The Competition Appeal Tribunal Rules 2015

• (11) Where the Tribunal approves the collective settlement after the expiry of the period specified in the collective proceedings order in accordance with rule 80(1)(h)(ii) or (iii) within which persons may opt out or (if not domiciled in the United Kingdom) opt in to the collective proceedings, the collective settlement approval order binds all represented persons except—

• (a) a person who opts out of the collective settlement by notifying the class representative in a manner and by a time specified in the collective settlement approval order; and

• (b) a person who is not domiciled in the United Kingdom on the domicile date and does not opt in to the collective settlement by notifying the class representative in a manner and by a time specified in the collective settlement approval order.

• (12) Where the Tribunal approves the collective settlement before the expiry of the period referred to in paragraph (11), the collective settlement approval order binds all class members except—

• (a) a person who opts out of the collective settlement by notifying the class representative in a manner and by a time specified in the collective settlement approval order; and

• (b) a person who is not domiciled in the United Kingdom on the domicile date and does not opt in to the collective settlement by notifying the class representative in a manner and by a time specified in the collective settlement approval order.

• (13) If the Tribunal approves the proposed collective settlement, the class representative shall give notice of the terms of the settlement and its approval, in a form and manner approved by the Tribunal, to the represented persons in a case to which paragraph (11) applies, or to the class members in a case to which paragraph (12) applies, and to any other persons as the Tribunal may direct.

• (14) If one or more of the represented persons or class members are to be omitted from the collective settlement, the Tribunal may permit the proceedings to continue as one or more claims between different parties and for that purpose—

• (a) order the addition, removal or substitution of parties;

• (b) order the amendment of the collective proceedings claim form; or

• (c) make any other order that it considers appropriate.

• (15) If the Tribunal does not approve the proposed collective settlement, the application for a collective settlement approval order and the terms of the proposed collective settlement may not be relied on at the trial of the collective proceedings, unless all the parties to that application agree in writing.

Collective settlements where a collective proceedings order has been made: opt-in proceedings

95

Where a collective proceedings order has been made and the Tribunal has specified that the proceedings are opt-in collective proceedings, the class representative may not without the permission of the Tribunal settle those proceedings before the expiry of the time specified in the collective proceedings order as the time by which a class member may without the permission of the Tribunal opt in to those proceedings.

Collective settlements where a collective proceedings order has not been made

96

• (1) An application for a collective settlement order shall be made to the Tribunal by—

• (a) a person who proposes to be the settlement representative in relation to the collective settlement; and

• (b) the person who, if collective proceedings were brought in respect of the claims would be a defendant in those proceedings (or where more than one person would be a defendant in those proceedings, such of those persons as wish to be bound by the proposed collective settlement).

• (2) The application for a collective settlement order referred to in paragraph (1) shall—

• (a) identify the proposed settlement representative;

• (b) provide a summary of the basis on which the proposed settlement representative seeks to be authorised to act in that capacity in accordance with paragraphs (9) to (11);

• (c) identify the person or persons who would be a defendant or defendants in collective proceedings and who it is proposed will be parties to the collective settlement;

• (d) provide a description of the proposed settlement class;

• (e) provide an estimate of the number of class members and the basis for that estimate;

• (f) provide details of the claims to be settled by the proposed collective settlement;

• (g) provide a summary of the basis on which the claims, if they had been made in collective proceedings, would satisfy the requirements of rule 79; and

• (h) annex—

• (i) a draft collective settlement order;

• (ii) a draft of the summary referred to in paragraph (5); and

• (iii) a draft of the notice referred to in paragraph (15).

• (3) Unless the Tribunal otherwise directs, the signed original of the application for a collective settlement order shall be accompanied by five copies of the application and its annexes certified by the proposed settlement representative or its legal representative as conforming to the original.

Response to an application for a collective settlement order 4 On receiving an application for a collective settlement order, the Tribunal may give any directions it thinks fit, including for the hearing of the application. 5 The Registrar shall publish a summary of the application for a collective settlement order on the Tribunal website.

Determination of the application for a collective settlement order 6 The Tribunal may make a collective settlement order only— a if it considers that the person who proposes to be the settlement representative is a person who, if the order were made, the Tribunal could authorise to act as the settlement representative in relation to the collective settlement in accordance with paragraphs (9) to (11); and b in respect of claims which, if collective proceedings were brought, would be eligible for inclusion in such proceedings in accordance with rule 79. 7 At the hearing of the application for a collective settlement order, the Tribunal may make— a a collective settlement order; and b any other order or give any other directions as it considers appropriate. 8 Any member of the proposed settlement class may apply to make submissions either in writing or orally at the hearing of the application for a collective settlement order. 9 The Tribunal may authorise a person to act as the settlement representative only if it considers that it is just and reasonable. 10 In determining whether it is just and reasonable for a person to act as the settlement representative, the Tribunal shall consider whether that person— a would fairly and adequately act in the interests of the class members; and b does not have, in relation to the common issues for the class members, a material interest that is in conflict with the interests of the class members. 11 In determining whether the proposed settlement representative would act fairly and adequately in the interests of the class members for the purposes of paragraph (10)(a), the Tribunal may take into account all the circumstances, including— a whether the proposed settlement representative is a member of the settlement class, and if so, its suitability to manage the settlement; b if the proposed representative is not a member of the settlement class, whether it is a pre-existing body and the nature and functions of that body; and c whether the proposed settlement representative has prepared a plan for the collective settlement that satisfactorily includes— i a method for notifying the class members of the fact and progress of the collective settlement; and ii where the proposed collective settlement involves payment of an aggregate amount, a procedure for determination of claims by class members to be paid out of that amount that takes into account the size and nature of the settlement class.

The collective settlement order 12 A collective settlement order shall authorise the settlement representative to continue to act in relation to the collective settlement and shall— a state the name and address of the settlement representative; b state the name of each party to the collective settlement who would be a defendant had collective proceedings been brought; c describe or otherwise identify the settlement class; d describe or otherwise identify the claims to be settled by the collective settlement; e specify the domicile date; and f order the publication of a notice to class members in accordance with paragraph (15). 13 A collective settlement order may include any other provision the Tribunal considers appropriate. 14 In describing or otherwise identifying the settlement class for the purposes of paragraph (12)(c), it is not necessary for the order to name or specify the number of the class members.

