Procedures

The procedures in the Regulations enable the OFT to start an investigation on its own initiative, if it thinks there are reasonable grounds for suspecting that there is or has been in existence an agreement which may infringe the prohibition in Article 81(1), or if there are reasonable grounds for suspecting that the prohibition in Article 82 has been infringed. They also provide for the OFT to investigate if a party to an agreement applies for an agreement to be considered under regulation 7 or if a person applies for conduct to be considered under regulation 10.

The Regulations provide that, when carrying out investigations, the OFT has similar powers to those it possesses when investigating under CA98 (including power to enter premises and power to require production of documents). The regulations also include offences similar to those in CA98.

Under regulation 4, the OFT can grant an exemption from the prohibition in Article 81(1) with respect to a particular agreement if it is requested to do so and if the conditions for the application of Article 81(3) are met. The exemption may be granted subject to such conditions and obligations as the OFT considers it appropriate to impose. Regulation 5 makes provision in relation to cancellation etc of exemptions.

If the OFT decides that an agreement infringes the prohibition in Article 81(1) or that conduct infringes the prohibition in Article 82, it can give directions to bring the infringement to an end (regulations 18 and 19). The OFT can also give directions if it is authorised by the European Commission, following a reasoned decision recording an infringement of Article 81(1) or Article 82, to take measures needed to remedy the situation pursuant to Article 85.

There are also provisions concerning interim measures (regulation 21), appeals (regulations 25 to 28 and Schedule 2), disclosure of information (regulations 29 and 30), findings of fact by the OFT (regulation 32) and Crown application (regulation 34) which are modelled on the provisions in CA98.

It should also be noted that the OFT may not impose financial penalties under the regulations. Schedule 1 sets out the procedural rules to be followed by the OFT and by applicants and the form (Form ERN) to be used if an application is made under regulation 7 or regulation 10. 

The OFT is required to maintain a public register giving information about applications made under the regulations.

Download Form ERN.

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