Trade Practices Amendment Regulations 2006 (No. 2) (Cth)
Trade Practices Amendment Regulations 2006 (No. 2)1
Select Legislative Instrument 2006 No. 370
I, PHILIP MICHAEL JEFFERY, Governor‑General of the Commonwealth of Australia, acting with the advice of the Federal Executive Council, make the following Regulations under the Trade Practices Act 1974.
Dated 13 December 2006
P. M. JEFFERY
Governor‑General
By His Excellency’s Command
PETER COSTELLO
Treasurer
-
Name of Regulations
These Regulations are the Trade Practices Amendment Regulations 2006 (No. 2).
-
Commencement
These Regulations commence on the commencement of Schedule 1 to the Trade Practices Legislation Amendment Act (No. 1) 2006.
-
Amendment of Trade Practices Regulations 1974
Schedule 1 amends the Trade Practices Regulations 1974.
Schedule 1 Amendments
(regulation 3)
[1] Regulation 7
omit
[2] Regulation 13
omit
Division 1 of Part VII of the Act or a notice under subsection 93 (1)
insert
Division 1 or 3 of Part VII of the Act or a notice under subsection 93 (1) or section 93AB
[3] Subregulation 20 (2)
omit
(3A)
insert
(3A) or subsection 93AC (1) or (2)
[4] Subregulation 20 (3)
omit each mention of
(3A)
insert
(3A) or subsection 93AC (1) or (2)
[5] Subregulation 24 (1)
substitute
(1)This regulation applies to a request to the Commission or the Tribunal under a provision mentioned in an item in the table that a document, or a part of a document, be excluded from the register kept under the corresponding provision mentioned in the item.
Item
Provision of the Act for the making of a request
Corresponding provision in the Act for keeping of register
1 subsection 89 (5) subsection 89 (3) 2 subsection 95 (2) subsection 95 (1) 3 subsection 95AI (1) section 95AH 4 subsection 95AZA (1) section 95AZ
(1A)A request to which subregulation (1) applies shall be made:
(a)where the request is that a document be excluded — by writing in red near the top of each page of the document the words “Restriction of Publication Claimed”; and
(b)where the request is that part of a document be excluded — by writing in red near the top of the first page of the document the words “Restriction of Publication of Part Claimed” (and, where the document consists of more than 5 pages, a description of where in the document that part of the document is to be found) and by clearly marking in red that part of the document.
[6] Subregulation 24 (6)
substitute
(6)This subregulation applies if the Commission or the Tribunal has excluded, under a provision mentioned in an item in the table, a document, or a part of a document, from the register kept under the corresponding provision mentioned in the item.
Item
Provision of the Act for excluding a document or part of a document
Corresponding provision in the Act for keeping of register
1 subsection 89 (5A)
subsection 89 (5D)subsection 89 (3) 2 subsection 95 (3)
subsection 95 (7)subsection 95 (1) 3 subsection 95AI (2)
subsection 95AI (3)
subsection 95AI (4)section 95AH 4 subsection 95AZA (2)
subsection 95AZA (3)
subsection 95AZA (4)section 95AZ
(7)If subregulation (6) applies in relation to a document, or part of a document, excluded by the Commission or the Tribunal, that exclusion shall be deemed to be:
(a)a request by the person by whom the document was furnished for a direction by the Tribunal under paragraph 106 (2) (b) of the Act prohibiting or restricting the publication of matters contained in that document; and
(b)a claim by that person under subsection 165 (3) of the Act that the document contains matter of a confidential nature.
[7] After paragraph 26 (2) (a)
insert
(ab)the requirement in regulation 74 that an application under subsection 111 (1) of the Act for a review of a determination be made within a period of 14 days after the date of the determination; and
[8] Paragraph 26 (2) (b)
substitute
(b)the requirement that the applicant or person giving the notice shall state an address in Australia at which documents under the Act or these Regulations may be served, in the appropriate place on any of the following Forms:
Form A;
Form B;
Form C;
Form D;
FormDA;
Form E;
Form EA;Form FA;
Form FB;
Form FC
Form G;
Form GA;
Form I;
Form J;Form JA;
Form JAA;
Form JB;
Form JC;
Form JD;
Form JE;
Form L;Form LA;
Form N;
Form O;
Form P;
Form Q;
Form R;
Form S;Form T
Form U;
Form V;
Form W.
[9] Paragraph 28 (1) (a)
omit
157 (1)
insert
157 (1), 157AA (1)
[10] Paragraph 28 (2) (a)
omit
165 (1)
insert
157AA (1) and 165 (1)
[11] Subparagraph 28 (7) (b) (iii)
omit
Act.
insert
Act; or
[12] After paragraph 28 (7) (b)
insert
(c)a notice given under subsection 93AB (1) after a corporation’s first notice under that subsection.
[13] After Part 4
insert
Part 5 Authorisations, notifications and clearances in respect of restrictive trade practices — prescribed matters
-
Forms for non‑merger authorisations and related matters
A form in Part 2 of Schedule 1 mentioned in an item in the table is prescribed for the provision of the Act and the purpose mentioned in the item.
Item
Form in Part 2 of Schedule 1
Provision
Purpose
1 Form A subsection 89 (1) Exclusionary provisions: application for authorization 2 Form B subsection 89 (1) Agreements affecting competition: application for authorization 3 Form C subsection 89 (1) Covenants affecting competition: application for authorization 4 Form D subsection 89 (1) Secondary boycotts: application for authorisation 5 Form DA subsection 89 (1) Boycott agreements: application for authorization 6 Form E subsection 89 (1) Exclusive dealing: application for authorization 7 Form EA subsection 89 (1) Resale price maintenance: application for authorisation 8 Form FA subsection 89 (1) Application for minor variation of non‑merger authorisation 9 Form FB subsection 89 (1) Application for revocation of non‑merger authorisation 10 Form FC subsection 89 (1) Application for revocation of non‑merger authorisation and substitution of new application
Note for item 10 — this item does not apply to a revocation and substitution initiated by the Commission.
-
Forms for collective bargaining and exclusive dealing notifications
A form in Part 3 of Schedule 1 mentioned in an item in the table is prescribed for the provision of the Act and the purpose mentioned in the item.
Item
Form in Part 3 of Schedule 1
Provision
Purpose
1 Form G subsection 93 (1A) Notification of exclusive dealing 2 Form GA subsection 93AB (6) Notification of collective bargaining
-
When collective bargaining notice comes into force and ceases to be in force
For paragraph 93AD (1) (a) of the Act, for a collective bargaining notice given within 12 months after the commencement of Schedule 3 of the Trade Practices Legislation Amendment Act (No. 1) 2006, the period is 28 days.
-
Forms for merger authorisation and related matters
(1)A form in Part 5 of Schedule 1 mentioned in an item in the table is prescribed for the provision of the Act and the purpose mentioned in the item.