Notice of the collective settlement order 15 The settlement representative shall give notice of the collective settlement order to class members in a form and manner approved by the Tribunal. 16 The notice referred to in paragraph (15) shall— a incorporate or have annexed to it the collective settlement order; b contain a summary in easily understood language of the claims to be settled by the collective settlement; c include a statement explaining that the subsequent making of a collective settlement approval order will bind— i a class member domiciled in the United Kingdom on the domicile date who does not opt out of the collective settlement; and ii a class member who is not domiciled in the United Kingdom on the domicile date who opts in to the collective settlement; and d give such other information as the Tribunal directs.

Variation or revocation of the collective settlement order 17 The Tribunal may, either of its own initiative or on the application of a class member or party, make an order for the variation or revocation of the collective settlement order.

Collective settlement approval order

97

• (1) Where the Tribunal has made a collective settlement order, an application for a collective settlement approval order shall be made to the Tribunal by—

• (a) the settlement representative; and

• (b) the person who, if collective proceedings were brought in respect of the claims, would be a defendant in those proceedings or, where more than one person would be a defendant in those proceedings, such of those persons as wish to be bound by the proposed collective settlement.

• (2) The application referred to in paragraph (1) shall—

• (a) provide details of the claims to be settled by the proposed collective settlement;

• (b) set out the terms of the proposed collective settlement, including any related provisions as to the payment of costs, fees and disbursements;

• (c) contain a statement that the applicants believe that the terms of the proposed settlement are just and reasonable, supported by evidence which may include any report by an independent expert or any opinion of the applicants’ legal representatives as to the merits of the collective settlement;

• (d) specify how any sums received under the collective settlement are to be paid and distributed;

• (e) have annexed to it a draft collective settlement approval order; and

• (f) set out the form and manner by which the settlement representative proposes to give notice of the application to members of the settlement class.

• (3) Unless the Tribunal otherwise directs, the signed original of the application for a collective settlement approval order shall be accompanied by five copies of the order and its annexes certified by the class representative or its legal representative as conforming to the original.

• (4) On receiving an application for a collective settlement approval order, the Tribunal may give any directions it thinks fit, including—

• (a) for the confidential treatment of any part of an application for a collective settlement approval order;

• (b) for the giving of or dispensing with the notice referred to in paragraph (2)(f);

• (c) for further evidence to be filed on the merits of the proposed collective settlement; and

• (d) for the hearing of the application.

• (5) Any member of the proposed settlement class may apply to make submissions in writing or orally at the hearing of the application for a collective settlement approval order.

• (6) At the hearing of the application, the Tribunal may make a collective settlement approval order where it is satisfied that terms of the collective settlement are just and reasonable.

• (7) In determining whether the terms are just and reasonable, the Tribunal may take account of all relevant circumstances, including—

• (a) the amount and terms of the settlement, including any related provisions as to the payment of costs, fees and disbursements;

• (b) the number or estimated number of persons likely to be entitled to a share of the settlement;

• (c) the likelihood of judgment being obtained if the claims were made in collective proceedings for an amount significantly in excess of the amount of the settlement;

• (d) the likely duration and cost of proceedings if the claims were made in collective proceedings which proceeded to trial;

• (e) any opinion by an independent expert and any legal representative of the applicants;

• (f) the views of any member of the settlement class; and

• (g) the provisions regarding the disposition of any unclaimed balance of the settlement, but a provision that any unclaimed balance of the settlement amount reverts to the parties paying or contributing to the settlement amount shall not of itself be considered unreasonable.

• (8) A collective settlement approval order may specify the time and manner by which—

• (a) a class member who is domiciled in the United Kingdom on the domicile date may opt out of the collective settlement; and

• (b) a class member who is not domiciled in the United Kingdom on the domicile date may opt in to the collective settlement.

• (9) A collective settlement approval order binds all class members except—

• (a) a person who opts out of the collective settlement by notifying the class representative in a manner and by a time specified in the collective settlement approval order; and

• (b) a person who is not domiciled in the United Kingdom on the domicile date and does not opt in to the collective settlement by notifying the class representative in a manner and by a time specified in the collective settlement approval order.

• (10) If the Tribunal approves the proposed collective settlement, the settlement representative shall give notice of the terms of the settlement and its approval, in a form and manner approved by the Tribunal, to the class members and to any other persons as the Tribunal may direct.

• (11) An application for a collective settlement approval order may be made at the same time as an application for a collective settlement order.

• (12) If the Tribunal does not approve the proposed collective settlement, the application for a collective settlement approval order and the terms of the proposed collective settlement may not be relied on at the trial of the claims that are the subject of the proposed collective settlement, unless all the parties to that application agree in writing.

COSTS AND FEES

Costs

98

• (1) Subject to paragraph (2), costs may be awarded to or against the class representative, but may not be awarded to or against a represented person who is not the class representative, save that—

• (a) if the Tribunal has approved the appointment of a class representative for a sub-class, costs associated with the determination of the common issues for the sub-class may be awarded to or against that person, and not the class representative for the whole class; and

• (b) costs associated with the determination of individual issues in accordance with rule 88(2)(c) may be awarded to or against the relevant individual represented persons.

• (2) Costs relating to an application made by a class member, whether or not that class member is a represented person under a collective proceedings order, may be awarded to or against that class member.

PART 6 — GENERAL AND SUPPLEMENTARY

THE HEARING

Hearing to be in public

99

• (1) Every hearing is to be in public except that a hearing or part of a hearing may be in private if the Tribunal is satisfied that it will be considering information which is, in the opinion of the Tribunal, information of the kind referred to in paragraph 1(2) of Schedule 4 to the 2002 Act.

