Namibia

Competition Rules, 2003 (section 22, Competition Act, No. 2 of 2003)

 

 


COMPETITION ACT 2003

Act No2 OF 2003

RULES

The Namibian Competition Commission, under section 22 of the

Competition Act, 2003 (Act 2 of 2003), with the approval of the

Minister of Trade and Industry, has made the rules set out in the

Schedule.

D.F. REISSNER

Chairperson

Namibian Competition Commission

SCHEDULE

ARRANGEMENT OF RULES

PART 1

DEFINITIONS AND OFFICE FUNCTIONS OF COMMISSION (rules 1-4)

1 Definitions

2 Office hours and address of Commission

3 Time limits

4 Assigning of functions and powers by

Commission

PART 2

DELIVERY OF DOCUMENTS

5 Delivery of documents

6 Filing of documents

7 Fees

8 Form of notices, applications,

certificates and receipts

9 Contents of notices in Gazette

PART 3

ACCESS TP RECORDS OF COMMISSION

10 Confidential information

11 Right of informants to claim

confidentiality or request restricted access

12 Access to information

PART 4

COMPLAINT PROCEDURE

13 Information concerning alleged restrictive

practices

14 Complaints initiated by Commission

15 Complaints by persons other than

Commission

16 Notice of proposed investigation and

notice to furnish information to, or produce any document or article

to, or to appear before Commission

17 Notice of proposed decisions of Commission

18 Notice of action to be taken under section

38 and institution of proceedings in Court

PART 5

EXEMPTION PROCEDURES

19 Application to Court for interim order

20 Notice of consent agreement to be

submitted to Court for confirmation as an order of the Court and

application to Court for confirmation of agreement of settlement as

order of the Court

21 Applications for exemption in respect of

certain restrictive practices

22 Revocation or amendment of exemption or

revocation of certificate of clearance

PART 6

MERGER PROCEDURES

23 Applications for exemption in respect of

intellectual property rights

24 Revocation or amendment of exemptions

contemplated in section 30 of Act

25 Applications for exemption in respect of

professional rules

26 Revocation or amendment of exemptions

contemplated in section 31 of Act

27 Merger parties and participants

28 Merger notice requirements

29 Notification of merger investigations

30 Notice of determination made by Commission

in relation to proposed merger

31 Revocation of approval of proposed merger

32 Notice of application for review of

decisions of Commission on mergers by Minister and notice of

determination

33 Application to Court in terms of section

51

PART 7

MISCELLANEOUS

34 Requirements for small undertaking

35 Financial year of Commission

36 Criteria to be applied for determining

dominant position in market

37 Notice from chairperson of Commission

AnnexureA: Index to Forms and Forms

AnnexureB: Categories of Small

Undertakings

PART 1

DEFINITIONS AND OFFICE FUNCTIONS OF COMMISSION (rules 1-4)

1 Definitions

(1) In these Rules, unless the context otherwise

indicates, any word or expression to which a meaning has been

assigned in the Act has that meaning, and-

"certified copy" means a copy of a document certified by

a Commissioner of Oaths;

"complaint" means-

(a) a matter initiated by the Commission under section 33

of the Act; or

(b) a matter that has been submitted to the Commission

under section 33 of the Act, and accepted by the Commission under

rule 15(2)(a);

"confidential information" means-

(a) information in the possession of the Commission in

respect of which a claim has been made asserting that it is

confidential information; or

(b) other information in the possession of the Commission

that is restricted in terms of rule 10, 11 or 12;

"deliver" means to serve and file;

"file", when used as a verb, means to deposit with the

Commission;

"merger notice" means a notification required in terms

of section 44 of the Act;

"public holiday" means a public holiday referred to in

section 1 of the Public Holidays Act, 1990 (Act 26 of 1990);

"restrictive practice" means a practice prohibited in

terms of Chapter 3 of the Act;

"the Act" means the Competition Act, 2003 (Act 2 of

2003).

2 Office hours and address of Commission

(1) Subject to subrule (2), the offices of the

Commission are open to the public every Monday to Friday, excluding

public holidays, from 08:30 to 13:00 and from 13:30 to 15:30.

(2) The Commission may in exceptional circumstances

accept documents for filing on any day and at any time within office

hours.

(3) Subject to rules 5 and 6, any communication to the

Commission, or to a member of the staff of the Commission, may be-

(a) delivered by hand to The Namibian Competition

Commission, at ................................. Windhoek, Namibia;

(b) mailed by post to The Namibian Competition Commission,

Private Bag, ....................... Windhoek, Namibia;

(c) communicated by telephone at (09264)

(61).........................................;

(d) transmitted by fax at (09264) (61)

.........................................; or

(e) transmitted by electronic mail to

.................................................

3 Time limits

(1) If-

(a) a particular number of days are prescribed for doing an

act, the number of days must be calculated by excluding the first

day and including the last day;

(b) the time for doing an act expires on a public holiday,

a Saturday or a Sunday, the act may be done on the next day that is

not a public holiday, a Saturday, or a Sunday;

(c) a particular number of days are prescribed for doing an

act, the number of days must be calculated by excluding the first

day and including the last day, but public holidays, Saturdays and

Sundays are not included in the calculation of days.

(2) On good cause shown, the Commission may condone late

performance of an act in respect of which these Rrules prescribe a

time limit, other than a time limit that is binding on the

Commission itself.

4 Assigning of functions by Commission

The Commission may in writing assign any function of the Commission

to a member of the staff of the Commission, either generally or in

connection with a particular matter.

PART 2

DELIVERY OF DOCUMENTS (rules 5-9)

5 Delivery of documents

(1) A notice or document that is required to be

delivered may be filed or served in any way permitted or required by

the Act or these Rules.

(2) If, in a particular matter, it proves impossible to

deliver a document in any manner provided for in the Act or these

Rules, the person concerned may apply to the Commission for an order

of substituted service.

(3) Subject to rule 2(2), if a date for the delivery of a

document in terms of or

under the Act or these Rules falls outside the office hours of the

Commission as set out in rule 2(1), that document is deemed to have

been delivered on the next business day.

(4) A document that is delivered by fax must include a

cover page, and a document that is transmitted by electronic mail

must be accompanied by a cover message, in either case setting out-

(a) the name, address, and telephone number of the sender;

(b) the name of the person to whom it is addressed, and the

name of that person's representative, if it is being sent to the

representative of a person;

(c) the date and time of the transmission;

(d) the total number of pages sent, including the cover

page; and

(e) the name and telephone number of the person to contact

if the transmission appears to be incomplete or otherwise

unsuccessful.

(5) Despite this rule, if, in terms of rule 7, a filing

fee is required in respect of a document that has been filed, that

document is deemed to have been filed-

(a) on the date and at the time of delivery, or determined

by subrule (2), if applicable, provided that the filing fee is paid

to the Commission within 5 days of that time; or

(b) when the filing fee is received by the Commission, if

later.

6 Filing of documents

(1) The Commission must assign distinctive case numbers

to each-

(a) complaint;

(b) application; or

(c) merger notice.

(2) The Commission may combine two or more complaints

under a common investigation if they concern substantially the same

conduct by the same undertaking.

(3) The Commission must ensure that every document

subsequently filed in respect of the same proceedings is marked with

the same case number.

(4) The Commission may refuse to accept a document,

subsequently filed in respect of the same proceedings, that is not

properly marked with the assigned case number.

7 Fees

(1) The Commission may not charge a fee to any person

for filing a complaint.

(2) Subject to subrule (3), the fee for filing an

application with the Commission-

(a) for a single exemption is N$5 000, plus an annual fee,

payable in advance, equal to N$500 times the number of years for

which the exemption is granted;

(b) for a category exemption is N$100 000, plus an annual

fee, payable in advance, equal to N$l 000 times the number of years

for which the exemption is granted; or

(c) for an exemption contemplated in section 31 of the Act

is N$ 100 000.

(3) If an application is refused in terms of rule

21(4)(b), or rule 23(4)(b) or an advice is given in terms of rule

21(6), the Commission must refund the applicant the annual fee paid

in respect of that application.