Item
Form in Part 5 of Schedule 1
Provision
Purpose
1 Form N subsection 88 (9) Application for authorisation of section 50A merger 2 Form O paragraph 95AE (1) (a) Application for merger clearance 3 Form P paragraph 95AR (2) (a) Application for minor variation of merger clearance 4 Form Q paragraph 95AS (2) (a) Application for revocation of merger clearance 5 Form R paragraph 95AS (2) (a) Application for revocation of clearance and substitution of new clearance 6 Form S paragraph 95AV (1) (a) Application for merger authorisation 7 Form T paragraph 95AZL (2) (a) Application for minor variation of merger authorisation 8 Form U paragraph 95AZM (2) (a) Application for revocation of merger authorisation 9 Form V paragraph 95AZM (2) (a) Application for revocation of merger authorisation and substitution of new authorisation 10 Form W section 111 Application for review a merger clearance
Note for items 2, 3, 4, 5, 6, 7, 8 and 9 the forms mentioned in these items contain a requirement that the applicant make an undertaking under section 87B of the Act that the applicant will not make the acquisition while the application is being considered by the Commission or the Tribunal, in accordance with the respective provisions of the Act as follows:
Form
Provision of the Act
Form O subsection 95AE (2) Form P subsection 95AP (2) Form Q subsection 95AS (2A) Form R subsection 95AS (2A) Form S subsection 95AV (2) Form T subsection 95AZL (2A) Form U subsection 95AZM (2A) Form V subsection 95AZM (2A) Form W subsection 111 (2A)
Note for items 4 and 5 — these forms are not required in relation to a revocation and substitution proposed by the Commission under subsection 95AS (5).
Note for items 8 and 9 — these forms are not required in relation to a revocation and substitution proposed by the Commission under subsection 95AZM (6).
(2)A requirement in a form mentioned in an item in the table in subregulation (1) that an applicant will not make an acquisition while the application is being considered by the Commission or the Tribunal, is prescribed or made for the provision of the Act mentioned in the item.
-
Application for review of Commission’s determination on merger clearance — time‑limit
(1)For subsection 111 (1) of the Act, the time allowed for applying to the Tribunal for a review of a determination is 14 days.
(2)For subsection 111 (2) of the Act, the time allowed for applying to the Tribunal for a review of a determination is 14 days.
-
Waiver of fee for application relating to non‑merger authorisation
For subsection 172 (2A) of the Act, the circumstance is that the Commission is satisfied that imposition of the entire fee would impose an unduly onerous burden on an applicant.
-
Search and Seizure — identity card for inspectors
For paragraph 154C (2) (a) of the Act, an identity card must contain the following information:
(a)a recent photograph of the inspector to whom the card was issued;
(b)the name of the inspector;
(c)the date of issue of the card;
(d)the Commission corporate logo and the Australian coat of arms;
(e)the following text:
“The person whose name and photograph appear on this card is an inspector of the Commission who:
(a) has been appointed by the Chairperson of the Commission as an Inspector pursuant to section 154B of the Trade Practices Act 1974; and
(b) has been issued with this identity card by the Chairperson of the Commission pursuant to section 154C of the Trade Practices Act 1974.”
[14] Schedule 1, after the heading
insert
Part 1 Forms — General
[15] Schedule 1, after Form AA
insert
Part 2 Forms — non‑merger authorisation, minor variation, revocation, and revocation and substitution
[16] Schedule 1, Forms A, B, C, D, DA, E, EA and F
substitute
Form A Exclusionary provisions: application for authorisation
(regulation 70)
Form A
Commonwealth of Australia
Trade Practices Act 1974 — subsection 88 (1)
EXCLUSIONARY PROVISIONS:
APPLICATION FOR AUTHORISATION
To the Australian Competition and Consumer Commission:
Application is hereby made under subsection 88 (1) of the Trade Practices Act 1974 for an authorisation under that subsection:
-
to make a contract or arrangement, or arrive at an understanding, where a provision of the proposed contract, arrangement or understanding would be, or might be, an exclusionary provision within the meaning of section 45 of that Act.
-
to give effect to a provision of a contract, arrangement or understanding where the provision is, or may be, an exclusionary provision within the meaning of section 45 of that Act.
(Strike out whichever is not applicable)
PLEASE FOLLOW DIRECTIONS ON BACK OF THIS FORM
-
Applicant
(a)Name of Applicant:
(Refer to direction 2)
........................................................................................................................................................................................................................................................................................................................................................................................................................
(b)Description of business carried on by applicant:
(Refer to direction 3)
........................................................................................................................................................................................................................................................................................................................................................................................................................
(c)Address in Australia for service of documents on the applicant:
........................................................................................................................................................................................................................................................................................................................................................................................................................
-
Contract, arrangement or understanding
(a)Description of the contract, arrangement or understanding, whether proposed or actual, for which authorisation is sought:
(Refer to direction 4)
........................................................................................................................................................................................................................................................................................................................................................................................................................
(b)Description of those provisions of the contract, arrangement or understanding that are, or would or might be, exclusionary provisions:
(Refer to direction 4)
........................................................................................................................................................................................................................................................................................................................................................................................................................
(c)Description of the goods or services to which the contract, arrangement or understanding (whether proposed or actual) relate:
........................................................................................................................................................................................................................................................................................................................................................................................................................
(d)The term for which authorisation of the provision of the contract, arrangement or understanding (whether proposed or actual) is being sought and grounds supporting this period of authorisation:
........................................................................................................................................................................................................................................................................................................................................................................................................................
-
Parties to the proposed arrangement
(a)Names, addresses and descriptions of business carried on by other parties or proposed parties to the contract or proposed contract, arrangement or understanding:
........................................................................................................................................................................................................................................................................................................................................................................................................................
(b)Names, addresses and descriptions of business carried on by parties and other persons on whose behalf this application is made:
(Refer to direction 5)
........................................................................................................................................................................................................................................................................................................................................................................................................................
-
Public benefit claims
(a)Arguments in support of application for authorisation:
(Refer to direction 6)
........................................................................................................................................................................................................................................................................................................................................................................................................................
(b)Facts and evidence relied upon in support of these claims:
..............................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................
-
Market definition
Provide a description of the market(s) in which the goods or services described at 2 (c) are supplied or acquired and other affected markets including: significant suppliers and acquirers; substitutes available for the relevant goods or services; any restriction on the supply or acquisition of the relevant goods or services (for example geographic or legal restrictions):
(Refer to direction 7)
..............................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................
-
Public detriments
(a)Detriments to the public resulting or likely to result from the contract arrangement or understanding for which authorisation is sought, in particular the likely effect of the contract arrangement or understanding, on the prices of the goods or services described at 2 (c) and the prices of goods or services in other affected markets:
(Refer to direction 8)
..............................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................
(b)Facts and evidence relevant to these detriments:
..............................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................
-
Contracts, arrangements or understandings in similar terms
(a)This application for authorisation may also be expressed to be made in relation to other contracts, arrangements or understandings or proposed contracts, arrangements or understandings, that are or will be in similar terms to the abovementioned contract, arrangement or understanding:
(b)Is this application to be so expressed?
......................................................................................................
(c)If so, the following information is to be furnished:
(i)description of any variations between the contract, arrangement or understanding for which authorisation is sought and those contracts, arrangements or understandings that are stated to be in similar terms:
(Refer to direction 9)
........................................................................................................................................................................................................................................................................................................................................................................................................................
(ii)Where the parties to the similar term contract(s) are known — names, addresses and descriptions of business carried on by those other parties:
(Refer to direction 10)
........................................................................................................................................................................................................................................................................................................................................................................................................................
-
Where the parties to the similar term contract(s) are not known — description of the class of business carried on by those possible parties:
..............................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................
-
Joint Ventures
(a)Does this application deal with a matter relating to a joint venture (See section 4J of the Trade Practices Act 1974)?
......................................................................................................
(b)If so, are any other applications being made simultaneously with this application in relation to that joint venture?
............................................................................................................................................................................................................
(c)If so, by whom or on whose behalf are those other applications being made?
............................................................................................................................................................................................................