• (2) Where a hearing, or part of it, is to be held in private, the Tribunal may determine who is entitled to attend the hearing or part of it.

Quorum

100

• (1) If, after the commencement of any hearing, the chairman is unable to continue, the President may appoint either of the remaining two members to chair the Tribunal; and in that case the Tribunal is to consist of the remaining two members for the rest of the proceedings.

• (2) If the person appointed under paragraph (1) is not a member of the panel of chairmen, the President may attend the proceedings and advise the remaining members on any questions of law arising, or appoint some other suitably qualified person to do so.

• (3) For the purposes of paragraph (2), a person is “suitably qualified” if that person is, or is qualified for appointment as, a member of the panel of chairmen.

• (4) If, after the commencement of any hearing, a member of the Tribunal (other than its chairman) is unable to continue, the President may decide that the Tribunal is to consist of the remaining two members for the rest of the proceedings.

• (5) Where in accordance with this rule the Tribunal consists of two members, a decision of the Tribunal shall be unanimous.

CONFIDENTIALITY

Requests for confidential treatment

101

• (1) A request for the confidential treatment of any document or part of a document provided in the course of proceedings before the Tribunal shall—

• (a) be made in writing indicating the relevant words, figures or passages for which confidentiality is claimed; and

• (b) be supported in each case by specific reasons,

and, if so directed by the Registrar, the person making the request shall supply a non-confidential version of the relevant document.

• (2) In the event of a dispute as to whether confidential treatment should be accorded, the Tribunal shall decide the matter after hearing the parties and having regard to the need to exclude information of the kind referred to in paragraph 1(2) of Schedule 4 to the 2002 Act.

• (3) The Tribunal may direct that documents, or parts of a document, containing confidential information are disclosed within a confidentiality ring.

Subsequent use of documents provided in proceedings

102

• (1) Subject to paragraphs (2) to (4), a party to whom a document has been provided in the course of proceedings—

• (a) by the Tribunal;

• (b) by another party; or

• (c) in accordance with an order under rule 63,

may use that document only for the purpose of those proceedings.

• (2) Except where a document or a part of a document has been provided within a confidentiality ring, the restriction in paragraph (1) does not apply to a document if—

• (a) subject to paragraph (5), the document has been read to or by the Tribunal, or referred to, at a hearing which has been held in public;

• (b) the Tribunal gives permission; or

• (c) the party who produced or disclosed the document and the person to whom the document belongs agree.

• (3) Where a document or part of a document has been provided within a confidentiality ring, the restriction in paragraph (1) applies unless the Tribunal gives permission for further use of that document or the information contained in the document or part of a document.

• (4) The restriction in paragraph (1) does not prevent the CMA or any statutory body which is the maker of a disputed decision that is remitted to it by the Tribunal from using such documents for the purposes of determining the remitted issue.

• (5) The Tribunal may, either of its own initiative or on the application of a party under paragraph (6), make an order restricting or prohibiting the use of any document provided in the course of proceedings, even where the document has been read to or by the Tribunal, or referred to, at a hearing which has been held in public.

• (6) An application for such an order may be made—

• (a) by a party;

• (b) by any person to whom the document belongs; or

• (c) by any person who claims that the document contains confidential information relating to them.

DECISION OF THE TRIBUNAL

Delivery of the decision

103

• (1) The decision of the Tribunal shall be delivered—

• (a) by handing down the decision in public on a date fixed for that purpose;

• (b) by publishing the decision on the Tribunal’s website; or

• (c) in such other manner as may be specified by practice direction.

• (2) The Registrar shall send a copy of the document recording the decision to each party and shall enter it on the register.

• (3) The decision of the Tribunal is to be treated as having been notified on the date on which a copy of the document recording it is sent to the parties under paragraph (2).

• (4) The decision of the Tribunal be published in such manner as the President considers appropriate.

Costs

104

• (1) For the purposes of these rules “costs” means costs and expenses recoverable before the Senior Courts of England and Wales, the Court of Session or the Court of Judicature of Northern Ireland, as appropriate, and include payments in respect of the representation of a party to proceedings under section 47A (claims for damages) or 47B (collective proceedings) of the 1998 Act³⁹, where the representation by a legal representative was provided free of charge.

• (2) The Tribunal may at its discretion, subject to rules 48 and 49, at any stage of the proceedings make any order it thinks fit in relation to the payment of costs in respect of the whole or part of the proceedings.

• (3) For the purposes of paragraph (2), applications made under rule 62 or 63 are considered to be proceedings of the Tribunal.

• (4) In making an order under paragraph (2) and determining the amount of costs, the Tribunal may take account of—

• (a) the conduct of all parties in relation to the proceedings;

• (b) any schedule of incurred or estimated costs filed by the parties;

• (c) whether a party has succeeded on part of its case, even if that party has not been wholly successful;

• (d) any admissible offer to settle made by a party which is drawn to the Tribunal’s attention, and which is not a Rule 45 Offer to which costs consequences under rules 48 and 49 apply;

• (e) whether costs were proportionately and reasonably incurred; and

• (f) whether costs are proportionate and reasonable in amount.

• (5) The Tribunal may assess the sum to be paid under any order under paragraph (2) or may direct that it be—

• (a) assessed by the President, a chairman or the Registrar; or

• (b) dealt with by the detailed assessment of a costs officer of the Senior Courts of England and Wales or a taxing officer of the Court of Judicature of Northern Ireland or by the Auditor of the Court of Session, as appropriate.

• (6) The power to award costs under paragraphs (1) to (5) includes the power to direct any party to pay to the Tribunal such sum as may be appropriate in reimbursement of any costs incurred by the Tribunal in connection with the summoning or citation of witnesses or the instruction of experts on the Tribunal’s behalf; and any sum due as a result of such a direction may be recovered by the Tribunal as a civil debt due to the Tribunal.

Interest

105

• (1) If it imposes, confirms or varies any penalty under Part 1 of the 1998 Act, the Tribunal may, in addition, order that interest is to be payable on the amount of any such penalty from such date, not being a date earlier than the date of the notice of appeal, and at such rate, as the Tribunal considers appropriate.

