persons to whom notice of the CMA's response to the application is to be given. Oral hearings: procedure 13A (1) Rules may make provision as to the procedure to be followed by the CMA in holding oral hearings as part of an investigation. (2) Rules may, in particular, make provision as to the appointment of a person mentioned in sub-paragraph (3) who has not been involved in the investigation in question to— (a) chair an oral hearing, and (b) prepare a report following the hearing and give it to the person who is to exercise on behalf of the CMA its function of making a decision (within the meaning given by section 31(2)) as a result of the investigation. (3) The persons are— (a) a member of the CMA Board; (b) a member of the CMA panel; (c) a member of staff of the CMA. (4) The report must— (a) contain an assessment of the fairness of the procedure followed in holding the oral hearing, and (b) identify any other concerns about the fairness of the procedure followed in the investigation which have been brought to the attention of the person preparing the report. Procedural complaints 13B (1) Rules may make provision as to arrangements to be made by the CMA for dealing with complaints about the conduct by the CMA of an investigation. (2) Rules may, in particular, make provision as to— (a) the appointment of a person mentioned in sub-paragraph (3) who has not been involved in the investigation in question to consider any such complaint; (b) the time-table for the consideration of any such complaint. (3) The persons are— (a) a member of the CMA Board; (b) a member of the CMA panel; (c) a member of staff of the CMA. Settling cases 13C Rules may make provision as to the procedure to be followed in a case where, during an investigation, one or more persons notify the CMA that they accept that there has been an infringement of a kind to which the investigation relates. Enforcement 14 Rules may make provision as to the procedure to be followed when the CMA takes action under any of sections 32 to 40 with respect to the enforcement of the provisions of this Part.