-
Further information
(a)Name, postal address and telephone contact details of the person authorised by the applicant seeking authorisation to provide additional information in relation to this application:
........................................................................................................................................................................................................................................................................................................................................................................................................................
Dated......................................................................
Signed by/on behalf of the applicant
................................................................................
(Signature)
................................................................................
(Full Name)
................................................................................
(Organisation)
................................................................................
(Position in organisation)
DIRECTIONS
-
In lodging this form, applicants must include all information, including supporting evidence that they wish the Commission to take into account in assessing their application for authorisation.
Where there is insufficient space on this form to furnish the required information, the information is to be shown on separate sheets, numbered consecutively and signed by or on behalf of the applicant.
-
Where the application is made by or on behalf of a corporation, the name of the corporation is to be inserted in item 1 (a), not the name of the person signing the application and the application is to be signed by a person authorised by the corporation to do so.
-
Describe that part of the applicant’s business relating to the subject matter of the contract, arrangement or understanding in respect of which authorisation is sought.
-
Provide details of the contract, arrangement or understanding (whether proposed or actual) in respect of which the authorisation is sought. Provide details of those provisions of the contract, arrangement or understanding that are, or would or might be, exclusionary provisions.
In providing these details —
(a)to the extent that any of the details have been reduced to writing — provide a true copy of the writing; and
(b)to the extent that any of the details have not been reduced to writing — provide a full and correct description of the particulars that have not been reduced to writing.
-
Where authorisation is sought on behalf of other parties provide details of each of those parties including names, addresses, descriptions of the business activities engaged in relating to the subject matter of the authorisation, and evidence of the party’s consent to authorisation being sought on their behalf.
-
Provide details of those public benefits claimed to result or to be likely to result from the proposed contract, arrangement or understanding including quantification of those benefits where possible.
-
Provide details of the market(s) likely to be effected by the contract, arrangement or understanding in particular having regard to goods or services that may be substitutes for the good or service that is the subject matter of the application for authorisation.
-
Provide details of the detriments to the public, including those resulting from any lessening of competition, which may result from the proposed contract, arrangement or understanding. Provide quantification of those detriments where possible.
-
Where the application is made also in respect of other contracts, arrangements or understandings, which are or will be in similar terms to the contract, arrangement or understanding referred to in item 2, furnish with the application details of the manner in which those contracts, arrangements or understandings vary in their terms from the contract, arrangements or understanding referred to in item 2.
10. Where authorisation is sought on behalf of other parties provide details of each of those parties including names, addresses, and descriptions of the business activities engaged in relating to the subject matter of the authorisation, and evidence of the party’s consent to authorisation being sought on their behalf.
Form B Agreements affecting competition: application for authorisation
(regulation 70)
Form B
Commonwealth of Australia
Trade Practices Act 1974 — subsection 88 (1)
AGREEMENTS AFFECTING COMPETITION:
APPLICATION FOR AUTHORISATION
To the Australian Competition and Consumer Commission:
Application is hereby made under subsection 88 (1) of the Trade Practices Act 1974 for an authorisation under that subsection:
-
to make a contact or arrangement, or arrive at an understanding, a provision of which would have the purpose, or would have or might have the effect, of substantially lessening competition within the meaning of section 45 of that Act.
-
to give effect to a provision of a contract, arrangement or understanding which provision has the purpose, or has or may have the effect, of substantially lessening competition within the meaning of section 45 of that Act.
(Strike out whichever is not applicable)
PLEASE FOLLOW DIRECTIONS ON BACK OF THIS FORM
-
Applicant
(a)Name of Applicant:
(Refer to direction 2)
..................................................................................................................................................................................................................................................................................................................
(b)Short description of business carried on by applicant:
(Refer to direction 3)
........................................................................................................................................................................................................................................................................................................................................................................................................................
(c)Address in Australia for service of documents on the applicant:
........................................................................................................................................................................................................................................................................................................................................................................................................................
-
Contract, arrangement or understanding
(a)Description of the contract, arrangement or understanding, whether proposed or actual, for which authorisation is sought:
(Refer to direction 4)
........................................................................................................................................................................................................................................................................................................................................................................................................................
(b)Description of those provisions of the contract, arrangement or understanding that are, or would or might, substantially lessen competition:
(Refer to direction 4)
........................................................................................................................................................................................................................................................................................................................................................................................................................
(c)Description of the goods or services to which the contract, arrangement or understanding (whether proposed or actual) relate:
........................................................................................................................................................................................................................................................................................................................................................................................................................
(d)The term for which authorisation of the contract, arrangement or understanding (whether proposed or actual) is being sought and grounds supporting this period of authorisation:
........................................................................................................................................................................................................................................................................................................................................................................................................................
-
Parties to the proposed arrangement
(a)Names, addresses and descriptions of business carried on by other parties or proposed parties to the contract or proposed contract, arrangement or understanding:
........................................................................................................................................................................................................................................................................................................................................................................................................................
(b)Names, addresses and descriptions of business carried on by parties and other persons on whose behalf this application is made:
(Refer to direction 5)
........................................................................................................................................................................................................................................................................................................................................................................................................................
-
Public benefit claims
(a)Arguments in support of authorisation:
(Refer to direction 6)
..............................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................
(b)Facts and evidence relied upon in support of these claims:
..............................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................
-
Market definition
Provide a description of the market(s) in which the goods or services described at 2 (c) are supplied or acquired and other affected markets including: significant suppliers and acquirers; substitutes available for the relevant goods or services; any restriction on the supply or acquisition of the relevant goods or services (for example geographic or legal restrictions):
(Refer to direction 7)
..............................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................
-
Public detriments
(a)Detriments to the public resulting or likely to result from the authorisation, in particular the likely effect of the contract, arrangement or understanding, on the prices of the goods or services described at 2 (c) and the prices of goods or services in other affected markets:
(Refer to direction 8)
..............................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................
(b)Facts and evidence relevant to these detriments:
..............................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................
-
Contract, arrangements or understandings in similar terms
This application for authorisation may also be expressed to be made in relation to other contracts, arrangements or understandings or proposed contracts, arrangements or understandings, that are or will be in similar terms to the abovementioned contract, arrangement or understanding.
(a)Is this application to be so expressed?
......................................................................................................
(b)If so, the following information is to be furnished:
(i)description of any variations between the contract, arrangement or understanding for which authorisation is sought and those contracts, arrangements or understandings that are stated to be in similar terms:
(Refer to direction 9)
..............................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................
(ii)Where the parties to the similar term contract(s) are known — names, addresses and descriptions of business carried on by those other parties:
..............................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................
-
Where the parties to the similar term contract(s) are not known — description of the class of business carried on by those possible parties:
..............................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................
-
Joint Ventures
(a)Does this application deal with a matter relating to a joint venture (See section 4J of the Trade Practices Act 1974)?
......................................................................................................
(b)If so, are any other applications being made simultaneously with this application in relation to that joint venture?
..............................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................
(c)If so, by whom or on whose behalf are those other applications being made?
..............................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................
-
Further information
(a)Name and address of person authorised by the applicant to provide additional information in relation to this application:
..............................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................
Dated........................................................
Signed by/on behalf of the applicant
.............................................................................
(Signature)
.............................................................................
(Full Name)
.............................................................................
(Position in Organisation)
DIRECTIONS
-
In lodging this form, applicants must include all information, including supporting evidence that they wish the Commission to take into account in assessing the application for authorisation.