• (2) Interest ordered to be paid under paragraph (1) is to form part of the penalty and be recoverable as a civil debt in addition to the amount recoverable under section 36 of the 1998 Act⁴⁰.

• (3) If it makes an award of damages the Tribunal may include in any sum awarded interest on all or any part of the damages in respect of which the award is made, for all or any part of the period between the date when the cause of action arose and—

• (a) in the case of any sum paid before the decision making the award, the date of the payment; and

• (b) in the case of the sum awarded, the date of that decision.

• (4) Unless the Tribunal otherwise directs, the rate of interest ordered to be paid or included in an award in accordance with this rule shall not exceed the rate specified in any Order made under section 44 of the Administration of Justice Act 1970⁴¹.

Consent orders

106

• (1) If all the parties agree the terms of an order, the Tribunal may, if it thinks fit, make the order, in which case it shall be identified as having been made by consent.

• (2) If the Tribunal considers that a draft consent order may have a significant effect on competition, it may—

• (a) require the parties to file a consent order impact statement; and

• (b) direct the Registrar to publish a notice on the Tribunal website or in such other manner as the Tribunal may direct.

• (3) A consent order impact statement shall provide an explanation of the draft consent order, including an explanation of the circumstances giving rise to the draft order, the relief to be obtained if the order is made and the anticipated effects on competition of that relief.

APPEALS FROM THE TRIBUNAL

Permission to appeal

107

• (1) A request to the Tribunal for permission to appeal from a decision of the Tribunal shall be made in writing and sent to the Registrar within three weeks of the notification of that decision.

• (2) A request for permission to appeal shall be signed and dated by the party or its representative and shall—

• (a) state the name and address of the party and of any representative of the party;

• (b) identify the Tribunal decision to which the request relates;

• (c) state the grounds on which the party intends to rely in its appeal; and

• (d) state whether the party requests a hearing of its request and any special circumstances relied on.

Decision of the Tribunal on request for permission to appeal

108

• (1) On receipt of a request for permission to appeal, the Tribunal may decide without a hearing whether or not to grant such permission, unless it considers that special circumstances render a hearing desirable.

• (2) The decision of the Tribunal on a request for permission to appeal shall be recorded in writing and the Registrar shall notify the parties of the decision.

REFERENCES TO THE EUROPEAN COURT

References to the European Court

109

• (1) A reference may be made by the Tribunal of its own initiative at any stage in the proceedings or on application by a party before or at the oral hearing.

• (2) A reference shall include a schedule setting out the request for the preliminary ruling of the European Court and the Tribunal may give directions as to the manner and form in which the schedule is to be prepared.

• (3) The proceedings in relation to which a reference is made shall, unless the Tribunal otherwise directs, be stayed (or in Scotland, sisted) until the European Court has given a preliminary ruling on the question referred to it.

• (4) When a reference has been made, the Registrar shall send a copy of it to the Registrar of the European Court.

• (5) In this rule—

• “European Court” means the Court of Justice of the European Union;

• “reference” means an order referring a question to the European Court for a preliminary ruling under Article 267 of the TFEU⁴² or as provided for under any agreement to which the European Union or the Member States of the European Union are parties.

SUPPLEMENTARY

Power of President, chairman and Registrar to exercise powers of Tribunal

110

• (1) Any act required or authorised by these Rules, other than one required or authorised by the following rules—

• (a) rules 11 and 26(3) (power to strike out);

• (b) rule 13 (withdrawal of the appeal), in the case of a withdrawal during or after the hearing;

• (c) rule 41 (power to strike out);

• (d) rule 42 (default judgment);

• (e) rule 43 (summary judgment);

• (f) rule 44 (withdrawal of the claim), in the case of a withdrawal during or after the hearing;

• (g) rule 77 (determination of the application for a collective proceedings order);

• (h) rule 85 (stay, variation or revocation of the collective proceedings order), in the case of revocation of the collective proceedings order;

• (i) rule 87 (applications for withdrawal by the class representative);

• (j) rules 94(8) and 97(6) (making of a collective settlement approval order);

• (k) rule 96(6) (determination of the application for a collective settlement order);

• (l) rule 108 (decision of the Tribunal on request for permission to appeal);

• (m) rule 109 (references to the European Court),

may be done by the President or a chairman acting alone.

• (2) If so authorised by the President, the Registrar may, subject to paragraph (3) and without prejudice to rule 104(5)—

• (a) make any order by consent (except where rule 106(2) applies);

• (b) make a direction under rule 9(7);

• (c) deal with extensions or abridgments of time limits under rule 19(2)(m), except a request for an extension of time for filing an appeal or application under Part 2 or Part 3 of these Rules;

• (d) deal with requests for confidential treatment under rule 101;

• (e) exercise the Tribunal’s powers in respect of the service of documents under rule 111.

• (3) A party may within five days of any decision by the Registrar in accordance with paragraph (2) request in writing that the decision be reviewed by the President, and the President may determine the matter acting alone or refer the matter to a chairman or to the Tribunal.

Documents etc.

111

• (1) Subject to paragraph (16), any document required to be sent to or served on any person for the purposes of proceedings under these Rules (including documents required to be sent to the Registrar for filing) may be—

• (a) delivered personally at the appropriate address;

• (b) sent to that person at the appropriate address by first class post;

• (c) served through a document exchange or by any other service which provides for delivery on the next business day;

• (d) where authorised by the Tribunal, sent to that person by fax or other means of electronic communication; or

• (e) sent or served in such other manner as may be specified by practice direction.

• (2) Where it appears to the Tribunal that there is a good reason to authorise service by a method or at a place not otherwise permitted by these Rules, the Tribunal may of its own initiative or on the request of a party make an order permitting and specifying an alternative method of service or place, and specifying when the document is to be deemed to be served.

• (3) The Tribunal may dispense with service of a document if the interests of justice so require.