(4) The fee for filing a merger notice is-

(a) N$l 500, if the combined figure is valued below N$50

million;

(b) N$5 000, if the combined figure is valued at or above

N$50 million, but less than N$65 million; or

(c) N$25 000, if the combined figure is valued at or above

N$65 million, but less than N$75 million; or

(d) N$50 000, if the combined figure is valued at or above

N$75 million, but less than N$100 million;

(e) N$125 000, if the combined figure is valued at or above

N$100 million, but less than N$1 billion;

(f) N$250 000, if the combined figure is valued at or

above N$l billion, but less than N$3,5 billion; or

(g) N$500 000, if the figure is valued at or above N$3,5

billion.

(5) For the purposes of subrule (4)-

(a) "combined figure" means the greater of-

(i) the combined annual turnover in Namibia of the

acquirer and the target;

(ii) the combined assets in Namibia of the acquirer

and the target;

(iii) the annual turnover in Namibia of the acquirer

plus the assets in Namibia of the target; or

(iv) the assets in Namibia of the acquirer plus the

annual turnover in Namibia of the target; and

(b) annual turnover and assets must be calculated in

accordance with the notice published by the Minister in terms of

section 24 of the Act.

(6) For the purpose of subrule (5)-

(a) "acquirer" means the total of all the undertakings that

are acquiring undertakings in respect of that merger, as defined in

rule 27(1)(a); and

(b) "target" means the total of all the undertakings that

are target undertakings in respect of that merger, as defined in

rule 27(1)(b).

(7) The Commission may charge a fee of N$l per A4-size

page or part thereof to any person wishing to copy a record in the

possession of the Commission and N$2 each for the Commission's

certification on copies of documents.

8 Form of notices, applications, certificates and receipts

If a notice, application, certificate or receipt is required in

terms of the Act or these Rules, the document must be substantially

in the form of the appropriate Form contained in Annexure A.

9 Contents of notices in Gazette

If the Commission is required, in terms of the Act or these Rules,

to publish a notice in the Gazette, that notice must contain at

least the following information-

(a) the name of any undertaking or other person directly

affected by the notice;

(b) the file number assigned by the Commission to the

relevant matter;

(c) the provision of the Act or rules in terms of which the

notice is required;

(d) a brief and concise description of the nature of the

relevant matter;

(e) if the notice invites submissions, the last date on

which submissions may be received;

(f) if the notice reports a decision-

(i) a brief and concise description of the nature

of the relevant decision;

(ii) a statement indicating whether reasons for the

decision have been published, and if so, how a copy of those reasons

may be obtained; and

(iii) a statement of any right of review of that

decision, including the period during which a review may be lodged;

(g) the name, address, and contact numbers of the person in

the Commission responsible for publishing the notice.

PART 3

ACCESS TO RECORDS OF COMMISSION (rules 10-12)

10 Confidential information

(1) A complaint and any information received by the

Commission during its investigation of the complaint are regarded

confidential information.

(2) An application and any information received by the

Commission during its consideration of the application, or

revocation of an exemption granted to the applicant, are regarded

confidential information only to the extent provided for in rule 11.

(3) A statement relating to merger information and any

information annexed to it, or received by the Commission during its

investigation of that merger, are regarded as confidential

information.

11 Right of informants to claim confidentiality or request

restricted access

(1) When submitting information to the Commission, a

person may identify information that the person claims to be

confidential information, but must support that claim at the same

time with a written statement in the form of Form 1, explaining why

the information is confidential.

(2) If a person makes a claim in terms of subrule (1),

the Commission may agree to be bound by that claim without

determining whether or not the information is confidential

information.

(3) Information that is the subject of a claim in terms

of subrule (1) is confidential information-

(a) from the time that the claim is made, until the

Commission has determined whether it is confidential information;

and

(b) only to the extent that the Commission has accepted the

claim upon determination under paragraph (a).

(4) If a person has requested under rule 13(2) that the

Commission treat his or her identity or any other person's identity

as confidential information-

(a) the Commission must accept that request; and

(b) that information is restricted unless the person

subsequently waives the request in writing.

12 Access to information

(1) Any person may inspect or copy upon payment of the

fee prescribed for a copy in rule 7(7), any record of the

Commission's proceedings in terms of Chapters 3 or 4 of the Act-

(a) if it is not confidential information; or

(b) if it is confidential information, to the extent

permitted, and subject to any conditions imposed by this rule or an

order of the Court.

(2) In a particular complaint the Commission may release

to the respondent confidential information, other than confidential

information relating to-

(a) a possible agreement of terms of an appropriate order;

or

(b) the consent of a complainant for an order to include an

award of damages.

(3) In addition to the provisions of subrule (1) and

(2), the Commission may release confidential information to, or

permit access to it by, the following persons-

(a) the person who provided that information to the

Commission;

(b) the undertaking to whom the confidential information

belongs;

(c) a person who requires it for a purpose mentioned in

section 55(2)(a) or (b) of the Act;

(d) a person mentioned in section 55(2)(c) of the Act;

(e) the Minister, if the information concerns a merger; or

(f) any other person, with the written consent of the

undertaking to whom the information belongs.

(4) If the Commission submits any information to the

Minister, the Commission must identify to the Minister any

information included in its submission-

(a) in respect of which a claim has been made in terms of

rule 11(1), that has not yet been determined by the Commission; or

(b) that has been finally determined to be confidential

information.

(5) Subject to subrule (6), when making any decision in

terms of the Act or these Rules, the Commission may take

confidential information into account in making its decision.

(6) If the reasons of the Commission for a decision

contemplated in subrule (5) would reveal any confidential

information, the Commission, after publishing its decision in the

matter, must provide a copy of the proposed reasons to the party

concerned at least 10 days before the publications of the reasons.

PART 4

COMPLAINT PROCEDURES (rules 13-20)

13 Information concerning alleged restrictive practices

(1) A person may provide information concerning an

alleged restrictive practice to the Commission in any manner and at

any time, whether or not a complaint has been initiated concerning

those allegations.

(2) A person who provides information in terms of

subrule (1) may request that the Commission treat his or her

identity as confidential information, but that person may be a

complainant in the relevant matter only if he or she subsequently

waives the request in writing.

14 Complaints initiated by Commission

The Commission may initiate a complaint at any time-

(a) in respect of a matter that is within its power; and

(b) within the time period contemplated in section 57 of

the Act.

15 Complaints by persons other than Commission

(1) A person other than the Commission may submit a

complaint to the Commission by filing a completed Form 2, if-

(a) the complaint is in respect of a matter that is within

the scope of the Act;

(b) the complaint is, in terms of section 57 of the Act,

done within three years from the date the infringement has ceased;

(c) the complaint is not frivolous; and

(d) the Commission has not initiated or has not already

accepted a complaint in respect of that practice.

(2) Upon receiving a complaint in terms of subrule (1),

the Commission may-

(a) accept it as a complaint in terms of section 33 of the

Act; or

(b) notify, in the form of Form 3, the person who made the

complaint that the Commission has decided not to conduct an

investigation, and inform the person of the reasons for that

decision.

(3) A person whose complaint under subrule (1) has been

accepted may withdraw that complaint at any time before the matter

has been referred to the Court as contemplated in section 38 of the

Act, if applicable, but the Commission may continue to investigate

that matter as if the Commission had initiated the complaint as from

the date the complaint was originally accepted.

16 Notice of proposed investigation and notice to furnish

information to, or produce any document or article to, or to appear

before Commission

(1) If the Commission on its own initiative or upon

receipt of information or a complaint from any person, decides to

conduct an investigation as contemplated in section 33, it must in

the form of Form 4 give notice of the proposed investigation to

every undertaking the conduct of which is to be investigated.

(2) A notice to a person to-

(a) furnish information to;

(b) produce any document or article to; or

(c) to appear before,

the Commission as contemplated in section 33(4) of the Act must be

in the form of Form 5.

(3) A notice contemplated in subrule (1) must be served

as follows-

(a) to the person concerned at his or her place of work or

residence;

(b) if the person concerned is not at his or her place of

work or residence, to any person apparently not less than 16 years

of age at the place of work or residence of the person concerned; or

(c) by registered post addressed to the postal address of

the person concerned.

17 Notice of proposed decisions of Commission

A notice containing a proposed decision of the Commission as

contemplated in section 36(1) of the Act must be in the form of Form

6.

18 Notice of action to be taken under section 38 and

institution of proceedings in Court

(1) The Commission must give notice in the Gazette in

the form of Form 7 of any action which it wishes to take under

section 38 of the Act.

(2) Any proceedings which the Commission wishes to

institute in the Court as contemplated in section 38(1) of the Act

must be in the form of Form 8.

