SCHEDULES
F1SCHEDULE 8AFurther Provision about Claims in Respect of Loss or Damage Before a Court or the Tribunal
Part 1Interpretation
1
This Part of this Schedule contains definitions and other provisions about interpretation which apply for the purposes of this Schedule.
2Competition law etc
1
“Competition law” means—
a
the Chapter I prohibition, F2and
b
the Chapter II prohibition,
F3c
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F4d
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2
“Competition claim” means a claim in respect of loss or damage arising from an infringement of competition law (whatever the legal basis of the claim) which is made by or on behalf of—
a
the person who suffered the loss or damage, or
b
a person who has acquired that person’s right to make the claim (whether by operation of law or otherwise).
3
“Competition damages claim” means a competition claim to the extent that it is a claim for damages.
4
“Competition proceedings” means proceedings before a court or the Tribunal to the extent that they relate to a competition claim.
5
Where the context requires, references to an infringement of competition law and to loss or damage (however expressed) include an alleged infringement and alleged loss or damage.
3Competition authority etc
1
“Competition authority” means—
a
the CMA, F5and
b
a regulator, so far as it exercises functions under Part 1 of this Act concurrently with the CMA,
F6c
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F7d
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F82
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3
“Investigation materials”, in relation to a competition authority, means—
a
information prepared by a person (other than a competition authority) for the purpose of an investigation by the competition authority into an infringement of competition law;
b
information sent by the competition authority, during the course of such an investigation, to an undertaking which is the subject of the investigation;
c
a settlement submission which has been withdrawn.
4
F115
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F126
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4Cartels
1
“Cartel” means an agreement or concerted practice between two or more competitors aimed at—
a
co-ordinating their competitive behaviour in a market, or
b
otherwise influencing competition in a market,
through practices such as (but not limited to) those listed in sub-paragraph (2).
2
Those practices are—
a
fixing or co-ordinating purchase or selling prices or other trading conditions, including in relation to intellectual property rights,
b
allocating production or sales quotas, and
c
sharing markets and customers, including bid-rigging, restrictions of imports or exports or anti-competitive actions against other competitors.
3
“Cartel leniency programme” means a programme operated by a competition authority under which—
a
an undertaking that has participated in a cartel may provide the competition authority with information about the cartel and the undertaking’s involvement in it, and
b
if it does so voluntarily and independently of the other cartel members, the competition authority may give the undertaking immunity from, or a reduction in, a financial penalty which would otherwise be payable by the undertaking for its participation in the cartel.
4
“Cartel leniency statement” means a set of information provided, orally or in writing, to a competition authority by or on behalf of a person which—
a
consists of information about a cartel and the person’s role in relation to the cartel,
b
is provided voluntarily, and
c
is provided specifically for the purposes of the competition authority’s cartel leniency programme,
excluding any pre-existing information.
5
For the purposes of sub-paragraph (4)—
a
“pre-existing information” means information that exists irrespective of a competition authority’s investigations, and
b
the fact that information is in a competition authority’s file does not prevent it from being pre-existing information.
6
References to a cartel leniency statement include—
a
a part of a cartel leniency statement,
b
a quotation from a cartel leniency statement,
c
all or part of a record of a cartel leniency statement, and
d
a copy of all or part of a cartel leniency statement or of a record of such a statement.
7
On the application of a claimant in competition proceedings, a court or the Tribunal may, in accordance with procedural rules, determine whether information is a cartel leniency statement.
8
For the purposes of making a determination under sub-paragraph (7), the court or the Tribunal may—
a
take evidence from the author of the document, and
b
obtain assistance from a competition authority,
but may not obtain assistance from anyone else.
5Settlement submission to a competition authority
1
“Settlement submission” means a statement made, orally or in writing, to a competition authority by or on behalf of an undertaking—
a
which states—
i
that the undertaking accepts that it has infringed competition law, or
ii
that the undertaking does not accept that it has infringed competition law but will not dispute a decision of the competition authority that it has done so,
b
which is made voluntarily, and
c
which is made for the sole purpose of allowing the competition authority to follow a simplified or expedited procedure in connection with the infringement.
2
References to a settlement submission include—
a
a part of a settlement submission,
b
a quotation from a settlement submission,
c
all or part of a record of a settlement submission, and
d
a copy of all or part of a settlement submission or of a record of such a submission.
3
On the application of a claimant in competition proceedings, a court or the Tribunal may, in accordance with procedural rules, determine whether a document is a settlement submission.
4
For the purposes of making a determination under sub-paragraph (3), the court or the Tribunal may—
a
take evidence from the author of the document, and
b
obtain assistance from a competition authority,
but may not obtain assistance from anyone else.
6Consensual dispute resolution process
1
“Consensual dispute resolution process” means arbitration, mediation or any other process enabling parties to a dispute to resolve it out of court.
2
A dispute is resolved “out of court” even if the process involves a court or the Tribunal approving what the parties agree or declaring their agreement binding.
7Other definitions
1
“Court” means—
a
the High Court or the Court of Appeal in England and Wales,
b
the sheriff or the Court of Session,
c
the High Court or the Court of Appeal in Northern Ireland, or
d
the Supreme Court,
except in paragraphs 3(6) and 35.
2
“Damages” includes any sum of money (other than costs or expenses) which may be awarded in respect of a competition claim.
3
“Procedural rules” means—
a
in relation to proceedings before a court, rules of court, and
b
in relation to proceedings before the Tribunal, Tribunal rules.
4
“Undertaking” includes an association of undertakings.
Sch. 8A inserted (9.3.2017) by The Claims in respect of Loss or Damage arising from Competition Infringements (Competition Act 1998 and Other Enactments (Amendment)) Regulations 2017 (S.I. 2017/385), reg. 1(2), Sch. 1 para. 4 (with Sch. 1 para. 5)