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TRADE PRACTICES AMENDMENT REGULATIONS 2006 (NO. 2) (SLI NO 370 OF 2006) - 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

70             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.

71             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

72             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.

73             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.

74             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.

75             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.

76             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

1.         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:

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

2.         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:

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

3.         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)

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

4.         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:

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

5.         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)

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

6.         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:

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

7.         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)

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

       (iii)    Where the parties to the similar term contract(s) are not known -- description of the class of business carried on by those possible parties:

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

8.         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?

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

9.         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

1.   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.

2.   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.

3.   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.

4.   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.

5.   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.

6.   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.

7.   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.

8.   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.

9.   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

1.         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:

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

2.         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:

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

3.         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)

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

4.         Public benefit claims

     (a)       Arguments in support of authorisation:

(Refer to direction 6)

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

     (b)       Facts and evidence relied upon in support of these claims:

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

5.         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)

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

6.         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:

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

7.         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:

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

       (iii)    Where the parties to the similar term contract(s) are not known -- description of the class of business carried on by those possible parties:

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

8.         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?

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

9.         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

1.   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.

2.   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.

3.   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.

4.   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.

5.   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.

6.   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.

7.   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.

8.   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.

9.   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

1.         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:

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

2.         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:

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

3.         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)

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

4.         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:

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

5.         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)

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

6.         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:

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

7.         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:

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

       (iii)    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:

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

       (iv)    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:

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

8.         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?

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

9.         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

1.   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.

2.   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.

3.   Describe that part of the applicant's business relating to the subject matter of the covenant in respect of which authorisation is sought.

4.   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.

5.   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.

6.   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.

7.   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.

8.   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.

9.   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

1.         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:

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

2.         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:

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

3.         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:

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

4.         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

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

5.         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)

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

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:

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

7.         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?

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

8.         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

1.   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.

2.   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.

3.   Describe that part of the applicant's business relating to the conduct in respect of which authorisation is sought.

4.   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.

5.   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.

6.   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.

7.   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

Trade Practices Act 1974 -- subsection 88 (7A)

BOYCOTT AGREEMENTS:

APPLICATION FOR AUTHORISATION

To the Australian Competition and Consumer Commission:

Application is hereby made under subsection 88 (7A) of the Trade Practices Act 1974 for an authorisation under that subsection for a person (the first person):

*           to make a contract or arrangement, or arrive at an understanding, with an organisation of employees or an officer of such an organisation, being a contract, arrangement, or understanding that contains a provision that is, or may be, included for the purpose of preventing or hindering the first person supplying goods or services to, or acquiring goods or services from, another person.

*           to give effect to a provision of a contract, arrangement or understanding with an organisation of employees or an officer of such an organisation that has, or may have, been included for the purpose of preventing or hindering the first person supplying goods or services to, or acquiring goods or services from, another person.

(Strike out whichever is not applicable)

PLEASE FOLLOW DIRECTIONS ON BACK OF THIS FORM

1.         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:

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

2.         Conduct

     (a)       Description of the contract, arrangement or understanding for which authorisation is sought:

(Refer to direction 4)

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

     (b)       Description of those provisions of the contract, arrangement or understanding that have, or may have, the purpose of preventing or hindering the first person supplying goods or services to, or acquiring goods or services from, another person:

(Refer to direction 4)

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

     (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:

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

3.         Parties

     (a)       Name and address of person to or from whom supply or acquisition of goods or services, is to be, or may be, hindered or prevented by the 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)

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

4.         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:

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

5.         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)

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

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 8)

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

     (b)       Facts and evidence relevant to these detriments:

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

7.         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?

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

8.         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

1.   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.

2.   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.

3.   Describe that part of the applicant's business relating to the conduct in respect of which authorisation is sought.

4.   Provide details of the contract, arrangement or understanding between the first person and the organisation of employees or the officer of such an organisation. Provide details of the provision that is, or may, prevent or hinder the first person supplying goods or services to, or acquiring goods or services from, another person.

      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.

5.   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.

6.   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.

7.   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.

8.   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 E        Exclusive dealing: application for authorisation

(regulation 70)

Form E

Commonwealth of Australia

Trade Practices Act 1974 -- subsection 88 (8)

EXCLUSIVE DEALING:

APPLICATION FOR AUTHORISATION

 

To the Australian Competition and Consumer Commission:

Application is hereby made under subsection 88 (8) of the Trade Practices Act 1974 for an authorisation under that subsection to engage in conduct that constitutes or may constitute the practice of exclusive dealing.

PLEASE FOLLOW DIRECTIONS ON BACK OF THIS FORM

1.         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:

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

2.         Contract, arrangement or understanding

     (a)       Description of the conduct that would or may constitute the practice of exclusive dealing:

(Refer to direction 4)

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

     (b)       Description of the goods or services in relation to the supply or acquisition of which this application relates:

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

     (c)       The term for which authorisation of the conduct is being sought and grounds for supporting this period of authorisation:

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

3.         Parties to the proposed arrangement

     (a)       Class or classes of persons to which the conduct relates:

(Refer to direction 5)

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

     (b)       Number of those persons:

         (i)    At present time:

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

        (ii)    Estimated within the next year:

(Refer to direction 6)

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

     (c)       Where number of persons stated in item 3 (b) (i) is less than 50, their names and addresses:

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

4.         Public benefit claims

     (a)       Arguments in support of authorisation:

(Refer to direction 6)

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

     (b)       Facts and evidence relied upon in support of these claims:

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

5.         Market definition

                 Provide a description of the market(s) in which the goods or services described at 2 (b) 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)

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

6.         Public detriments

     (a)       Detriments to the public resulting or likely to result from the authorisation, in particular the likely effect of the conduct on the prices of the goods or services described at 2 (b) above and the prices of goods or services in other affected markets:

(Refer to direction 8)

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

     (b)       Facts and evidence relevant to these detriments:

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

7.         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?