19 Application to Court for interim order

An application to the Court for an interim order as contemplated in

section 39(1) of the Act must be in the form of Form 9.

20 Notice of consent agreement to be submitted to Court for

confirmation as an order of the Court and application to Court for

confirmation of agreement of settlement as order of the Court

(1) The Commission must give notice in the Gazette in

the form of Form 10 of any consent agreement referred to in section

40 of the Act to be submitted to the Court for confirmation as an

order of the Court.

(2) An application to the Court for confirmation of an

agreement of settlement as an order of the Court as contemplated in

section 40(1) of the Act must be in the form of Form 11.

PART 5

EXEMPTION APPLICATIONS AND PROCEDURES (rules 21-26)

21 Applications for exemption in respect of certain restrictive

practices

(1) An application for exemption as contemplated in

section 27(1) of the Act must be in the form of Form 12.

(2) Upon receiving an application in terms of section 27

of the Act, the Commission must give notice of receipt of the

application in the Gazette in the form of Form 13.

(3) The Commission may request further information from

any person who has submitted a representation in response to a

notice published in terms of subrule (2).

(4) If the Commission-

(a) grants an exemption in terms of section 28(1) of the

Act, it must issue to the applicant an exemption certificate in the

form of Form 14;

(b) refuses to grant an exemption in terms of section 28(1)

of the Act, it must issue to the applicant a notice of refusal to

grant exemption in the form of Form 15.

(5) The Commission must publish in the Gazette a notice

in the form of Form 16 of its decision referred to in subrule 4(a)

or (b), setting out the section of the Act in terms of which the

exemption was granted or refused.

(6) If the subject matter of the application concerned

appears not to constitute an infringement of the Part I or the Part

II prohibition as contemplated in section 28(1)(c) of the Act, the

Commission must issue to the applicant a certificate of clearance in

the form of Form 17.

22 Revocation or amendment of exemption or revocation of

certificate of clearance

(1) If the Commission proposes to revoke or amend an

exemption or to revoke a certificate of clearance under section

29(1) of the Act, the Commission must give notice of the proposed

action in the form of Form 18-

(a) to the person to whom the exemption was granted or the

certificate of clearance was issued; and

(b) to any other person who, in the opinion of the

Commission, is likely to have an interest in the matter.

(2) The Commission must issue a revocation or amendment

of an exemption or a revocation of a certificate of clearance in the

form of Form 19.

(3) An application to the Court for a pecuniary penalty

under section 29(3) of the Act must be in the form of Form 20.

23 Applications for exemption in respect of intellectual

property rights

(1) An application for exemption in respect of

intellectual property rights as contemplated in section 30(1) of the

Act must be in the form of Form 21.

(2) Upon receiving an application in terms of section 30

of the Act, the Commission must give notice of receipt of the

application in the Gazette in the form of Form 22.

(3) The Commission may request further information from

any person who has submitted a representation in response to a

notice published in terms of subrule (2).

(4) If the Commission-

(a) grants an exemption under section 30(1) of the Act, it

must issue to the applicant an exemption certificate in the form of

Form 23;

(b) refuses to grant an exemption under section 30(1) of

the Act, it must issue to the applicant a notice of refusal to grant

exemption in the form of Form 24.

(5) The Commission must publish in the Gazette a notice

in the form of Form 25 of its decision referred to in subrule 4(a)

or (b), setting out the section of the Act in terms of which the

exemption was granted or refused.

(6) If the subject matter of the application concerned

appears not to constitute an infringement of the Part I or the Part

II prohibition as contemplated in section 30(1) of the Act, the

Commission must issue to the applicant a certificate of clearance in

the form of Form 26.

24 Revocation or amendment of exemptions contemplated in

section 30 of Act

(1) If the Commission proposes to revoke or amend an

exemption or to revoke a certificate of clearance under section

30(2) of the Act, the Commission must give notice of the proposed

action in the form of Form 27-

(a) to the person to whom the exemption was granted or the

certificate of clearance was issued; and

(b) to any other person who, in the opinion of the

Commission, is likely to have an interest in the matter.

(2) The Commission must issue a revocation or amendment

of an exemption or a revocation of a certificate of clearance in the

form of Form 28.

(3) An application to the Court for a pecuniary penalty

under section 29(3) of the Act must be in the form of Form 29.

25 Application for exemption in respect of professional rules

(1) An application for exemption as contemplated in

section 31(1) of the Act must be in the form of Form 30.

(2) Upon receiving an application in terms of section 31

of the Act, the Commission must give notice of receipt of the

application in the Gazette in the form of Form 31.

(3) The Commission may request further information from

any person who has submitted a representation in response to a

notice published in terms of subrule (2).

(4) If the Commission-

(a) grants an exemption under section 31(4) of the Act, it

must issue to the applicant an exemption certificate in the form of

Form 32;

(b) rejects an application for exemption under section

31(4) of the Act, it must issue to the applicant a notice of refusal

to grant exemption in the form of Form 33.

(5) The Commission must publish in the Gazette a notice

in the form of Form 34 of its decision referred to in subrule 4(a)

or (b), setting out the section of the Act in terms of which the

exemption was granted or refused.

(6) If the professional rules concerned appear not to

contain a restriction that has the effect of preventing or

substantially lessening competition in a market, the Commission must

issue to the applicant a certificate of clearance in the form of

Form 35.

26 Revocation of exemptions as contemplated in section 31 of

Act

(1) If the Commission proposes to revoke an exemption in

respect of any rules under section 31(5) of the Act, the Commission

must give notice in the Gazette of the proposed action in the form

of Form 36.

(2) The Commission must issue a revocation of an

exemption in respect of any rules in the form of Form 37.

PART 6

MERGER PROCEDURES (rules 27-33)

27 Merger parties and participants

(1) In this Part, in respect of any particular merger-

"acquiring undertaking" means-

(a) any undertaking that, as a result of a transaction in

any circumstances set out in section 42 of the Act, would acquire or

establish direct or indirect control over the whole or part of the

business of another undertaking;

(b) any other undertaking that has direct or indirect

control over the whole or part of the business of an undertaking

referred to in paragraph (a); and

(c) any other undertaking that is controlled by, or the

direct or indirect control over the whole or part of the business

which is held by, an undertaking referred to in paragraph (a) or

(b);

"primary acquiring undertaking" means an undertaking

that meets the definition of acquiring undertaking in paragraph (a)

of that definition;

"primary target undertaking" means the undertaking that

satisfies the definition of "target undertaking" in paragraph (a) of

that definition; and

"target undertaking" means-

(a) an undertaking that, as a result of a transaction in

any circumstances set but in section 42 of the Act-

(i) would become controlled by, or the direct or

indirect control over the whole or part of the business which is

held by, another undertaking; or

(ii) would transfer control of, or the direct or

indirect control over the whole or part of its business to another

undertaking; and

(b) any other undertaking that is controlled by, or the

direct or indirect control over the whole or part of the business

which is held by, a business described in subparagraph (i).

(2) The following persons may participate in proceedings

before the Commission in respect of any merger-

(a) the party to the merger who files the merger notice

contemplated in Form 38;

(b) any other party to the merger who indicates an

intention to participate when filing a statement of merger

information contemplated in Form 39.

28 Merger notice requirements

Each undertaking involved in a proposed merger as contemplated in

section 44(1) of the Act must notify the Commission of the proposal

in the merger notice in the form of Form 38, and must attach to it a

completed statement of merger information in the form of Form 39.

29 Notification of merger investigation

If the Commission has referred the particulars of a

proposed merger to an inspector for investigation and a report as

contemplated in section 49(3) of the Act, the Commission must inform

the undertakings involved of such referral in the form of Form 40.

30 Notice of determination made by Commission in relation to

proposed merger

The Commission must give notice of the determination made by it in

relation to a proposed merger in the form of Form 41-

(a) to the parties involved in the proposed merger; and

(b) by notice in the Gazette, as contemplated in section

47(7) of the Act.

31 Revocation of approval of proposed merger

(1) If the Commission proposes to revoke its decision

under section 48(1) to approve the implementation of a proposed

merger, the Commission must give notice of the proposed action in

the form of Form 42-

(a) to every undertaking involved in the merger; and

(b) to any other person who in the opinion of the

Commission is likely to have an interest in the matter.

(2) The Commission must issue a revocation of its

decision to approve the implementation of a proposed merger in the

form of Form 43.