• (4) A document which is filed, sent to or served on a person in accordance with these Rules is to be treated as if it had been filed, received by or served on that person—

• (a) in the case of personal delivery, on the day of delivery;

• (b) when sent by first class post, through a document exchange or any other service in accordance with paragraph (1)(c), on the second day after it was posted or left at the document exchange or delivered to or collected by the relevant service provider; and

• (c) in the case of a fax or other electronic communication sent on a business day before 5pm, on that day, or in any other case, on the next business day.

• (5) If a document (other than a fax or other electronic communication) is filed, sent or served or is treated in accordance with paragraph (4) as having been filed, sent or served at or after 5pm on a business day, or at any time on a Saturday, Sunday or a Bank Holiday, the document is to be treated as having been filed, sent or served on the next business day.

• (6) For the purposes of these Rules “business day” means any day except Saturday, Sunday or a Bank Holiday and “Bank Holiday” includes Christmas Day and Good Friday.

• (7) With regard to an appeal or application made under Part 2 or 3 of these Rules, the appropriate address for a person for the purposes of paragraph (1) is—

• (a) in the case of a document directed to the appellant or applicant (or to its representative), the address stated in the notice of appeal or notice of application , or such other address as may be subsequently notified to the Tribunal;

• (b) in the case of a document addressed to the respondent, the address stated in the defence, or such other address as may be subsequently notified to the Tribunal;

• (c) in the case of an intervener, the address stated in the request to intervene, or such other address as may be subsequently notified to the Tribunal.

• (8) With regard to a claim made or collective proceedings brought under Part 4 or 5 of these Rules, the appropriate address for a person for the purposes of paragraph (1) is—

• (a) in the case of a document directed to the claimant or the person applying for a collective proceedings order, the address stated in the claim form or the collective proceedings claim form or such other address as may be notified by the Tribunal;

• (b) in the case of a claim form to be served on the defendant, subject to paragraph (9), the address of the defendant stated in the claim form or the collective proceedings claim form;

• (c) in the case of any other document addressed to the defendant, the address stated in that defendant’s acknowledgment of service filed with the Tribunal or such other address as may be subsequently notified to the Tribunal.

• (9) Where—

• (a) the defendant has given in writing the business address within the jurisdiction of a legal representative as an address at which the defendant may be served with the claim form or collective proceedings claim form; or

• (b) a legal representative acting for the defendant has notified the claimant or person applying for a collective proceedings order in writing that the legal representative is instructed by the defendant to accept service of the claim form or collective proceedings claim form on behalf of the defendant at a business address within the jurisdiction,

the claim form or collective proceedings claim form shall be served at the business address of that legal representative.

• (10) The appropriate address for the Registrar and Tribunal for the purposes of paragraph (1) is the Tribunal’s address for service in accordance with rule 6.

• (11) Where the address for service of a party changes, that party shall give notice in writing of the change as soon as it has taken place to the Tribunal and every other party.

• (12) Anything required to be sent to or served on a company or other corporation is duly sent or served if it is sent to or served on a person holding a senior position within the company or corporation; and for that purpose, each of the following persons is a person holding a senior position—

• (a) in respect of a registered company or corporation, a director, the treasurer, the secretary of the company or corporation, the chief executive or other officer of the company or corporation; and

• (b) in respect of a company or corporation which is not registered, in addition to any of the persons set out in paragraph (a), the mayor, the chairman, the president, a town clerk or similar officer of the company or corporation.

• (13) Anything required to be sent or delivered to or served on a partnership is duly sent or served if it is sent to or served on any one of the partners for the time being or a person who, at the time of service, has the control or management of the partnership business at its principal place of business.

• (14) Where—

• (a) a document is to be served by the Tribunal; and

• (b) the Tribunal is unable to serve it,

the Tribunal shall send a notice of non-service, stating the method attempted, to the other parties to the proceedings.

• (15) The Registrar shall, at the request of the Tribunal, or any party, certify the steps taken to serve a document in accordance with this rule, including the date and manner of service.

• (16) With regard to a claim form or collective proceedings claim form to be served on a defendant outside the jurisdiction (and subject to rules 31, 33(2) and 76(2)), the claimant or person applying for a collective proceedings order shall serve the claim form or collective proceedings claim form by any method permissible under Part 6 of the CPR in relation to proceedings in England and Wales or the equivalent provisions in the equivalent procedural rules for Scotland or Northern Ireland in relation to proceedings taking place in Scotland or Northern Ireland respectively.

Time

112

• (1) Unless otherwise specified, an act required by the Tribunal, the President, a chairman or the Registrar, or by these Rules, to be done on or by a particular day shall be done before 5pm on that day.

• (2) Where a period expressed in days, weeks or months is to be calculated from the moment at which an event occurs or an action takes place, the day during which that event occurs or that action takes place is not to be counted as falling within the period in question.

• (3) A period expressed in weeks or months ends with the expiry of whichever day in the last week or month is the same day of the week or falls on the same date in the month, as the day during which the event or action from which the period is to be calculated occurred or took place; and if, in a period expressed in months, the day on which it should expire does not occur in the last month, the period ends with the expiry of the last day of that month.

• (4) “Month” means calendar month.

• (5) Where the time prescribed for doing any act expires on a Saturday, Sunday or Bank Holiday, the act is in time if done on the next following day which is not a Saturday, Sunday or Bank Holiday.

Funding Arrangements

113

Subject to section 47C(8) of the 1998 Act⁴³ and rule 93(4), the rules on funding arrangements made under Part 2 of the Courts and Legal Services Act 1990⁴⁴ apply to proceedings before the Tribunal.

Irregularities

114

• (1) Any irregularity resulting from failure to comply with any provision of these Rules before the Tribunal has reached its decision does not of itself render the proceedings void.

• (2) Where any such irregularity comes to the attention of the Tribunal, the Tribunal may, and shall if it considers any person may have been prejudiced by the irregularity, give such directions as it thinks just, to cure or waive the irregularity before reaching its decision.

