SCHEDULES

SCHEDULE 9F17CMA's Rules

Section 51(2).

Annotations:
Amendments (Textual)
F17

Word in Sch. 9 heading substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 5 para. 58(2) (with s. 28); S.I. 2014/416, art. 2(1)(d) (with Sch.)

General

F21

In this Schedule “rules” means rules made by the F18CMA under section 51.

F13Delegation of functions

Annotations:
Amendments (Textual)
F13

Sch. 9 para. 1A and cross-heading inserted (25.4.2013 for specified purposes, 1.4.2014 in so far as not already in force) by Enterprise and Regulatory Reform Act 2013 (c. 24), ss. 42(4), 103(1)(i)(3); S.I. 2014/416, art. 2(1)(b) (with Sch.)

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

F3Rules 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 F1OFT 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 F1OFT and a regulator.

Provisional decisions

3

F4Rules may make provision as to the procedure to be followed by the F1OFT when making a provisional decision under paragraph 3 of Schedule 5 or paragraph 3 of Schedule 6.

Guidance

4

F5Rules 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 F1OFT 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 F1OFT 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 F19CMA is to publish a decision;

F6d

the procedure to be followed if—

i

the F19CMA takes further action with respect to an agreement after having decided that it does not infringe the Chapter I prohibition; F30or

F31ii

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

iii

the F19CMA takes further action with respect to conduct after having decided that it does not infringe the Chapter II prohibition; F32...

F32iv

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F72

In this paragraph “decision” means a decision of the F19CMA —

a

as to whether or not an agreement has infringed the Chapter I prohibition; F33or

F34b

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

c

as to whether or not conduct has infringed the Chapter II prohibition; or

F35d

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Individual exemptions

6

F8Rules may make provision as to—

a

the procedure to be followed by the F1OFT when deciding whether, in accordance with section 5—

i

to cancel an individual exemption that F1it 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

F9Rules 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 F1OFT will consider such an application;

c

the procedure to be followed by the F1OFT 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

F108

Rules may make provision as to—

a

the procedure to be followed by the F20CMA if it cancels a block exemption;

F36b

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F28F38Assimilated exemptions

Annotations:
Amendments (Textual)

9

Rules may make provision as to—

a

the circumstances in which the F21CMA may—

i

impose conditions or obligations in relation to F39an assimilatedF37exemption,

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 F21CMA if F1it 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.

F29...

Annotations:
Amendments (Textual)

F2910

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Directions withdrawing exclusions

11

F12Rules may make provision as to the factors which the F22CMA may take into account when F1it 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 F23CMA is to be required, before disclosing information given to F1it by a third party in connection with the exercise of any of the F24CMA'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 F25CMA in dealing with the application;

c

the person or persons to whom notice of the F26CMA's response to the application is to be given.

F14Oral hearings: procedure

Annotations:
Amendments (Textual)
F14

Sch. 9 para. 13A and cross-heading inserted (25.4.2013 for specified purposes, 1.4.2014 in so far as not already in force) by Enterprise and Regulatory Reform Act 2013 (c. 24), ss. 42(5), 103(1)(i)(3); S.I. 2014/416, art. 2(1)(b) (with Sch.)

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.

F15Procedural complaints

Annotations:
Amendments (Textual)
F15

Sch. 9 para. 13B and cross-heading inserted (25.4.2013 for specified purposes, 1.4.2014 in so far as not already in force) by Enterprise and Regulatory Reform Act 2013 (c. 24), ss. 42(6), 103(1)(i)(3); S.I. 2014/416, art. 2(1)(b) (with Sch.)

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.

F16Settling cases

Annotations:
Amendments (Textual)
F16

Sch. 9 para. 13C and cross-heading inserted (25.4.2013 for specified purposes, 1.4.2014 in so far as not already in force) by Enterprise and Regulatory Reform Act 2013 (c. 24), ss. 42(7), 103(1)(i)(3); S.I. 2014/416, art. 2(1)(b) (with Sch.)

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 F27CMA takes action under any of sections F1132 to 40 with respect to the enforcement of the provisions of this Part.