32 Notice of application for review of decisions of Commission

on mergers by Minister and notice of determination

(1) The Minister must give notice, as contemplated in

section 49(2) of the Act, of an application to review the decision

of the Commission in relation to a proposed merger in the Gazette in

the form of Form 44.

(2) The Minister must give notice, in the form of Form

45-

(a) to the Commission;

(b) to the parties involved in a proposed merger; and

(c) in the Gazette,

of the determination made by the Minister in relation to the review

by the Minister of the decision of the Commission in relation to a

proposed merger, as contemplated in section 49(4).

33 Application to Court in terms of section 51

An application to the Court as contemplated in section 51 of the Act

in respect of a merger which being, or has been implemented in

contravention of Chapter 4 of the Act, must be in the form of Form

46.

PART 7

MISCELLANEOUS (rules 34-37)

34 Requirements for small undertaking

A small undertaking is-

(a) a separate and distinct business entity, including

co-operative enterprises and non-governmental organisations, which

is managed by one owner or more and, includes its branches or

subsidiaries, if any; and

(b) predominantly carried on in any sector or subsector of

the economy mentioned in column 1 of Annexure B, and which can be

classified as a micro-, a very small, a small or a medium enterprise

by satisfying the criteria mentioned in columns 3, 4 and 5 of that

Annexure opposite the smallest relevant size or class as mentioned

in column 2 of that Annexure.

35 Financial year of Commission

The financial year of the Commission ends on 31 March of

each year.

36 Criteria to be applied for determining dominant position in

market

(1) An undertaking has, or two or more undertakings

have, a dominant position in a market if-

(a) it has or they have at least 45% of that market;

(b) it has or they have at least 35%, but less than 45%, of

that market, unless it can show that it does not have market power;

or

(c) it has or they have less than 35% of that market, but has or

have marker power.

(2) For the purposes of this rule "market power" means the power of

an undertaking or undertakings to control prices, to exclude

competition or to behave to an appreciable extent independently of

its competitors, customers or suppliers.

37 Notice from chairperson of Commission

A notice from the chairperson of the Commission as contemplated in

section 54(2) of the Act, must be in the form of Form 47.

ANNEXURE A

INDEX TO FORMS AND FORMS

FORMDESCRIPTIONRULE

Form 1Confidentiality claim11(1)

Form 2Complaint15(1)

Form 3Notice of decision not to conduct an

investigation15(2)(b)

Form 4Notice of proposed investigation16(1)

Form 5Notice to appear before Commission16(2)

Form 6Notice of proposed decision of Commission in relation to

investigation17

Form 7Notice of action to be taken under section 3818(1)

Form8Institution of proceedings in court for order18(2)

Form 9Application to court for interim order19

Form 10Notice of consent agreement to be submitted to

Court20(1)

Form 11Application to Court for confirmation of settlement

agreement as order of Court20(2)

Form 12Application for exemption in respect of certain

restrictive practices21(1)

Form 13Notice of receipt of application for exemption in

respect of certain restrictive practices21(2)

Form 14Exemption certificate in respect of certain restrictive

practices21(4)(a)

Form 15Notice of refusal to grant exemption21(4)(b)

Form 16Notice of decision of Commission regarding

exemption21(5)

Form 17Certificate of clearance in respect of certain

restrictive practices21(6)

Form 18Notice of proposed revocation or amendment of exemption

/ Revocation of clearance certificate22(1)

Form 19Revocation or amendment of exemption / Revocation of

clearance certificate22(2)

Form 20Application to Court for pecuniary penalty22(3)

Form 21Application for exemption in respect of intellectual

property rights23(1)

Form 22Notice of receipt of application for exemption in

respect of intellectual property rights23(2)

Form 23Exemption certificate in respect of intellectual

property rights23(4)(a)

Form 24Notice of refusal to grant exemption in respect of

intellectual property rights23(4)(b)

Form 25Notice of decision of Commission regarding exemption in

respect of intellectual property rights23(5)

Form 26Certificate of clearance in respect of intellectual

property rights23(6)

Form 27Notice of proposed revocation or amendment of exemption

/ Revocation of clearance certificate in respect of

intellectual property rights24(1)

Form 28Revocation or amendment of exemption / Revocation of

clearance certificate in respect of intellectual property

rights24(2)

Form 29Application to Court for pecuniary penalty24(3)

Form 30Application for exemption in respect of professional

rules25(1)

Form 31Notice of receipt of application for exemption in

respect of professional rules25(2)

Form 32Exemption certificate in respect of professional

rules25(4)(a)

Form 33Notice of refusal to grant exemption in respect of

professional rules25(4)(b)

Form 34Notice of decision of Commission regarding exemption in

respect of professional rules25(5)

Form 35Certificate of clearance in respect of professional

rules25(6)

Form 36Notice of proposed revocation of exemption in respect

of professional rules26(1)

Form 37Revocation of exemption in respect of professional

rules26(2)

Form 38Merger notice28

Form 39Statement of merger information28

Form 40Notice of referral to inspector for investigation and

report29

Form 41Notice of determination made by Commission in relation

to proposed merger30

Form 42Notice of proposed revocation of decision to approve

implementation of proposed merger31(1)

Form 43Revocation of decision to approve implementation of

proposed merger31(2)

Form 44Notice of application for review of decision of

Commission in relation to proposed merger32(1)

Form 45Notice of determination made by Minister in relation to

review of decision of Commission in relation to proposed

merger32(2)

Form 46Application to Court in terms of section 5133

Form 47Notice from chairperson of Commission regarding

suffering of alleged damages37

FORM 1

NAMIBIAN COMPETITION COMMISSION

CONFIDENTIALITY CLAIM

COMPETITION ACT, 2003

(Rule 11(1))

To: The Namibian Competition Commission

Concerning:

(Name and file number :)

On a separate sheet of paper, list the following information,

and set out the facts and contentions supporting your claim

that the identified information is confidential.

Column 1: The name of the document that contains

the confidential information.

Column 2: The page and line number.

Column 3: The name of the undertaking that owns the

particular information.

Column 4: The nature of the economic value of the

information.

Column 5: The existing restrictions on access to

the information.

Statement of confidentiality:

I,

_______________________________________________________________________,

have compiled or supervised the persons who compiled the

attached list. I believe that the information identified in

that list is confidential information as defined in section 1

of the Act.

Name and title of person authorised to sign:

__________________________________________________________________________

Authorised signature: Date:

For officeCommission file number: Date filed:

Use only: ______________________________

_______________________

FORM 2

NAMIBIAN COMPETITION COMMISSION

COMPLAINT

COMPETITION ACT, 2003

(Section 33, Rule 15(1))

To: The Namibian Competition Commission

From:

(Name of person submitting complaint:)

Concerning:

(Name or person whose conduct is the subject of this

complaint:)

Despcription of complaint:

(Provide a concise statement of the conduct that is the

subject of this complaint:)

1 Please attach to this form any relevant documents, as

well as a typed statement describing the conduct that is the

subject of this complaint, including-

(a) the names of each party involved in the

conduct;

(b) the dates on which the conduct occurred;

(c) a statement indicating when and how you became

aware of the conduct, and

(d) any other information you consider relevant.

2 Is the conduct continuing?Yes No

3 If not, when did the conduct

end?_________________________________

Name and title of person authorised to sign:

________________________________________________________________________

Authorised signature: Date:

FORM 2 (continue)

For officeCommission file number:Date filed

Use only:____________________________________________________

Please note:

If this complaint is lodged by a person other than an

individual, please provide contact details of the person

authorised to discuss the complaint.

FORM 3

NAMIBIAN COMPETITION COMMISSION

NOTICE OF DECISION NOT TO CONDUCT AN INVESTIGATION

COMPETITION ACT, 2003

(Section 33(2), Rule 15(2)(b))

To:___________________________________________________________________

Concerning:

(Name and file number of complaint:)

1 The Commission has received a complaint against the above

named respondent

on_____________________________________________________________

2 The Commission gives notice that it has decided not to

conduct an investigation into the alleged infringement

concerned.

3 The reasons for the decision of the Commission are as

follows:

___________________________________________________________________________

___________________________________________________________________________

___________________________________________________________________________

___________________________________________________________________________

___________________________________________________________________________

___________________________________________________________________________

___________________________________________________________________________

___________________________________________________________________________

___________________________________________________________________________

___________________________________________________________________________

Name and title of person authorised to sign on behalf of the

Commission:

____________________________________________________________________________

Authorised signature: Date:

Please note:

This notice must be sent to the person from whom a complaint

has been received.