Where there is insufficient space on this form to furnish the required information, the information is to be shown on separate sheets, numbered consecutively and signed by or on behalf of the applicant.
-
Where the application is made by or on behalf of a corporation, the name of the corporation is to be inserted in item 1 (a), not the name of the person signing the application and the application is to be signed by a person authorised by the corporation to do so.
-
Describe that part of the applicant’s business relating to the subject matter of the contract, arrangement or understanding in respect of which the application is made.
-
Provide details of the contract, arrangement or understanding (whether proposed or actual) in respect of which the authorisation is sought. Provide details of those provisions of the contract, arrangement or understanding that are, or would or might, substantially lessen competition.
In providing these details:
(a)to the extent that any of the details have been reduced to writing — provide a true copy of the writing; and
(b)to the extent that of any of the details have not been reduced to writing — provide a full and correct description of the particulars that have not been reduced to writing.
-
Where authorisation is sought on behalf of other parties provide details of each of those parties including names, addresses, descriptions of the business activities engaged in relating to the subject matter of the authorisation, and evidence of the party’s consent to authorisation being sought on their behalf.
-
Provide details of those public benefits claimed to result or to be likely to result from the proposed contract, arrangement or understanding including quantification of those benefits where possible.
-
Provide details of the market(s) likely to be effected by the contract, arrangement or understanding, in particular having regard to goods or services that may be substitutes for the good or service that is the subject matter of the authorisation.
-
Provide details of the detriments to the public which may result from the proposed contract, arrangement or understanding including quantification of those detriments where possible.
-
Where the application is made also in respect of other contracts, arrangements or understandings, which are or will be in similar terms to the contract, arrangement or understanding referred to in item 2, furnish with the application details of the manner in which those contracts, arrangements or understandings vary in their terms from the contract, arrangements or understanding referred to in item 2.
Form C Covenants affecting competition: application for authorisation
(regulation 70)
Form C
Commonwealth of Australia
Trade Practices Act 1974 — subsection 88 (5)
COVENANTS AFFECTING COMPETITION:
APPLICATION FOR AUTHORISATION
To the Australian Competition and Consumer Commission:
Application is hereby made under subsection 88 (5) of the Trade Practices Act 1974 for an authorisation under that subsection:
-
to require the giving of, or to give, a covenant where the proposed covenant would have the purpose, or would have or might have the effect, of substantially lessening competition.
-
to enforce the terms of a covenant.
(Strike out whichever is not applicable)
PLEASE FOLLOW DIRECTIONS ON BACK OF THIS FORM
-
Applicant
(a)Name of Applicant:
(Refer to direction 2)
........................................................................................................................................................................................................................................................................................................................................................................................................................
(b)Description of business carried on by applicant:
(Refer to direction 3)
..............................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................
(c)Address in Australia for service of documents on the applicant:
........................................................................................................................................................................................................................................................................................................................................................................................................................
-
Covenant
(a)Description of the covenant and, where already given, its date:
(Refer to direction 4)
..............................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................
(b)Names and addresses of persons who are, or are to be, entitled to the benefit of the covenant:
........................................................................................................................................................................................................................................................................................................................................................................................................................
(c)Names and addresses of persons who are, or are to be bound by the covenant:
........................................................................................................................................................................................................................................................................................................................................................................................................................
(d)The term for which authorisation of the covenant is being sought and grounds supporting this period of authorisation:
........................................................................................................................................................................................................................................................................................................................................................................................................................
-
Parties to the proposed covenant
(a)Where those parties are known ‑ names, addresses and descriptions of business carried on by those other parties on whose behalf the application is made:
(Refer to direction 5)
..............................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................
-
Public benefit claims
(a)Arguments in support of application for authorisation:
(Refer to direction 6)
..............................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................
(b)Facts and evidence relied upon in support of these claims:
..............................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................
-
Market definition
Provide a description of the market(s) in which the covenant is to take effect having regard to goods or services supplied or acquired and other affected markets including: significant suppliers and acquirers; substitutes available for the relevant goods or services; any restriction on the supply or acquisition of the relevant goods or services (for example geographic or legal restrictions):
(Refer to direction 7)
..............................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................
-
Public detriments
(a)Detriments to the public resulting or likely to result from the proposed covenant for which authorisation is sought, in particular the likely effect of the covenant on the prices of the goods or services and the prices of goods or services in other affected markets:
(Refer to direction 8)
..............................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................
(b)Facts and evidence relevant to these detriments:
..............................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................
-
Covenants or proposed covenants in similar terms
This application for authorisation may also be expressed to be made in relation to other covenants or proposed covenants that are or will be in similar terms to the abovementioned covenant.
(a)Is this application to be so expressed?
......................................................................................................
(b)If so, the following information is to be furnished:
(Refer to direction 9)
(i)Where the applicant is entitled to the benefit of other covenants, the names of the persons who are bound by each of the other covenants:
..............................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................
(ii)Where the applicant is to be entitled to the benefit of the other proposed covenants, the names of the persons who are to be bound by each of the other proposed covenants which names are known at the date of this application:
........................................................................................................................................................................................................................................................................................................................................................................................................................
-
Where the applicant is bound by the other covenants, the names of the persons who are entitled to the benefit of each of the other covenants:
........................................................................................................................................................................................................................................................................................................................................................................................................................
-
Where the applicant is to be bound by the other proposed covenants, the names of the persons who are to be entitled to the benefit of each of the other proposed covenants which names are known at the date of the application:
..............................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................
-
Joint Ventures
(a)Does this application deal with a matter relating to a joint venture (See section 4J of the Trade Practices Act 1974)?
......................................................................................................
(b)If so, are any other applications being made simultaneously with this application in relation to that joint venture?
............................................................................................................................................................................................................
(c)If so, by whom or on whose behalf are those other applications being made?
........................................................................................................................................................................................................................................................................................................................................................................................................................
-
Further information
(a)Name, postal address and telephone contact details of the person authorised by the applicant seeking authorisation to provide additional information in relation to this application:
........................................................................................................................................................................................................................................................................................................................................................................................................................
Dated...................................................................
Signed by/on behalf of the applicant
.............................................................................
(Signature)
.............................................................................
(Full Name)
.............................................................................
(Organisation)
.............................................................................
(Position in Organisation)
DIRECTIONS
-
In lodging this form, applicants must include all information, including supporting evidence that they wish the Commission to take into account in assessing their application for authorisation.
Where there is insufficient space on this form to furnish the required information, the information is to be shown on separate sheets, numbered consecutively and signed by or on behalf of the applicant.
-
Where the application is made by or on behalf of a corporation, the name of the corporation is to be inserted in item 1 (a), not the name of the person signing the application and the application is to be signed by a person authorised by the corporation to do so.
-
Describe that part of the applicant’s business relating to the subject matter of the covenant in respect of which authorisation is sought.
-
Provide details of the covenant affecting competition in respect of which the authorisation is sought.
In providing these details:
(a)to the extent that any of the details have been reduced to writing — provide a true copy of the writing; and
(b)to the extent that any of the details have not been reduced to writing — provide a full and correct description of the particulars that have not been reduced to writing.
-
Where authorisation is sought on behalf of other parties provide details of each of those parties including names, addresses, descriptions of the business activities engaged in relating to the subject matter of the authorisation, and evidence of the party’s consent to authorisation being sought on their behalf.
-
Provide details of those public benefits claimed to result or to be likely to result from the proposed covenant including quantification of those benefits where possible.