• (3) Clerical mistakes in any document recording a direction, order or decision of the Tribunal, the President, a chairman or the Registrar, or errors arising in such a document from an accidental slip or omission, may be corrected by the President, that chairman or the Registrar, as the case may be, by—

• (a) sending notification of the amended direction, order or decision, or a copy of the amended document, to each party; and

• (b) making the necessary amendment to any information published on the Tribunal website in relation to the direction, order or decision.

General power of the Tribunal

115

• (1) Subject to the provisions of these Rules, the Tribunal may regulate its own procedure.

• (2) A power of the Tribunal under these Rules to make an order or direction includes a power to vary or revoke the order or direction.

• (3) The President may issue practice directions in relation to the procedures provided for by these Rules.

PART 7 — REFERENCE OF PRICE CONTROL MATTERS TO THE CMA UNDER THE 2003 ACT

Reference of price control matters to the CMA

116

• (1) For the purposes of subsection (1) of section 193 of the 2003 Act (reference of price control matters to the CMA)⁴⁵, there is specified every price control matter falling within subsection (10) of that section which is disputed between the parties and which relates to—

• (a) the principles applied in setting the condition which imposes the price control in question,

• (b) the methods applied or calculations used or data used in determining that price control, or

• (c) what the provisions imposing the price control which are contained in that condition should be (including at what level the price control should be set).

• (2) The Tribunal shall refer to the CMA for determination in accordance with section 193 of the 2003 Act and rule 117 every matter which, either upon consideration of any statement provided for in rules 9(5) or 15(4) or in the subsequent course of the appeal, the Tribunal decides is a specified price control matter.

• (3) The Tribunal may make a reference to the CMA under paragraph (2) at any time before it delivers its decision.

Determination by the CMA of price control matters

117

• (1) Subject to any directions given by the Tribunal (which may be given at any time before the CMA has made its determination), the CMA shall determine every price control matter within four months of receipt by it of the reference.

• (2) The Tribunal may give directions as to the procedure in accordance with which the CMA is to make its determination.

• (3) The Tribunal may give directions under this rule of its own motion or upon the application of the CMA or of any party.

PART 8 — REVOCATION AND SAVINGS

Revocation

118

The following Rules are revoked—

• (a) the Competition Appeal Tribunal Rules 2003⁴⁶

• (b) the Competition Appeal Tribunal (Amendment and Communications Act Appeals) Rules 2004⁴⁷.

Savings

119

• (1) Proceedings commenced before the Tribunal before 1st October 2015 continue to be governed by the Competition Appeal Tribunal Rules 2003 (the “2003 Rules”) as if they had not been revoked.

• (2) Rule 31(1) to (3) of the 2003 Rules (time limit for making a claim) continues to apply in respect of a claim which falls within paragraph (3) for the purposes of determining the limitation or prescriptive period which would apply in respect of the claim if it were to be made on or after 1st October 2015 in—

• (a) proceedings under section 47A of the 1998 Act, or

• (b) collective proceedings.

• (3) A claim falls within this paragraph if—

• (a) it is a claim to which section 47A of the 1998 Act applies; and

• (b) the claim arose before 1st October 2015.

• (4) Section 47A(7) and (8) of the 1998 Act as they had effect before they were substituted by paragraph 4 of Schedule 8 to the Consumer Rights Act 2015⁴⁸ continue to apply to the extent necessary for the purposes of paragraph (2).

PART 9 — REVIEW

Review

120

• (1) The Secretary of State shall from time to time—

• (a) carry out a review of these Rules,

• (b) set out the conclusions of the review in a report, and

• (c) publish the report.

• (2) The report shall in particular—

• (a) set out the objectives intended to be achieved by the regulatory system established by these Rules,

• (b) assess the extent to which those objectives are achieved, and

• (c) assess whether those objectives remain appropriate and, if so, the extent to which they could be achieved with a system that imposes less regulation.

• (3) The first report under this rule is to be published before 1st October 2020.

• (4) Reports under this rule are afterwards to be published at intervals not exceeding five years.

Signed

Nick Boles — Minister of State for Skills — 2015-09-07

Explanatory note

(This note is not part of the Rules)

Footnotes

1

These Rules may be cited as the Competition Appeal Tribunal Rules 2015 and come into force on 1st October 2015.

2

• (1) In these Rules—

• “the 1998 Act” means the Competition Act 1998 ;

• “the 2002 Act” means the Enterprise Act 2002;

• “the 2003 Act” means the Communications Act 2003;

• “the 2024 Act” means the Digital Markets, Competition and Consumers Act 2024;

• “additional claim” has the meaning given in rule 39(1);

• “a chairman” means a person who falls within one of the categories of persons specified in section 12(2)(aa) to (ac) or (b) of the 2002 Act (constitution of the Competition Appeal Tribunal) ;

• “the chairman” means the chairman of the Tribunal as constituted for particular proceedings;

• “class representative” has the meaning given for representative in section 59(1) of the 1998 Act (interpretation) or means a representative of a sub-class who is specified in a collective proceedings order;

• “CMA” means the Competition and Markets Authority;

• “collective proceedings” means proceedings under section 47B(1) of the 1998 Act (collective proceedings before the Tribunal) ;

• “collective settlement” means settlement under section 49A (collective settlements: where a collective proceedings order has been made) or 49B (collective settlements: where a collective proceedings order has not been made) of the 1998 Act ;

• “collective settlement order” means an order authorising the settlement representative to act in relation to the collective settlement;

• “confidentiality ring” means an arrangement set up in accordance with a direction by the Tribunal under which documents are treated as confidential and disclosed only on such terms as the Tribunal thinks fit;

• “costs” has the meaning given by rule 104;

• “CPR” means the Civil Procedure Rules 1998 ;

• “damages” means any sum of money (other than costs or expenses) which may be awarded in respect of a claim under section 47A (claims for damages etc.) or 47B (collective proceedings) of the 1998 Act , or section 101 of the 2024 Act (rights to enforce requirements of Part 1);

• “disclose”, in rules 60 to 65, has the meaning given in rule 60;