FORM 4

NAMIBIAN COMPETITION COMMISSION

NOTICE OF PROPOSED INVESTIGATION

COMPETITION ACT, 2003

(Section 33(3), Rule 16(1))

To:___________________________________________________________________

Concerning:

(Name and file number of complaint:)

1 The Commission has received a complaint against the above

named respondent

on:______________________________________________________ in

relation to the following subject

matter:______________________________

______________________________________________________________

______________________________________________________________

2 The Commission gives notice that it has decided to

conduct an investigation into the alleged infringement

concerned.

3 The purpose of the investigation is:

______________________________________________________________

______________________________________________________________

______________________________________________________________

4 You are hereby invited to submit to the Commission within

30 days as from the date of this notice, any written

representations which you may wish to make to the Commission

in connection with any matter to be investigated.

Name and title of person authorised to sign on behalf of the

Commission:

____________________________________________________________________________

Authorised signature: Date:

Please note:

This notice must be sent to the person from whom a complaint

has been received.

FORM 5

NAMIBIAN COMPETITION COMMISSION

NOTICE TO APPEAR BEFORE COMMISSION

COMPETITION ACT, 2003

(Section 33(3), Rule 16(1))

To:

Concerning:

(Name and file number:)

1 The Commission has decided to conduct an investigation

concerning the above mentioned matter.

2 You are required to appear

at_______________________________________and give evidence

before the Competition Commission on _________________

at_________________o' clock, in the morning/ afternoon.[i]*

3 You are also required to bring with you:

(a) the documents or items listed on the

attached________sheet(s); and

(b) any other documents or items in your

possession or under your control that relate to this matter.

Name and title of person authorised to sign on behalf of the

Commission:

___________________________________________________________________

Authorised signature:Date:

Please note: [sic]

[i]Delete whichever is not applicable

FORM 6

NAMIBIAN COMPETITION COMMISSION

NOTICE OF PROPOSED DECISION OF COMMISSION IN RELATION TO

INVESTIGATION

COMPETITION ACT, 2003

(Section 36(1), Rule 17))

To: _______________________________________________________

Concerning:

(Name and file number of complaint:)

1 The Commission has received a complaint against the above

named respondent on________

2 The Commission proposes to make a decision that-

(a) the Part I prohibition has been infringed;[i]*

(b) the Part II prohibition has been

infringed.[ii]*

3 The reasons for the proposed decision are:

___________________________________________________

___________________________________________________

___________________________________________________

___________________________________________________

4 The Commission considers to seek the following relief

from the Court by way of the institution of proceedings in

accordance with section 38:

___________________________________________________

___________________________________________________

___________________________________________________

___________________________________________________

5. In relation to the proposed decision of the Commission

you may-

(a) submit written representations to the

Commission;

(b) indicate whether you require to an opportunity

to make oral representations to the Commission,

within 30 days as from the date of this notice.

Name and title of person authorised to sign on behalf of the

Commission:

___________________________________________________________________

Authorised signature:Date:

Please note:

This notice must be send to every undertaking which may be

affected by the proposed decision.

[i]Delete whichever is not applicable.

[ii]Delete whichever is not applicable.

FORM 7

NAMIBIAN COMPETITION COMMISSION

NOTICE OF ACTION TO BE TAKEN UNDER SECTION 38

COMPETITION ACT, 2003

(Section 41, Rule 18(1))

Concerning:

(Name and file number of complaint:)

1 The Commission has received a complaint against the above

named respondent on ________________________ and has given

notice of its proposed decision

on________________________________.

2 The Commission gives notice that it intends to take the

following action under section

38:__________________________________________________

_____________________________________________________

_____________________________________________________

_____________________________________________________

against:[i]*______________________________________________

_____________________________________________________

_____________________________________________________

_____________________________________________________

_____________________________________________________

3 The nature of the conduct that is the subject of the

action is:______

______________________________________________________________

______________________________________________________________

______________________________________________________________

Name and title of person authorised to sign on behalf of the

Commission:

_________________________________________________________________

Authorised signature: Date:

Please note: [sic]

[i]Please mention the name of every undertaking involved.

FORM 8

NAMIBIAN COMPETITION COMMISSION

INSTITUTION OF PROCEEDINGS IN COURT FOR ORDER

COMPETITION ACT, 2003

(Section 38, Rule 18(2))

Concerning:

(Name and file number of complaint:)

1 The Commission has received a complaint against the above

named respondent on ________________________ and has given

notice of its proposed decision

on________________________________.

2 The Commission hereby institutes proceedings in the Court

for an order:

_____________________________________________________

_____________________________________________________

_____________________________________________________

against:_______________________________________________

_____________________________________________________

_____________________________________________________

_____________________________________________________

_____________________________________________________

on the grounds:________________________________________

_____________________________________________________

_____________________________________________________

_____________________________________________________

Name and title of person authorised to sign on behalf of the

Commission:

_________________________________________________________________

Authorised signature: Date:

Please note:

Please mention in paragraph 2 the order which the Commission

sought, the name(s) of the undertaking(s) involved and grounds

on which the order is sought.

FORM 9

NAMIBIAN COMPETITION COMMISSION

APPLICATION TO COURT FOR INTERIM ORDER

COMPETITION ACT, 2003

(Section 39(1), Rule 19)

Concerning:

(Name of undertaking concerned:)

1 The Commission on reasonable grounds believes that the

undertaking(s) mentioned

above:____________________________________________

______________________________________________________________

______________________________________________________________

______________________________________________________________

______________________________________________________________

and that it is necessary for the Commission to act as a

matter of urgency for the purpose-

(a) of preventing serious, irreparable damage to

any person or category of persons; or[i]*

(b) of protecting the public interest.

2 The Commission therefore applies to the Court for an

interim order restraining the undertaking or undertakings from

engaging in the conduct referred to in paragraph 1.

Name and title of person authorised to sign on behalf of the

Commission:

___________________________________________________________________

Authorised signature:Date:

Please note:

Please mention in paragraph 1 the conduct of the undertaking

on which the application of the Commission is bases [sic], as

contemplated in section 39(1).

[i]Delete whichever is not applicable.

FORM 10

NAMIBIAN COMPETITION COMMISSION

NOTICE OF CONSENT AGREEMENT TO BE SUBMITTED TO COURT

COMPETITION ACT, 2003

(Section 41, Rule 20(1))

Concerning:

(Name and file number of complaint:)

1 The Commission has received a complaint against the above

named respondent on ____________________ and has given notice

of its proposed decision on____________________.

2 The Commission gives notice that it intends to submit the

attached consent agreement with: [i]*

______________________________________________________________

______________________________________________________________

______________________________________________________________

______________________________________________________________

to the Court for confirmation as an order of the Court as

contemplated in section 40(1) of the Act.

3 The nature of the conduct that is the subject of the

consent agreement is:___

______________________________________________________________

______________________________________________________________

______________________________________________________________

______________________________________________________________

______________________________________________________________

Name and title of person authorised to sign on behalf of the

Commission:

___________________________________________________________________

Authorised signature:Date:

Please note: [sic]

[i]Please mention the name of every undertaking involved.

FORM 11

NAMIBIAN COMPETITION COMMISSION

APPLICATION TO COURT FOR CONFIRMATION OF SETTLEMENT AGREEMENT

AS ORDER OF COURT

COMPETITION ACT, 2003

(Section 40(1), Rule 20(2))

Concerning:

(Name and file number of complaint:)

1 The Commission has received a complaint against the above

named respondent on ______________________ and has given

notice-

(a) of its proposed decision on

__________________________;

(b) in the Gazette of the consent agreement to be

submitted to the Court for confirmation as an order to the

Court on ____________

2 The Commission hereby applies to the Court for

confirmation as an order of the Court of the attached consent

agreement with:[i]*__________________________

_____________________________________________________

_____________________________________________________

_____________________________________________________

_____________________________________________________

_____________________________________________________

_____________________________________________________

_____________________________________________________

Name and title of person authorised to sign on behalf of the

Commission:

_________________________________________________________________

Authorised signature: Date:

Please note: [sic]

[i]Please mention the name of every undertaking involved.