-
Provide details of the market(s) likely to be effected by the covenant, in particular having regard to goods or services that may be substitutes for the good or service that is the subject matter of the application for authorisation.
-
Provide details of the detriments to the public, including those resulting from any lessening of competition, which may result from the proposed covenant. Provide quantification of those detriments where possible.
-
Where the application is made also in respect of other covenants which are or will be in similar terms to the covenant referred to in item 2, furnish with the application details of the manner in which those covenants vary in their terms from the covenant referred to in item 2.
Form D Secondary boycotts: application for authorisation
(regulation 70)
Form D
Commonwealth of Australia
Trade Practices Act 1974 — subsection 88 (7)
SECONDARY BOYCOTTS:
APPLICATION FOR AUTHORISATION
To the Australian Competition and Consumer Commission:
Application is hereby made under subsection 88 (7) of the Trade Practices Act 1974 for an authorisation under that subsection:
-
to engage, in concert with other persons, in conduct that hinders or prevents, or may hinder or prevent, a third person supplying goods to services to, or acquiring goods or services from, a fourth person
-
to engage, in concert with other persons, in conduct that prevents or substantially hinders, or may prevent or substantially hinder, a third person from engaging in trade or commerce involving the movement of goods between Australia and places outside Australia.
(Strike out whichever is not applicable)
PLEASE FOLLOW DIRECTIONS ON BACK OF THIS FORM
-
Applicant
(a)Name of Applicant:
(Refer to direction 2)
........................................................................................................................................................................................................................................................................................................................................................................................................................
(b)Description of business, activity or occupation carried on by applicant:
(Refer to direction 3)
........................................................................................................................................................................................................................................................................................................................................................................................................................
(c)Address in Australia for service of documents on the applicant:
..................................................................................................................................................................................................................................................................................................................
-
Conduct
(a)Description of the conduct proposed to be engaged in, for which authorisation is sought:
(Refer to direction 4)
........................................................................................................................................................................................................................................................................................................................................................................................................................
(b)Number of persons proposing to engage, in concert, in the conduct:
......................................................................................................
(i)Where number of persons stated in item 2 (b) is less than 50, their names and addresses:
..................................................................................................................................................................................................................................................................................................................
(c)Description of the goods or services to which the conduct (whether proposed or actual) relate:
........................................................................................................................................................................................................................................................................................................................................................................................................................
(d)The term for which authorisation of the provision of the conduct is being sought and grounds supporting this period of authorisation:
........................................................................................................................................................................................................................................................................................................................................................................................................................
-
Parties
(a)Name and address of the third person whose supply or acquisition of goods or services, or whose trade or commerce involving the movement of goods overseas, is to be, or may be, hindered or prevented by the conduct:
........................................................................................................................................................................................................................................................................................................................................................................................................................
(b)Name and address of person to or from whom, or the place to or from which, supply or acquisition of goods or services is to be, or may be, hindered or prevented by the conduct:
........................................................................................................................................................................................................................................................................................................................................................................................................................
(c)Names and addresses of persons on whose behalf application is made:
........................................................................................................................................................................................................................................................................................................................................................................................................................
-
Public benefit claims
(a)Arguments in support of application for authorisation:
(Refer to direction 5)
........................................................................................................................................................................................................................................................................................................................................................................................................................
(b)Facts and evidence relied upon in support of these claims
........................................................................................................................................................................................................................................................................................................................................................................................................................
-
Market definition
Provide a description of the market(s) in which the goods or services described at 2 (c) are supplied or acquired and other affected markets including: significant suppliers and acquirers; substitutes available for the relevant goods or services; any restriction on the supply or acquisition of the relevant goods or services (for example geographic or legal restrictions):
(Refer to direction 6)
........................................................................................................................................................................................................................................................................................................................................................................................................................
-
Public detriments
(a)Detriments to the public resulting or likely to result from the conduct for which authorisation is sought, in particular the likely effect of the conduct on the prices of the goods or services described at 2 (c) above and the prices of goods or services in other affected markets:
(Refer to direction 7)
........................................................................................................................................................................................................................................................................................................................................................................................................................
(b)Facts and evidence relevant to these detriments:
..............................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................
-
Joint Ventures
(a)Does this application deal with a matter relating to a joint venture (See section 4J of the Trade Practices Act 1974):
......................................................................................................
(b)If so, are any other applications being made simultaneously with this application in relation to that joint venture?
............................................................................................................................................................................................................
(c)If so, by whom or on whose behalf are those other applications being made?
........................................................................................................................................................................................................................
-
Further information
(a)Name, postal address and telephone contact details of the person authorised by the applicant seeking authorisation to provide additional information in relation to this application:
........................................................................................................................................................................................................................................................................................................................................................................................................................
Dated...................................................................
Signed by/on behalf of the applicant
.............................................................................
(Signature)
.............................................................................
(Full Name)
.............................................................................
(Organisation)
.............................................................................
(Position in Organisation)
DIRECTIONS
-
In lodging this form, applicants must include all information, including supporting evidence that they wish the Commission to take into account in assessing their application for authorisation.
Where there is insufficient space on this form to furnish the required information, the information is to be shown on separate sheets, numbered consecutively and signed by or on behalf of the applicant.
-
Where the application is made by or on behalf of a corporation, the name of the corporation is to be inserted in item 1 (a), not the name of the person signing the application and the application is to be signed by a person authorised by the corporation to do so.
-
Describe that part of the applicant’s business relating to the conduct in respect of which authorisation is sought.
-
Provide details of the conduct in respect of which this authorisation is sought.
In providing these details:
(a)to the extent that any of the details have been reduced to writing — provide a true copy of the writing; and
(b)to the extent that any of the details have not been reduced to writing — provide a full and correct description of the particulars that have not been reduced to writing.
-
Provide details of those public benefits claimed to result or to be likely to result from the proposed conduct including quantification of those benefits where possible.
-
Provide details of the market(s) likely to be effected by the conduct, in particular having regard to goods or services that may be substitutes for the good or service that is the subject matter of the application for authorisation.
-
Provide details of the detriments to the public, including those resulting from any lessening of competition, which may result from the proposed conduct. Provide quantification of those detriments where possible.
Form DA Boycott agreements: application for authorisation
(regulation 70)
Form DA
Commonwealth of Australia
| ......................................................... |
......................................................... |
| (Print) Name of Authorised Person | (Print) Name of Authorised Person |
This [insert day] day of [insert month] [insert year].
ACCEPTED BY THE COMMISSION PURSUANT TO SECTION 87B OF THE ACT
.............................................................
Commission Chairperson
DIRECTIONS
-
Where there is insufficient space on this form to furnish the required information, the information is to be shown on separate sheets, numbered consecutively and signed by, or on behalf of, the Applicant.
-
The facts and contentions set out in the application must be verified by a person able and qualified to give such verification (see relevant practice direction published by the Australian Competition Tribunal).
-
Where the application is made by or on behalf of a corporation, the name of the corporation is to be inserted in Item 1 (a), not the name of the person signing the application and the application is to be signed by a person authorised by the corporation to do so. The Applicant for revocation and substitution of an authorisation must be the same person as the person to whom the original authorisation was granted.
-
The response must include details of the ownership structure (including a list of shareholders with a greater than five per cent shareholding) and interests of the Applicant. The response must also include a copy of the Applicant’s most recent annual report.
