Applications for leniency and no-action in cartel cases: OFT's detailed guidance on the principles and process

Start date: 26 October 2011
End date: 26 January 2012

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Summary

The Office of Fair Trading (OFT) is seeking views on draft revisions to its current guidance on the handling of applications for leniency and no-action letters in cartel cases (OFT803 Leniency and No-Action (pdf 602kb)), which was last revised in 2008.

The guidance has been revised in ways that seek to improve the transparency of the OFT's leniency policy, as well as optimising the role of the leniency policy in enabling the OFT to detect and take enforcement action against cartel activity. Many of the revisions reflect the OFT's existing policies and practices in relation to handling applications rather than representing substantive changes to the policy. 

In this regard, the OFT hopes that giving additional or clearer guidance on these aspects will enhance the transparency and predictability of the leniency policy for prospective applicants and their advisers, enabling informed decisions about whether to apply for leniency and facilitating the progress of leniency application handling throughout any ensuing investigation.

The OFT is particularly keen to seek views on a number of issues relating to the revised guidance, including whether:

• the revised guidance will facilitate understanding of the issues by those involved in decisions as to whether to apply for leniency
• the approach of structuring the guidance according to the application process is helpful, and in particular whether this will be of assistance when considering or making leniency applications
• the proposed application process is an improvement, in terms of clarity for applicants, before applying and during the process
• the draft guidance is effective at communicating the OFT's expectations on the levels/nature of cooperation required from immunity and leniency parties throughout the enforcement process
• the guidance on our existing practices and policy is sufficiently clear to promote certainty for would-be applicants and in turn encourage more applications
• the current leniency policy as described in the revised guidance is the optimal means for the OFT to secure the cooperation of cartel participants to detect and enforce cartel activity, or if not, whether there are other suggestions for changes to the policy that would result in enhanced detection and enforcement, and
• consultees agree with the OFT's proposed clarification that waivers of legal professional privilege will not be required for civil cases but that the possibility cannot be excluded in criminal cartel cases.

Penalties guidance consultation

The OFT is also consulting on a revision to its penalties guidance.

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Relevant documents

• Press release OFT consults on updated penalty and leniency guidance (26 October 2011)
• Consultation document (including revised draft guidance) (pdf 1.2Mb)

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How to respond

If you wish to provide views and/or to suggest additional questions, please send responses by post to:

Carlos Martínez Rico or Steven Preece
Office of Fair Trading
Fleetbank House
2-6 Salisbury Square
London
EC4Y 8JX

Or by email to leniency.review@oft.gsi.gov.uk or carlos.martinez@oft.gsi.gov.uk or steven.preece@oft.gsi.gov.uk. Please submit responses by 26 January 2012.

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Contacts

Team Leader: Steven Preece (020 7211 8364, steven.preece@oft.gsi.gov.uk
Project Director: Jackie Holland (020 7211 8447) jackie.holland@oft.gsi.gov.uk
Senior Responsible Officer: Amelia Fletcher (020 7211 8546) amelia.fletcher@oft.gsi.gov.uk

Media enquiries

Any media enquiries should be directed to a member of our Press Office.

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