FORM 12

NAMIBIAN COMPETITION COMMISSION

APPLICATION FOR EXEMPTION IN RESPECT OF CERTAIN RESTRICTIVE

PRACTICES

COMPETITION ACT, 2003

(Section 27(1), Rule 21(1))

To: The Competition Commission

From:

(Name of Applicant:)

(Name of undertaking:)

1 We apply in terms of section 27(1) of the Act for an

exemption from the provisions of Part I[i]* / Part II[ii]*of

Chapter 3 of the Act in respect of-

a single agreement a category of agreements

a decision a category of decisions

a concerted practice a category of concerted practices,

as described in the attached document.

2 We seek an exemption for a period of _________years.

3 In respect of this matter, has a previous exemption been:

Granted? Yes No

Refused? Yes No

4 If you have answered "yes" to either question above,

please provide the case number for the previous exemption

application _______________________.

Name and title of person authorised to sign on behalf of the

Commission:

_________________________________________________________________

Authorised Signature: Date:

For office Use only:Commission file number: Date filed:

_____________________________________________

[i]Delete whichever is applicable

[ii]Delete whichever is applicable

FORM 12 (Continue)

Please note:

1 The following information must be included in your

description of the agreement, decision or practice for which

you seek an exemption:

(a) Your address in Namibia for service of

documents.

(b) A short description of your business.

(c) A brief description of the agreement, decision

or practice which you seek to have exempted from the

application of Chapter 2, and, if an agreement or decision has

already been made, its date, as well as a certified copy

thereof.

(d) The names and addresses of other parties to

that agreement, decision or practice.

(e) The objective in terms of section 28(3) of the

Act on which you rely.

(f) The facts and contentions on which you rely.

(g) The sections of the Act that you believe may

be contravened by the agreement, decision, practice, or

category of agreements, decisions or practices you have

described, and a motivation for the belief.

2 Generally, information relating to this application is

part of the public record. You have the right to identify

information that you believe is confidential, by completing

Form 1 and submitting it with this application.

FORM 13

NAMIBIAN COMPETITION COMMISSION

NOTICE OF RECEIPT OF APPLICATION FOR EXEMPTION IN RESPECT OF

CERTAIN RESTRICTIVE PRACTICES

Competition Act, 2003 (Act 2 of 2003)

(Section 27(3), Rule 21(2))

Concerning:

(Name and file number of applicant:)

1 The Commission gives notice that it has received an

application for exemption in respect of certain restrictive

practices from the above named applicant on _____

___________________________________________________________

2 The nature of the exemption sought by the applicant is:

_________

_____________________________________________________

_____________________________________________________

_____________________________________________________

_____________________________________________________

_____________________________________________________

_____________________________________________________

_____________________________________________________

_____________________________________________________

_____________________________________________________

_____________________________________________________

_____________________________________________________

_____________________________________________________

_____________________________________________________

_____________________________________________________

_____________________________________________________

3 Interested persons are invited to submit to the

Commission, within 30 days as from the date of this notice,

any written representations that they may wish to make in

regard to the application.

Name and title of person authorised to sign on behalf of the

Commission:

_________________________________________________________________

Authorised signature: Date:

FORM 14

NAMIBIAN COMPETITION COMMISSION

EXEMPTION CERTIFICATE IN RESPECT OF CERTAIN RESTRICTIVE

PRACTICES

Competition Act, 2003 (Act 2 of 2003)

(Section 28(1)(a), Rule 21(4)(a))

To:

____________________________________________________________________

(Name and file number of applicant:)

1 You have applied to the Commission on:

_________________________________ for an exemption in respect

of certain restrictive practices, as contemplated in section

27(1) of the Act.

2 Because the agreement, decision or practice concerned

contributes to the objective set out in section 28(3)

____________ [i]*of the Act, the Commission grants an

exemption in terms of section 28(1)(a) of the Act for a period

of __________ years, ending on __________________, for:

a single agreement a category of agreements

a decision a category of decisions

a concerted practice a category of concerted practices,

as described in your application. This exemption is

subject to:

no conditions

the conditions listed on the attached sheet.

3 The Commission has the authority in terms of section

29(1) of the Act to revoke or amend this exemption if-

(a) the exemption was granted on materially

incorrect or misleading information;

(b) there has been a material change of

circumstances since the exemption was granted; or

(c) a condition upon which the exemption was

granted, has not been complied with.

Name and title of person authorised to sign on behalf of the

Commission:

_________________________________________________________________

Authorised Signature: Date:

[i]Please insert the appropriate paragraph of section 28(3) of the

Act.

FORM 15

NAMIBIAN COMPETITION COMMISSION

NOTICE OF REFUSAL TO GRANT EXEMPTION

Competition Act, 2003 (Act 2 of 2003)

(Section 28(1)(b), Rule 21(4)(b))

To:

____________________________________________________________________

(Name and file number of applicant:)

1 You have applied to the Commission on:

_________________________________ for an exemption in respect

of certain restrictive practices, as contemplated in section

27(1) of the Act for:

a single agreement a category of agreements

a decision a category of decisions

a concerted practice a category of concerted practices,

as described in your application.

2 After reviewing the information you provided, the

Commission refuses to grant an exemption for the reasons

mentioned in the accompanied statement.

Name and title of person authorised to sign on behalf of the

Commission:

_________________________________________________________________

Authorised Signature: Date:

FORM 16

NAMIBIAN COMPETITION COMMISSION

NOTICE OF DECISION OF COMMISSION REGARDING EXEMPTION

Competition Act, 2003 (Act 2 of 2003)

(Section 28, Rule 21(5))

Concerning:

(Name and file number of Applicant:)

1 The above named applicant has applied to the Commission

on______________for an exemption in respect of certain

restrictive practices, as contemplated in section 27(1) of the

Act for:

a single agreement a category of agreements

a decision a category of decisions

a concerted practice a category of concerted practices,

as described in his or her or its application.

2 The Commission gives notice of its decision in terms of

section 28(1)(a)[i]* or (b)[ii]* of its decision to grant

[iii]* / refuse[iv]* the exemption concerned.

Name and title of person authorised to sign on behalf of the

Competition Commission:

_________________________________________________________________

Authorised Signature: Date:

[i]Delete whichever is not applicable.

[ii]Delete whichever is not applicable.

[iii]Delete whichever is not applicable.

[iv]Delete whichever is not applicable.

FORM 17

NAMIBIAN COMPETITION COMMISSION

CERTIFICATE OF CLEARANCE IN RESPECT OF CERTAIN RESTRICTIVE

PRACTICES

Competition Act, 2003 (Act 2 of 2003)

(Section 28(1)(c), Rule 21(6))

To: ________________________________________________________

(Name and file number of Applicant:)

1 You have applied to the Commission on

________________________ for an exemption in respect of

certain restrictive practices, as contemplated in section

27(1) of the Act for:

a single agreement a category of agreements

a decision a category of decisions

a concerted practice a category of concerted practices,

as described in your application.

2 In the opinion of the Commission, based on the facts in

its possession, the agreement, decision or concerted practice

or the category of agreements, decisions or concerted

practices concerned, does not constitute an infringement of

the Part I[i]* / Part II[ii]* prohibition as contemplated in

section 28(1)(c) of the Act.

Name and title of person authorised to sign on behalf of the

Competition Commission:

_________________________________________________________________

Authorised Signature: Date:

[i]Delete whichever is not applicable.

[ii]Delete whichever is not applicable.

FORM 18

NAMIBIAN COMPETITION COMMISSION

NOTICE OF PROPOSED REVOCATION OR AMENDMENT OF EXEMPTION /

REVOCATION OF CLEARANCE CERTIFICATE

Competition Act, 2003 (Act 2 of 2003)

(Section 29(2)(a) and (b), Rule 22(1))

To:

___________________________________________________________

Concerning:

(Name and file number of applicant:)

1 The Commission has issued an exemption certificate[i]* /

clearance certificate[ii]* to the above named applicant on

_____________________________________________

2 The Commission gives notice that it intends to

revoke[iii]* / amend[iv]* the exemption concerned[v]* / revoke

the clearance certificate concerned[vi]* on the ground that-

(a) the exemption was granted[vii]* / the

certificate of clearance[viii]* was issued on materially

incorrect[ix]* / misleading information[x]*;[xi]*

(b) there has been a material change of

circumstances since the exemption was granted[xii]* / the

certificate was issued[xiii]*;[xiv]*

(c) a condition upon which an exemption was

granted has not been complied with. [xv]*

3 You may submit to the Commission, within 30 days as from

the date of receipt of this notice, any written

representations that you may wish to make in regard to the

proposed revocation[xvi]* / amendment[xvii]* of the

exemption[xviii]* / revocation of the clearance

certificate[xix]*.