-
The following definitions apply in relation questions 1 (c) and 3 (c):
related body corporate means:
(a)a holding company of another body corporate; or
(b)a subsidiary of another body corporate; or
(c)subsidiary of a holding company of another body corporate.
subsidiary, in relation to a body corporate (first body) means a first body that is controlled by another body (other body), because:
(a)the other body:
(i)controls the composition of the first body’s board; or
(ii)is in a position to cast, or control the casting of, more than one half of the maximum number of votes that might be cast at a general meeting of the first body corporate; or
(iii)holds more than one half of the issued share capital of the first body (excluding any part of that issued share capital that carries no right to participate beyond a specified amount in a distribution of either profits or capital); or
(b)the first body is a subsidiary of a subsidiary of the other body.
holding company, in relation to a body corporate, means a body corporate of which the first body corporate is a subsidiary.
-
The response must include details of the ownership structure (including a list of shareholders with a greater than five per cent shareholding) and interests of the Target. The response must also include a copy of the Target’s most recent annual report.
-
The response must include the date on which the contract, arrangement, understanding or proposal was, or is intended to be, concluded, the date on which the public bid was or is intended to be made, the intended date on which the acquisition will be consummated and the consideration exchanged in relation to the acquisition. Where available, a copy of the contract, arrangement, understanding or proposal between the Applicant and the Target and the public offer document must be provided with this Form.
-
The response must include background information in relation to the industry sector(s), and a description of the role of the Applicant and the Target in the industry sector(s), including a description of the goods or services supplied both in Australia and internationally.
-
Product and geographic areas of overlap must be specified and the response must include the whereabouts of all major production, supply or distribution facilities of the Applicant and the Target.
10. Such agreements may include, but are not limited to, arrangements or alliances relating to distribution, supply, purchasing, joint development, or research and development. The response must include the type of agreement(s), the subject matter, the parties to the agreement(s) and the duration of the agreement(s), and whether the agreement(s) will continue following consummation of the acquisition.
11. In order to determine whether a particular acquisition breaches section 50 of the Act, an assessment of the relevant market(s) is required. Section 4E of the Act provides that:
4EMarket
For the purposes of this Act, unless a contrary contention appears, ‘market’ means a market in Australia and, when used in relation to any goods or services, includes a market for those goods or services and other goods or services that are substitutable for, or otherwise competitive with, the first mentioned goods or services.
The response must address the relevant product, functional, geographic and time dimensions of the market(s). The product dimension of the market must address sources and potential sources of substitutes for the goods or services produced by the merger parties. Both supply and demand side substitutability must be addressed. The functional dimension of the market must address the vertical stages of production and distribution which comprise the relevant arena of competition (for example, wholesale or retail distribution). The geographic dimension of the market must identify the area or areas over which the merger parties and their competitors currently supply or could supply the relevant product(s) and to which customers could practically turn. The time dimension of the market must address the period over which substitution possibilities must be considered.
12. The response must provide details of at least ten suppliers (or all suppliers if there are less than ten), comprised of a cross‑section of entities including large, medium and small suppliers. The response must include a description of the goods and services supplied by each of these suppliers and an estimation of the value of the goods or services supplied.
13. The response must include the location of each of the suppliers identified and the areas to which each of the identified entities supplies.
14. The response must provide details of at least ten customers (or all customers if there are less than ten), comprised of a cross‑section of entities including large, medium and small customers. The response must include a description of the goods or services and the value of the goods or services purchased by these customers.
15. The response must describe the duration of contracts, the nature and extent of exclusivity, rebates and discounts and identify any customers with contracts which are due to expire within the next two years and indicate the supply volumes associated with such contracts.
16. The market shares of each of the suppliers or purchasers identified, the Applicant and the Target in the relevant market(s) must be provided. In the case of supply markets, market shares must be given on the basis of productive capacity, sales and revenue and must be provided for each of the past five years. In the case of acquisition markets, market shares must be given on the basis of volume and value of inputs purchased and, again, must be provided for each of the past five years. The total size of the domestic market must be provided. The source(s) of the data relied upon in estimating market shares and total market sizes must be provided.
17. The response must address the ability of suppliers to switch from supplying inputs to the merger parties to other avenues, the ability of competitors in the relevant market(s) to increase supply, the ease with which customers could change suppliers including any switching costs that they would incur, whether goods and services produced in the relevant market(s) should be considered homogeneous or whether there are variations in price or quality and whether the relevant market(s) are characterised by brand loyalty. The response must also discuss whether the relevant market(s) are characterised by countervailing power, the market participants who are said to have such power and the extent that such power would be likely to constrain the merger parties post‑acquisition.
18. The response must cover whether it is viable for customers to import substitutes and the origin of imports, and address issues including but not limited to: options for the transportation of imports (for example, air, sea or rail); transport costs; whether the product is a high or low value product; whether the product is high or low density; and whether the product is durable enough to be transported without damage or deterioration in quality. The response must also give details of historical import levels for the past five years and the source of the information provided. The response must include the outcomes of any anti‑dumping investigations concluded in the past five years.
19. The response must provide details of the price of actual or potential imports (including additional costs such as freight and customs duties), whether existing import suppliers can accommodate a significant expansion in capacity without the need for significant investment and whether import competition would provide a constraint on the merged firm via a downstream market. The response must also include contact details of existing importers and their customers.
20. The response must cover whether it is viable for suppliers to export to alternative purchasers and the likely export markets, and address issues including, but not limited to, the following:
· options for the transportation of exports (for example, air, sea or rail);
- transport costs;
- whether the product is a high or low value product;
- whether the product is high or low density;
- whether the product is durable enough to be transported without damage or deterioration in quality.
The response must also give details of historical export levels for the past five years and the source of the information provided.
21. The response must include contact details of existing exporters.
22. The response must include reference to the following:
· both the nature and height of barriers to entry and expansion;
- details of exit, entry and expansion in the relevant market(s) in the previous five years;
- any incentives or disincentives for new entry;
- how long it would take for a new entrant to establish itself as a vigorous and effective competitor.
Barriers which must be addressed include, but are not limited to, the following:
· sunk costs in production capacity;
- accessing shelf space;
- advertising and promotion;
- regulatory restrictions;
- requirements for scarce inputs;
- brand loyalty;
- minimum efficient scales of operation;
- goodwill;
- access to intellectual property; and
- the potential response of incumbents to new entry.
23. The response must include references including, but not limited to, the following:
· growth;
- levels of innovation;
- technological change; and
- product and service differentiation, in the relevant market(s).
24. The response must refer to current and historical pricing and purchasing behaviour, its record of innovation, its growth relative to the growth of the relevant market(s), and its history of independent behaviour.
25. The response must indicate the extent to which the Applicant buys from, or sells to, the Target raw materials, supplies, services, capital or finished products for resale.
26. The response must discuss factors conducive to coordination in a market including, but not limited to, the following:
· the number of participants in the relevant market(s);
- transparency;
- homogeneity of product;
- homogeneity of firms;
- the size and frequency of purchases;
- the presence of the same firms in more than one market.
27. The response must address the complementarity that occurs where there is significant commonality of customers’ products and whether the strength of demand for one product is positively correlated with the strength of demand for another, either because the products form part of a range that distributors need to carry or because they must be consumed together for technical reasons.
28. The response must address the circumstances where two or more products are or could be supplied only as a bundle (pure bundling) or, if supplied individually, are also offered as a bundle at a price that is lower than the price charged if sold individually (mixed bundling). The response must also address circumstances where customers seeking to acquire one product are required also to purchase a second product, or carry amounts of the second product (tying).