• “document” means anything in which information of any description is recorded, in whatever form; and “copy”, in relation to a document, means anything onto which information recorded in the document has been copied, by whatever means and whether directly or indirectly;

• “filing”, in relation to a document, means sending it to the Registrar in accordance with rule 111(1);

• “foreign defendant” means a defendant domiciled outside the United Kingdom;

• “infringement decision” has the meaning given by section 47A(6) of the 1998 Act;

• “President” means the person appointed to be President of the Tribunal;

• “Registrar” means the person appointed to be Registrar of the Tribunal;

• “relevant period”, in rules 47 to 49, has the meaning given in rule 45(1);

• “Rule 45 Offer” in rules 45 to 49, has the meaning given in rule 45(1);

• “settlement representative” means a person who is authorised by a collective settlement order to act in relation to a collective settlement;

• “specified price control matter” means a price control matter specified in rule 116(1);

• “statement of truth” means a statement that the party putting forward a document, or in the case of a witness statement, the maker of the witness statement, believes the facts stated in the document or witness statement are true;

• “sub-class” means a member of a distinct class of class members, described in the collective proceedings order or a collective settlement order, as the case may be;

• ...

• “Tribunal” means (a) the Competition Appeal Tribunal or (b) in relation to any proceedings, the tribunal as constituted for the purposes of those proceedings, as the context requires; and

• “undertaking as to damages” means an undertaking to pay damages which a person sustains as a result of an interim injunction or other interim order and which the Tribunal considers the person in whose favour the injunction or other order is granted should pay.

• (2) These Rules are to be applied by the Tribunal and interpreted in accordance with the governing principles set out in rule 4.

3

These Rules apply as follows—

• (a) Parts 1 and 6 apply to all proceedings before the Tribunal;

• (b) Part 2 applies to all proceedings before the Tribunal save as otherwise provided in Parts 3, 4, 4A, 5 , 5A , 5B and 7;

• (ba) rules 67 to 70 of Part 2 also apply to appeals under section 84 of the Football Governance Act 2025;

• (c) Part 3 applies to proceedings for a review or an appeal against penalties under the 2002 Act or the 2024 Act;

• (d) Part 4 applies—

• (i) to claims under section 47A of the 1998 Act;

• (ii) subject to rule 72B, to claims under section 101 of the 2024 Act; and

• (iii) subject to rule 74, to collective proceedings;

• (da) Part 4A applies to claims under section 101 of the 2024 Act;

• (e) Part 5 applies to collective proceedings and collective settlements;

• (ea) Part 5A applies to applications under section 70 of the Subsidy Control Act 2022 for reviews of subsidy decisions (within the meaning of that section);

• (eb) Part 5B applies to appeals under section 84 of the Football Governance Act 2025;

• (f) Part 7 applies to appeals under section 192(2) of the 2003 Act relating to price control.

4

• (1) The Tribunal shall seek to ensure that each case is dealt with justly and at proportionate cost.

• (2) Dealing with a case justly and at proportionate cost includes, so far as is practicable—

• (a) ensuring that the parties are on an equal footing;

• (b) saving expense;

• (c) dealing with the case in ways which are proportionate—

• (i) to the amount of money involved;

• (ii) to the importance of the case;

• (iii) to the complexity of the issues; and

• (iv) to the financial position of each party;

• (d) ensuring that it is dealt with expeditiously and fairly;

• (e) allotting to it an appropriate share of the Tribunal's resources, while taking into account the need to allot resources to other cases; and

• (f) enforcing compliance with these Rules, any practice direction issued under rule 115, and any order or direction of the Tribunal.

• (3) Each party's case shall be fully set out in writing as early as possible.

• (4) The Tribunal shall actively manage cases.

• (5) Active case management includes—

• (a) encouraging the parties to co-operate with each other in the conduct of the proceedings;

• (b) identification of and concentration on the main issues as early as possible;

• (c) fixing a target date for the main hearing as early as possible together with a timetable for the proceedings up to the main hearing, taking into account the nature of the case;

• (d) adopting fact-finding procedures that are most effective and appropriate for the case;

• (e) planning the structure of the main hearing in advance with a view to avoiding unnecessary oral evidence and argument; and

• (f) ensuring that the main hearing is conducted within defined time-limits.

• (6) The Tribunal may—

• (a) encourage and facilitate the use of an alternative dispute resolution procedure if the Tribunal considers that appropriate;

• (b) dispense with the need for the parties to attend any hearing; and

• (c) use technology actively to manage cases.

• (7) The parties (together with their representatives and any experts) are required to co-operate with the Tribunal to give effect to the principles in this rule.

5

• (1) Any person appointed to be the Registrar under section 12(3) of the 2002 Act (constitution of the Competition Appeal Tribunal) shall—

• (a) have a seven year general qualification within the meaning of section 71 of the Courts and Legal Services Act 1990 (qualification for judicial and certain other appointments) , or

• (b) be an advocate or solicitor in Scotland of at least seven years' standing, or

• (c) be—

• (i) a member of the Bar of Northern Ireland of at least seven years' standing, or

• (ii) a solicitor of the Court of Judicature of Northern Ireland of at least seven years' standing.

• (2) The Registrar shall act in accordance with the instructions of the President and is, in particular, to be responsible for—

• (a) the establishment and maintenance of a register in which all pleadings and supporting documents and all orders and decisions of the Tribunal are to be registered;

• (b) the acceptance, transmission, service and custody of documents in accordance with these Rules;

• (c) the enforcement of decisions of the Tribunal under paragraphs 4 and 5 of Schedule 4 to the 2002 Act (procedure of the Tribunal) and certification for the purposes of paragraph 1A of that Schedule ;

• (d) certifying that any order, direction or decision is an order, direction or decision of the Tribunal, the President or a chairman, as the case may be.

• (3) Any function of the Registrar may be performed by any member of staff of the Competition Service whom the President or Registrar may authorise for the purpose.