Name and title of person authorised to sign on behalf of the

Commission:

_________________________________________________________________

Authorised signature: Date:

[i]Delete whichever is not applicable.

FORM 19

NAMIBIAN COMPETITION COMMISSION

REVOCATION OR AMENDMENT OF EXEMPTION / REVOCATION OF CLEARANCE

CERTIFICATE

Competition Act, 2003 (Act 2 of 2003)

(Section 29(1)(a) and (b), Rule 22(2))

To:

___________________________________________________________

Concerning:

(Name and file number of applicant:)

1 The Commission has issued an exemption certificate[i]* /

clearance certificate[ii]* to the above named applicant on

_____________ and has given notice on _____________ that it

intends to revoke[iii]* / amend[iv]* the exemption

concerned[v]* / revoke the clearance certificate

concerned[vi]*.

2 The Commission hereby, in terms of section 29(1) of the

Act, revokes[vii]* / amends[viii]* the exemption

concerned[ix]* / revokes the clearance certificate

concerned[x]* on the ground that-

(a) the exemption was granted[xi]* / the

certificate of clearance[xii]* was issued on materially

incorrect[xiii]* / misleading information[xiv]*;[xv]*

(b) there has been a material change of

circumstances since the exemption was granted[xvi]* / the

certificate was issued[xvii]*;[xviii]*

(c) a condition upon which an exemption was

granted has not been complied with. [xix]*

Name and title of person authorised to sign on behalf of the

Commission:

_________________________________________________________________

Authorised signature: Date:

[i]Delete whichever is not applicable.

FORM 20

NAMIBIAN COMPETITION COMMISSION

APPLICATION TO COURT FOR PECUNIARY PENALTY

Competition Act, 2003 (Act 2 of 2003)

(Section 29(3), Rule 22(3))

Concerning:

(Name and file number of applicant:)

1 The Commission has granted an exemption to the above

named applicant for an exemption in respect of certain

restrictive practices, as contemplated in section 27(1) of the

Act and has issued an exemption certificate to the above named

applicant on _____________

2 The exemption concerned has been made subject to the

conditions listed on the attached sheet.

3 Due to the fact that there has been non-compliance with a

condition of the exemption concerned, namely

________________________________________________________

______________________________________________________________

______________________________________________________________

______________________________________________________________

______________________________________________________________

the Commission hereby applies to the Court for the

imposition of a pecuniary penalty of N$ __________-__in

respect of the non-compliance concerned.

Name and title of person authorised to sign on behalf of the

Commission:

_________________________________________________________________

Authorised signature: Date:

FORM 21

NAMIBIAN COMPETITION COMMISSION

APPLICATION FOR EXEMPTION IN RESPECT OF INTELLECTUAL PROPERTY

RIGHTS

Competition Act, 2003 (Act 2 of 2003)

(Section 30(1)), Rule 23(1))

To: The Competition Commission

From:

(Name of Applicant:)

(Name of undertaking:)

1 We apply in terms of section 30( 1) of the Act for an

exemption from the provisions of Part I* / Part II* of Chapter

3 of the Act in respect of-

a single agreement a category of agreements

a concerted practice a category of concerted practices,

relating to the exercise of any right or interest

acquired or protected in terms of any law relating to

copyright, patents, designs, trade marks, plant varieties or

any other intellectual property rights, as described in the

attached document.

2 We seek an exemption for a period of _________years.

3 In respect of this matter, has a previous exemption been:

Granted? Yes No

Refused? Yes No

4 If you have answered "yes" to either question above,

please provide the case number for the previous exemption

application_______________________.

Name and title of person authorised to sign:

_________________________________________________________________

Authorised Signature: Date:

For office Commission file number:Date filed:

Use only: _____________________________________________

FORM 21 (Continue)

Please note:

1 The following information must be included in your

description of the agreement or practice for which you seek an

exemption:

(a) Your address in Namibia for service of

documents.

(b) A short description of your business.

(c) A brief description of the agreement or

practice which you seek to have exempted from the application

of Chapter 2, and, if an agreement has already been made, its

date, as well as a certified copy thereof.

(d) The names and addresses of other parties to

that agreement or practice.

(e) The objective in terms of section 28(3) of the

Act on which you rely.

(f) The facts and contentions on which you rely.

(g) The sections of the Act that you believe may

be contravened by the agreement, practice, or category of

agreements or practices you have described, and a motivation

for the belief.

2 Generally, information relating to this application is

part of the public record. You have the right to identify

information that you believe is confidential, by completing

Form 1 and submitting it with this application.

FORM 22

NAMIBIAN COMPETITION COMMISSION

NOTICE OF RECEIPT OF APPLICATION FOR EXEMPTION IN RESPECT OF

INTELLECTUAL PROPERTY RIGHTS

Competition Act, 2003 (Act 2 of 2003)

(Section 30(2)), Rule 23(2))

Concerning:

(Name and file number of applicant:)

1 The Commission gives notice that it has received an

application for exemption from the above-named applicant in

respect of an agreement or practice relating to the exercise

of any right or interest acquired or protected in terms of any

law relating to copyright, patents, designs, trade marks,

plant varieties or any other intellectual property rights

on________________________.

2 The nature of the exemption sought by the applicant is:

__________________

______________________________________________________________

______________________________________________________________

______________________________________________________________

______________________________________________________________

______________________________________________________________

______________________________________________________________

______________________________________________________________

______________________________________________________________

______________________________________________________________

______________________________________________________________

3 Interested persons are invited to submit to the

Commission, within 30 days as from the date of this notice,

any written representations that they may wish to make in

regard to the application.

Name and title of person authorised to sign on behalf of the

Commission:

_________________________________________________________________

Authorised signature: Date:

FORM 23

NAMIBIAN COMPETITION COMMISSION

EXEMPTION CERTIFICATE IN RESPECT OF INTELLECTUAL PROPERTY

RIGHTS

Competition Act, 2003 (Act 2 of 2003)

(Section 30(1), Rule 23(4)(a))

To: ______________________________________________________

(Name and file number of applicant:)

1 You have applied to the Commission on:

_________________________for an exemption in respect of

intellectual property rights, as contemplated in section 30(1)

of the Act.

2 After reviewing the information you provided, the

Commission grants an exemption in terms of section 30(1) of

the Act in respect of an agreement or practice relating to the

exercise of any right or interest acquired or protected in

terms of any law relating to copyright, patents, designs,

trade marks, plant varieties or any other intellectual

property rights as described in your application. This

exemption is subject to:

no conditions

the conditions listed on the attached sheet.

3 The Commission has the authority in terms of section

30(2) of the Act to revoke or amend this exemption if-

(a) the exemption was granted on materially

incorrect or misleading information;

(b) there has been a material change of

circumstances since the exemption was granted; or

(c) a condition upon which the exemption was

granted, has not been complied with.

Name and title of person authorised to sign on behalf of the

Commission:

_________________________________________________________________

Authorised signature: Date:

FORM 24

NAMIBIAN COMPETITION COMMISSION

NOTICE OF REFUSAL TO GRANT EXEMPTION IN RESPECT OF

INTELLECTUAL PROPERTY RIGHTS

Competition Act, 2003 (Act 2 of 2003)

(Section 30(1), Rule 23(4)(b))

To:

(Name and file number of applicant:)

1 You have applied to the Commission on:

__________________________ for an exemption in respect of

intellectual property rights, as contemplated in section 30(1)

of the Act for:

a single agreement a category of agreements

a concerted practice a category of concerted practices,

as described in your application.

2 After reviewing the information you provided the

Commission refuses to grant an exemption for the reasons

mentioned in the accompanied statement.

Name and title of person authorised to sign on behalf of the

Commission:

_________________________________________________________________

Authorised Signature: Date:

FORM 25

NAMIBIAN COMPETITION COMMISSION

NOTICE OF DECISION OF COMMISSION REGARDING EXEMPTION IN

RESPECT OF INTELLECTUAL PROPERTY RIGHTS

Competition Act, 2003 (Act 2 of 2003)

(Section 30(2), Rule 23(5))

Concerning:

(Name and file number of applicant:)

1 The above named applicant has applied to the Commission

on __________________________ for an exemption in respect of

intellectual property rights as contemplated in section 30(1)

of the Act for:

a single agreement a category of agreements

a concerted practice a category of concerted practices,

as described in his or her or its application.