Form W Application for review of merger clearance
(regulation 73)
Form W
Commonwealth of Australia
Trade Practices Act 1974 — subsection 111 (1)
APPLICATION TO THE TRIBUNAL FOR REVIEW OF A MERGER CLEARANCE
PLEASE FOLLOW DIRECTIONS TO THIS FORM
-
I (here insert the name and address of applicant – where the applicant is a corporation, the corporation’s name must be inserted here, not the name of an officer of the corporation) hereby apply to the Australian Competition Tribunal pursuant to section 111 of the Trade Practices Act 1974 for a review of the determination of the Australian Competition and Consumer Commission dated
the ……… day of ………… 20…… (Commission file No……….).
-
I am the applicant for the clearance to which the determination relates. The determination was in respect of (here delete whichever is not applicable):
(a)an application for clearance under section 95AC; or
(b)an application for minor variation of a clearance under section 95AR; or
(c)an application for revocation of a clearance under subsection 95AS (1); or
(d)an application for revocation of a clearance and a substitution of another clearance under subsection 95AS (1); or
(e)the revocation of a clearance under subsection 95AS (5); or
(f)the revocation and substitution of a clearance under subsection 95AS (5).
-
I am dissatisfied with the determination of the Commission in the following respects:
................................................................................................................................................................................................................................................................................................................................................
(See Direction 1 of this Form)
-
The determination I am seeking from the Tribunal is as follows:
................................................................................................................................................................................................................................................................................................................................................
-
Attachments are as follows (See Directions 2 and 3 of this Form):
(a)a copy of the Commission’s determination;
(b)particulars of the facts upon which I intend to rely in support of the application for review;
(c)particulars of the contentions and grounds upon which I intend to rely in support of the application for review;
(d)a statement of the issues as I see them;
(e)a list of any information that was referred to in the Commission’s reasons for making the determination which was not information given to the Commission in connection with the making of the determination;
(f)a signed undertaking to the Commission under section 87B of the Act to not make the acquisition while the application for review of a clearance is being considered by the Tribunal.
(Attention is directed to the Tribunal’s Practice
Direction No. [ ] dated [ ])
-
My address for service of documents is (here insert address in Australia at which documents may be served for the purpose of proceedings):
................................................................................................................................................................................................................................................................................................................................................
Dated this ……… day of ………… 20…….
Signed by/on behalf of the Applicant
.............................................................................
(Signature)
.............................................................................
(Full Name)
Note If the Applicant is a corporation, state position occupied in the corporation by person signing. If signed by a solicitor on behalf of the Applicant, this fact must be stated.
DIRECTIONS
-
In completing this part, the applicant must include references to particular paragraphs and pages in the determination for which review is sought.
-
If the applicant wishes to rely upon or refer to:
(a)information or documents given to the Commission in connection with the making of the determination; or
(b)information or documents referred to in the Commission’s reasons for making the determination which was not given to the Commission in connection with the making of the determination;
such information and the passages in the documents to which reference is proposed to be made by the applicant must be specifically identified and, if necessary, reference to page and paragraph numbers must be given.
-
If, to the best of the applicant’s knowledge, any document that is referred to or relied upon by the applicant in support of this application was not in the possession of the Commission at the time of making the determination for which review is sought, this fact must be stated.
Trade Practices Act 1974
Undertaking to the Australian Competition and Consumer Commission given for the purposes of section 87B
by
[Insert name of company] (ACN [Insert ACN])
-
This undertaking (the Undertaking) is given to the Australian Competition and Consumer Commission (the Commission) by [company name, company ACN] of [company address] under section 87B of the Trade Practices Act 1974 (the Act).
-
[Company name] has made an application for revocation of an authorisation and substitution of a new authorisation in respect of an application pursuant to section 111 of the Act for review of a merger clearance.
-
[Company name] hereby undertakes that it will not make the acquisition the subject of the application referred to in paragraph 2 while the application is being considered by the Australian Competition Tribunal.
-
This Undertaking comes into effect when:
(a)the Undertaking is executed by [company name]; and
(b)the Commission accepts the Undertaking so executed.
-
[Company name] acknowledges that the Commission will make this Undertaking available for public inspection.
EXECUTED BY [Company name and ACN] pursuant to section 127 (1) of the Corporations Act2001.
| ..................................................... |
......................................................... |
| Signature of Authorised Person | Signature of Authorised Person |
| ..................................................... |
......................................................... |
| Office Held | Office Held |
| ......................................................... |
......................................................... |
| (Print) Name of Authorised Person | (Print) Name of Authorised Person |
This [insert day] day of [insert month] [insert year].
ACCEPTED BY THE COMMISSION PURSUANT TO SECTION 87B OF THE ACT
.............................................................
Commission Chairperson
DIRECTIONS
-
Where there is insufficient space on this form to furnish the required information, the information is to be shown on separate sheets, numbered consecutively and signed by, or on behalf of, the Applicant.
-
In all cases, evidence must be provided to support the contentions made in responding to the questions on this Form.
-
Where the application is made by or on behalf of a corporation, the name of the corporation is to be inserted in Item 1 (a), not the name of the person signing the application and the application is to be signed by a person authorised by the corporation to do so. The Applicant for revocation and substitution of an authorisation must be the same person as the person to whom the original authorisation was granted.
-
The response must include details of the ownership structure (including a list of shareholders with a greater than five per cent shareholding) and interests of the Applicant. The response must also include a copy of the Applicant’s most recent annual report.
-
The following definitions apply in relation questions 1 (c) and 3 (c):
related body corporate means:
(a)a holding company of another body corporate; or
(b)a subsidiary of another body corporate; or
(c)subsidiary of a holding company of another body corporate.
subsidiary, in relation to a body corporate (first body) means a first body that is controlled by another body (other body), because:
(a)the other body:
(i)controls the composition of the first body’s board; or
(ii)is in a position to cast, or control the casting of, more than one half of the maximum number of votes that might be cast at a general meeting of the first body corporate; or
(iii)holds more than one half of the issued share capital of the first body (excluding any part of that issued share capital that carries no right to participate beyond a specified amount in a distribution of either profits or capital); or
(b)the first body is a subsidiary of a subsidiary of the other body.
holding company, in relation to a body corporate, means a body corporate of which the first body corporate is a subsidiary.
-
The response must include details of the ownership structure (including a list of shareholders with a greater than five per cent shareholding) and interests of the Target. The response must also include a copy of the Target’s most recent annual report.
-
The response must include the date on which the contract, arrangement, understanding or proposal was, or is intended to be, concluded, the date on which the public bid was or is intended to be made, the intended date on which the acquisition will be consummated and the consideration exchanged in relation to the acquisition. Where available, a copy of the contract, arrangement, understanding or proposal between the Applicant and the Target and the public offer document must be provided with this Form.
-
The response must include background information in relation to the industry sector(s), and a description of the role of the Applicant and the Target in the industry sector(s), including a description of the goods or services supplied both in Australia and internationally.
-
Product and geographic areas of overlap must be specified and the response must include the whereabouts of all major production, supply or distribution facilities of the Applicant and the Target.
10. Such agreements may include, but are not limited to, arrangements or alliances relating to distribution, supply, purchasing, joint development, or research and development. The response must include the type of agreement(s), the subject matter, the parties to the agreement(s) and the duration of the agreement(s), and whether the agreement(s) will continue following consummation of the acquisition.