6

The address for the filing or service of documents at or on the Tribunal (referred to in these Rules as “the Tribunal address for service”) is: The Registrar of the Competition Appeal Tribunal, Victoria House, Bloomsbury Place, London WC1A 2EB or such other address as may be notified on the Tribunal website from time to time.

7

The location of the Tribunal website is: www.catribunal.org.uk or such other location as may be notified from time to time in such manner as the President may direct.

8

• (1) In proceedings before the Tribunal, a party may be represented by—

• (a) a qualified lawyer having a right of audience before a court in the United Kingdom; or

• (b) any other person allowed by the Tribunal to appear on behalf of the party.

• (2) A party shall notify the Tribunal where—

• (a) the party changes its legal representative;

• (b) the party, having conducted the proceedings in person, appoints a legal representative to act on its behalf; or

• (c) the party, having conducted the proceedings by a legal representative, intends to act in person.

• (3) The notice referred to in paragraph (2) shall state the party's new address for service and be served on—

• (a) every other party to the proceedings; and

• (b) where paragraph (2)(a) or (c) applies, the former legal representative.

• (4) Until service of the notice referred to in paragraph (2), service of any document at the existing address for service is valid.

9

• (1) An appeal to the Tribunal shall be made by filing a notice of appeal within two months of the date upon which the appellant was notified of the disputed decision or the date of publication of the decision, whichever is the earlier.

• (2) The Tribunal may not extend the time limit provided under paragraph (1) unless it is satisfied that the circumstances are exceptional.

• (3) The notice of appeal shall state—

• (a) the name and address of the appellant;

• (b) the name and address of the appellant's legal representative, if any;

• (c) an address for service in the United Kingdom;

• (d) the name and address of the respondent to the proceedings,

and shall be signed and dated by the appellant, or on its behalf by its duly authorised officer or legal representative.

• (4) The notice of appeal shall contain—

• (a) a concise statement of the facts;

• (b) details of the decision to which the proceedings relate;

• (c) observations on the question in which part of the United Kingdom the proceedings of the Tribunal are to be treated as taking place under rule 18;

• (d) a summary of the grounds for contesting the decision, identifying in particular—

• (i) under which statutory provision the appeal is brought;

• (ii) to what extent (if any) the appellant contends that the disputed decision was based on an error of fact or was wrong in law;

• (iii) to what extent (if any) the appellant is appealing against the respondent's exercise of its discretion in making the disputed decision;

• (e) a succinct presentation of the arguments supporting each of the grounds of appeal;

• (f) the relief sought by the appellant, and any directions sought in accordance with rule 19;

• (g) a schedule listing all the documents annexed to the notice of appeal; and

• (h) a statement identifying the evidence (whether witness statements or other documents annexed to the notice of appeal) the substance of which, so far as the appellant is aware, was not before the maker of the disputed decision.

• (5) In proceedings under the 2003 Act, the notice of appeal shall include a statement indicating the extent to which the appeal relates to price control or a specified price control matter arises in the appeal.

• (6) There shall be annexed to the notice of appeal—

• (a) a copy of the disputed decision; and

• (b) as far as practicable, a copy of every document (or part of a document) on which the appellant relies, including the written statements of all witnesses of fact and expert witnesses, if any.

• (7) Unless the Tribunal otherwise directs, the signed original of the notice of appeal shall be accompanied by ten copies of the notice of appeal and its annexes certified by the appellant or its legal representative as conforming to the original.

10

• (1) If the Tribunal considers that a notice of appeal does not comply with rule 9, or is materially incomplete, or is unduly prolix or lacking in clarity, the Tribunal may give such directions as may be necessary to ensure that those defects are remedied.

• (2) The Tribunal may, if satisfied that the efficient conduct of the proceedings so requires, instruct the Registrar to defer service of the notice of appeal on the respondent until after the directions referred to in paragraph (1) have been complied with.

11

• (1) The Tribunal may, after giving the parties an opportunity to be heard, strike out an appeal in whole or in part at any stage in the proceedings if—

• (a) it considers that the Tribunal has no jurisdiction to hear or determine the appeal;

• (b) it considers that the notice of appeal, or part of it, discloses no valid ground of appeal;

• (c) it considers that the appellant does not have (or represent those who have) a sufficient interest in the decision in respect of which the appeal is made;

• (d) it is satisfied that the appellant has habitually and persistently and without any reasonable ground—

• (i) instituted vexatious proceedings, whether against the same person or different persons; or

• (ii) made vexatious applications in any proceedings; or

• (e) the appellant fails to comply with any rule, practice direction issued under rule 115, or order or direction of the Tribunal.

• (2) When the Tribunal strikes out an appeal it may make any consequential order it considers appropriate.

12

• (1) The appellant may amend the notice of appeal only with the permission of the Tribunal.

• (2) Where the Tribunal grants permission under paragraph (1) it may do so on such terms as it thinks fit, and may give any further or consequential directions it considers necessary.

• (3) In deciding whether to grant permission under paragraph (1), the Tribunal shall take into account all the circumstances including whether the proposed amendment—

• (a) involves a substantial change or addition to the appellant's case;

• (b) is based on matters of law or fact which have come to light since the appeal was made; or

• (c) for any other reason could not practicably have been included in the notice of appeal.

13

• (1) The appellant may withdraw its appeal only with the permission of the Tribunal, or if no Tribunal has been constituted, the President.

• (2) Where permission is granted under paragraph (1), the Tribunal or the President, as the case may be, (“the grantor”) may—

• (a) do so on such terms as the grantor thinks fit;

• (b) instruct the Registrar to publish notice of the withdrawal on the Tribunal website or in such other manner as the grantor may direct; and

• (c) publish any decision which the grantor would have made had the appeal not been withdrawn.

• (3) Where an appeal is withdrawn—

• (a) any interim order of the Tribunal, other than an order made in respect of costs, immediately ceases to have effect; and

• (b) no fresh appeal may be brought by the appellant in relation to the decision which was the subject of the appeal without the permission of the Tribunal.

14

• (1) On receiving a notice of appeal the Registrar shall—

• (a) send an acknowledgement of its receipt to the appellant; and