2 The Commission gives notice of its decision in terms of

section 30(1) of the Act of its decision to grant

[i]*/refuse[ii]* the exemption concerned.

Name and title of person authorised to sign on behalf of the

Commission:

_________________________________________________________________

Authorised Signature: Date:

[i]Delete whichever is not applicable.

[ii]Delete whichever is not applicable.

FORM 26

NAMIBIAN COMPETITION COMMISSION

CERTIFICATE OF CLEARANCE IN RESPECT OF INTELLECTUAL PROPERTY

RIGHTS

Competition Act, 2003 (Act 2 of 2003)

(Section 30(2), Rule 23(6))

To: __________________________________________________

(Name and file number of Applicant:)

1 You have applied to the Commission on:

____________________________ for an exemption in respect of

intellectual property rights, as contemplated in section 30(1)

of the Act for:

a single agreement a category of agreements

a concerted practice a category of concerted practices,

as described in your application.

2 In the opinion of the Commission, based on the facts in

its possession, the agreement or concerted practice or the

category of agreements or concerted practices concerned, does

not constitute an infringement of the Part I[i]* / the Part

II[ii]* prohibition as contemplated in section 30(1) of the

Act.

Name and title of person authorised to sign on behalf of the

Competition Commission:

_________________________________________________________________

Authorised Signature: Date:

[i]Delete whichever is not applicable.

[ii]Delete whichever is not applicable.

FORM 27

NAMIBIAN COMPETITION COMMISSION

NOTICE OF PROPOSED REVOCATION OR AMENDMENT OF EXEMPTION

/REVOCATION OF CLEARANCE CERTIFICATE IN RESPECT OF

INTELLECTUAL PROPERTY RIGHTS

Competition Act, 2003 (Act 2 of 2003)

(Section 30(2), Rule 24(1))

To: _______________________________________________

Concerning:

(Name and file number of applicant:)

1 The Commission has issued an exemption certificate[i]* /

clearance certificate[ii]* to the above named applicant on

______________________________________

2 The Commission gives notice that it intends to

revoke[iii]* / amend[iv]* the exemption concerned[v]* / revoke

the clearance certificate concerned[vi]* on the ground that-

(a) the exemption was granted[vii]* / the

certificate of clearance[viii]* was issued on materially

incorrect[ix]* / misleading information[x]*;[xi]*

(b) there has been a material change of

circumstances since the exemption was granted[xii]* / the

certificate was issued[xiii]*;[xiv]*

(c) a condition upon which an exemption was

granted has not been complied with. [xv]*

3 You may submit to the Commission, within 30 days as from

the date of receipt of this notice, any written

representations that you may wish to make in regard to the

proposed revocation[xvi]* / amendment[xvii]* of the

exemption[xviii]* / revocation of the clearance

certificate[xix]*.

Name and title of person authorised to sign on behalf of the

Commission:

_________________________________________________________________

Authorised signature: Date:

[i]Delete whichever is not applicable.

[ii]Delete whichever is not applicable

FORM 28

NAMIBIAN COMPETITION COMMISSION

REVOCATION OR AMENDMENT OF EXEMPTION / REVOCATION OF CLEARANCE

CERTIFICATE IN RESPECT OF INTELLECTUAL PROPERTY RIGHTS

Competition Act, 2003 (Act 2 of 2003)

(Section 30(2), Rule 24(2))

To: _______________________________________________

Concerning:

(Name and file number of applicant:)

1 The Commission has issued an exemption certificate[i]* /

clearance certificate[ii]* to the above named applicant on

__________________________ and has given notice on

____________________ that it intends to revoke[iii]* /

amend[iv]* the exemption concerned[v]* / revoke the clearance

certificate concerned[vi]*.

2 The Commission hereby, in terms of section 30(2) of the

Act, revokes[vii]* / amends[viii]* the exemption

concerned[ix]* / revokes the clearance certificate

concerned[x]* on the ground that-

(a) the exemption was granted[xi]* / the

certificate of clearance[xii]* was issued on materially

incorrect[xiii]* / misleading information[xiv]*;[xv]*

(b) there has been a material change of

circumstances since the exemption was granted[xvi]* / the

certificate was issued[xvii]*;[xviii]*

(c) a condition upon which an exemption was

granted has not been complied with.[xix]*

Name and title of person authorised to sign on behalf of the

Commission:

_________________________________________________________________

Authorised signature: Date:

[i]Delete whichever is not applicable.

[ii]Delete whichever is not applicable.

FORM 29

NAMIBIAN COMPETITION COMMISSION

APPLICATION TO COURT FOR PECUNIARY PENALTY

Competition Act, 2003 (Act 2 of 2003)

(Section 30(2), Rule 24(3))

Concerning:

(Name and file number of applicant:)

1 The Commission has granted an exemption to the above

named applicant in respect of an agreement or practice

relating to the exercise of any right or interest acquired or

protected in terms of any law relating to copyright, patents,

designs, trade marks, plant varieties or any other

intellectual property rights, on _________________

2 The exemption concerned has been made subject to the

conditions listed on the attached sheet.

3 Due to the fact that there has been non-compliance with a

condition of the exemption concerned, namely

_________________________________________________

________________________________________________________

________________________________________________________

________________________________________________________

________________________________________________________

the Commission hereby applies to the Court for the

imposition of a pecuniary penalty of N$

______________-__________ in respect of the non-compliance

concerned.

Name and title of person authorised to sign on behalf of the

Commission:

_________________________________________________________________

Authorised signature: Date:

FORM 30

NAMIBIAN COMPETITION COMMISSION

APPLICATION FOR EXEMPTION IN RESPECT OF PROFESSIONAL RULES

Competition Act, 2003 (Act 2 of 2003)

(Section 31(1), Rule 25(1))

To: The Competition Commission

From:

(Name of applicant association:)

1 We apply in terms of section 31(1) of the Act to exempt

the professional rules of the applicant association from the

provisions of Part I[i]* / Part II[ii]* of Chapter 3 of the

Act.

2 This profession is registered[iii]** is not registered in

terms of

a particular Act:

________________________________________ (insert name of Act).

3 We seek an exemption for a period of ___________ years.

4 The exemption is required in order to maintain-

Professional Standards the orderly function of the

profession,

as motivated in the attached document, which also sets

out-

(a) our address in Namibia for service of

documents;

(b) the facts and contentions on which we rely;

and

(c) the sections of the Act which we believe our

rules may contravene, and a motivation for that belief.

6 Name of Minister concerned:__________________________

Authorised Signature: Date

For office Use only:Commission file number: Date filed:

____________________________________________

[i]Delete whichever is not applicable.

[ii]Delete whichever is not applicable.

[iii]If the applicant association is registered, attach a copy of

the registration certificate, or other comparable proof of

registration.

FORM 30 (Continue)

Please note:

1 Generally, information relating to this application is

part of the public record. You have a right to identify

information that you believe is confidential, by completing

Form 1 and submitting it with this application.

FORM 31

NAMIBIAN COMPETITION COMMISSION

NOTICE OF RECEIPT OF APPLICATION FOR EXEMPTION IN RESPECT OF

PROFESSIONAL RULES

Competition Act, 2003 (Act 2 of 2003)

(Section 31(3)), Rule 25(2))

Concerning:

(Name and file number of applicant association)

1 The Commission gives notice that it has on

_________________________ received an application from the

above-named applicant association for exemption from the

provisions of Part 1[i]* / Part[ii]* of Chapter 3 of the Act

in respect of professional rules.

2 The nature of the exemption sought by the applicant is:

____________

________________________________________________________

________________________________________________________

________________________________________________________

________________________________________________________

________________________________________________________

________________________________________________________

________________________________________________________

________________________________________________________

________________________________________________________

________________________________________________________

3 Interested persons are invited to submit to the

Commission, within 30 days as from the date of this notice,

any written representations that they may wish to make

concerning the application.

Name and title of person authorised to sign on behalf of the

Commission:

_________________________________________________________________

Authorised signature: Date:

[i]Delete whichever is not applicable.

[ii]Delete whichever is not applicable.

 

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