11. In order to determine whether a particular acquisition breaches section 50 of the Act, an assessment of the relevant market(s) is required. Section 4E of the Act provides that:
4EMarket
For the purposes of this Act, unless a contrary contention appears, ‘market’ means a market in Australia and, when used in relation to any goods or services, includes a market for those goods or services and other goods or services that are substitutable for, or otherwise competitive with, the first mentioned goods or services.
The response must address the relevant product, functional, geographic and time dimensions of the market(s). The product dimension of the market must address sources and potential sources of substitutes for the goods or services produced by the merger parties. Both supply and demand side substitutability must be addressed. The functional dimension of the market must address the vertical stages of production and distribution which comprise the relevant arena of competition (for example, wholesale or retail distribution). The geographic dimension of the market must identify the area or areas over which the merger parties and their competitors currently supply or could supply the relevant product(s) and to which customers could practically turn. The time dimension of the market must address the period over which substitution possibilities must be considered.
12. The response must provide details of at least ten suppliers (or all suppliers if there are less than ten), comprised of a cross‑section of entities including large, medium and small suppliers. The response must include a description of the goods and services supplied by each of these suppliers and an estimation of the value of the goods or services supplied.
13. The response must include the location of each of the suppliers identified and the areas to which each of the identified entities supplies.
14. The response must provide details of at least ten customers (or all customers if there are less than ten), comprised of a cross‑section of entities including large, medium and small customers. The response must include a description of the goods or services and the value of the goods or services purchased by these customers.
15. The response must describe the duration of contracts, the nature and extent of exclusivity, rebates and discounts and identify any customers with contracts which are due to expire within the next two years and indicate the supply volumes associated with such contracts.
16. The market shares of each of the suppliers or purchasers identified, the Applicant and the Target in the relevant market(s) must be provided. In the case of supply markets, market shares must be given on the basis of productive capacity, sales and revenue and must be provided for each of the past five years. In the case of acquisition markets, market shares must be given on the basis of volume and value of inputs purchased and, again, must be provided for each of the past five years. The total size of the domestic market must be provided. The source(s) of the data relied upon in estimating market shares and total market sizes must be provided.
17. The response must address the ability of suppliers to switch from supplying inputs to the merger parties to other avenues, the ability of competitors in the relevant market(s) to increase supply, the ease with which customers could change suppliers including any switching costs that they would incur, whether goods and services produced in the relevant market(s) should be considered homogeneous or whether there are variations in price or quality and whether the relevant market(s) are characterised by brand loyalty. The response must also discuss whether the relevant market(s) are characterised by countervailing power, the market participants who are said to have such power and the extent that such power would be likely to constrain the merger parties post‑acquisition.
18. The response must cover whether it is viable for customers to import substitutes and the origin of imports, and address issues including but not limited to: options for the transportation of imports (for example, air, sea or rail); transport costs; whether the product is a high or low value product; whether the product is high or low density; and whether the product is durable enough to be transported without damage or deterioration in quality. The response must also give details of historical import levels for the past five years and the source of the information provided. The response must include the outcomes of any anti‑dumping investigations concluded in the past five years.
19. The response must provide details of the price of actual or potential imports (including additional costs such as freight and customs duties), whether existing import suppliers can accommodate a significant expansion in capacity without the need for significant investment and whether import competition would provide a constraint on the merged firm via a downstream market. The response must also include contact details of existing importers and their customers.
20. The response must cover whether it is viable for suppliers to export to alternative purchasers and the likely export markets, and address issues including, but not limited to, the following:
· options for the transportation of exports (for example, air, sea or rail);
- transport costs;
- whether the product is a high or low value product;
- whether the product is high or low density;
- whether the product is durable enough to be transported without damage or deterioration in quality.
The response must also give details of historical export levels for the past five years and the source of the information provided.
21. The response must include contact details of existing exporters.
22. The response must include reference to the following:
· both the nature and height of barriers to entry and expansion;
- details of exit, entry and expansion in the relevant market(s) in the previous five years;
- any incentives or disincentives for new entry;
- how long it would take for a new entrant to establish itself as a vigorous and effective competitor.
Barriers which must be addressed include, but are not limited to, the following:
· sunk costs in production capacity;
- accessing shelf space;
- advertising and promotion;
- regulatory restrictions;
- requirements for scarce inputs;
- brand loyalty;
- minimum efficient scales of operation;
- goodwill;
- access to intellectual property;
- the potential response of incumbents to new entry.
23. The response must include references including, but not limited to, the following:
· growth;
- levels of innovation;
- technological change; and
- product and service differentiation,
in the relevant market(s).
24. The response must refer to current and historical pricing and purchasing behaviour, its record of innovation, its growth relative to the growth of the relevant market(s), and its history of independent behaviour.
25. The response must indicate the extent to which the Applicant buys from, or sells to, the Target raw materials, supplies, services, capital or finished products for resale.
26. The response must discuss factors conducive to coordination in a market including, but not limited to, the following:
· the number of participants in the relevant market(s);
-
transparency;
-
homogeneity of product;
-
homogeneity of firms;
-
the size and frequency of purchases;
-
the presence of the same firms in more than one market.
27. The response must address the complementarity that occurs where there is significant commonality of customers’ products and whether the strength of demand for one product is positively correlated with the strength of demand for another, either because the products form part of a range that distributors need to carry or because they must be consumed together for technical reasons.
28. The response must address the circumstances where two or more products are or could be supplied only as a bundle (pure bundling) or, if supplied individually, are also offered as a bundle at a price that is lower than the price charged if sold individually (mixed bundling). The response must also address circumstances where customers seeking to acquire one product are required also to purchase a second product, or carry amounts of the second product (tying).
[20] Schedule 1B, item 7
substitute
| 7 | Application for an authorisation under subsection 88 (9) of the Act | $25 000 | No concessional fee |
| 7AA | Application for revocation of an authorisation granted under subsection 88 (9) of the Act and substitution of a new authorisation under section 91C of the Act | $25 000 | No concessional fee |
| 7A | Application for revocation of non‑merger authorisation and substitution of a non‑merger authorisation under section 91C of the Act | $2 500 | 0 |
[21] Schedule 1B, items 9 and 10
substitute
| 9 |
Notice, given under subsection 93 (1) of the Act about conduct of a kind mentioned in: (a) subsection 47 (6) or (7) of the Act; or (b) paragraph 47 (8) (c) of the Act; or (c) paragraph 47 (9) (d) of the Act |
100 | 100 | |
| 10 | Application for notification of collective bargaining under subsection subsection 93AB (1) of the Act | $1 000 | 0 | |
| 11 | Application for merger clearance under subsection 95AE (1) of the Act | $25 000 | No concessional fee | |
| 12 | Application for revocation of merger clearance and substitution of new merger clearance under subsection 95AS (2) of the Act | $25 000 | No concessional fee | |
| 13 | Application for merger authorisation under subsection 95AV (1) of the Act | $25 000 | No concessional fee | |
| 14 | Application for revocation of merger authorisation and substitution of new merger authorisation under subsection 95AZM (2) of the Act | $25 000 | No concessional fee | |
Note for item 7A — this item does not apply to a revocation and substitution of a non‑merger authorisation initiated by the Commission under section 91C.
Note for item 12 — this item does not apply to a revocation and substitution proposed by the Commission under subsection 95AS (5).
Note for item 14 — this item does not apply to a revocation and substitution proposed by the Commission under subsection 95AZM (6).
Note
-
All legislative instruments and compilations are registered on the Federal Register of Legislative Instruments kept under the Legislative Instruments Act 2003. See
0
0
0