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

8.         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)

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

(Organisation)

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

(Position in Organisation)

 

DIRECTIONS

1.   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.

2.   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.

3.   Describe that part of the applicant's business in the course of which the conduct is engaged in.

4.   Provide details of the conduct (whether proposed or actual) which may constitute the practice of exclusive dealing 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.

5.   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.

6.   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.

7.   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 authorisation.

8.   Provide details of the detriments to the public which may result from the conduct including quantification of those detriments where possible.

 

 

Form EA      Resale price maintenance: application for authorisation

(regulation 70)

Form EA

Commonwealth of Australia

Trade Practices Act 1974 -- subsection 88 (8A)

RESALE PRICE MAINTENANCE:

APPLICATION FOR AUTHORISATION

 

To the Australian Competition and Consumer Commission:

Application is hereby made under subsection 88 (8A) of the Trade Practices Act 1974 for an authorisation under that subsection to engage in conduct that constitutes (or may constitute) the practice of resale price maintenance.

PLEASE FOLLOW DIRECTIONS ON BACK OF THIS FORM

1.         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:

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

2.         Conduct

     (a)       Description of the conduct that would or may constitute the practice of resale price maintenance:

(Refer to direction 4)

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

     (b)       Description of the goods or services in relation to the supply of which this application relates:

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

     (c)       The term for which authorisation of the provision of the conduct (whether proposed or actual) is being sought and grounds supporting this period of authorisation:

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

3.         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:

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

4.         Market definition

                 Provide a description of the market(s) in which the goods or services described at 2 (b) 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)

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

5.         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 (b) above and the prices of goods or services in other affected markets:

(Refer to direction 7)

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

     (b)       Facts and evidence relevant to these detriments:

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

6.         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?

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

7.         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

1.   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.

2.   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.

3.   Describe that part of the applicant's business relating to the conduct in respect of which authorisation is sought.

4.   Provide details of the conduct (whether proposed or actual) which may constitute the practice of resale price maintenance 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.

5.   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.

6.   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.

7.   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 FA      Application for minor variation of non‑merger authorisation

(regulation 70)

Form FA

Commonwealth of Australia

Trade Practices Act 1974 -- subsection 91A (1)

APPLICATION FOR MINOR VARIATION OF A NON‑MERGER AUTHORISATION

To the Australian Competition and Consumer Commission:

Application is hereby made under subsection 91A (1) of the Trade Practices Act 1974 for the a minor variation of an authorisation.

PLEASE FOLLOW DIRECTIONS ON BACK OF THIS FORM

1.         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:

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

2.         Minor variation of authorisation

     (a)       Description of the contract, arrangement or understanding, or the relevant conduct, for which authorisation was granted, including, but not limited to, the registration number assigned to that authorisation (the original authorisation):

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

     (b)       Provide a description of the goods or services that relate to the authorisation for which variation is sought:

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

     (c)       Provide details of the variation for which authorisation is sought, including but not limited to identification of differences between the contract, arrangement or understanding, or the relevant conduct, that was originally authorised and the contract, arrangement or understanding, or the relevant conduct, for which a minor variation of authorisation is sought:

(Refer to direction 4)

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

     (d)       Facts and evidence relied upon in support of the claim that the variation is a minor variation:

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

3.         Parties to the contract, arrangement or understanding (whether proposed or actual), or conduct, for which variation of authorisation is sought

     (a)       Names, addresses and description of business carried on by those other parties to the contract, arrangement or understanding, or the relevant conduct:

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

     (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)

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

     (c)       Where those parties on whose behalf the application is made are not known ‑ description of the class of business carried on by those possible parties to the contract or proposed contract, arrangement or understanding:

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

4.         Public benefit claims

     (a)       Provide submissions regarding the effect of the minor variation upon the public benefits resulting or likely to result from the original authorisation:

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

(See Direction 6 of this Form)

     (b)       Facts and evidence relied upon in support of these claims:

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

5.         Market definition

                 Provide a description of the market(s) in which the goods or services described at 2 (b) 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):

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

(See Direction 7 of this Form)

6.         Public detriments

     (a)       Provide submissions regarding the effect of the minor variation upon the detriments to the public resulting or likely to result from the original authorisation, in particular the likely effect of the conduct on the prices of the goods or services described at 2 (b) above and the prices of goods or services in other affected markets:

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

(See Direction 8 of this Form)

     (b)       Facts and evidence relied upon in support of these claims:

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

7.         Further information

     (a)       Name, postal address and telephone contact details of the 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)

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

(Organisation)

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

(Position in Organisation)

DIRECTIONS

1.   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.

2.   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.

3.   In item 1 (b), describe that part of the applicant's business relating to the subject matter of the contract, arrangement or understanding, or the relevant conduct, in respect of which the authorisation is sought.

4.   In completing this form, provide details of the contract, arrangement or understanding (whether proposed or actual), or the relevant conduct, in respect of which minor variation of authorisation is sought.

      In providing these details:

     (a)       to the extent that the contract, arrangement or understanding, or the relevant conduct, has been reduced to writing -- provide a true copy of the writing; and

     (b)       to the extent that the contract, arrangement or understanding, or the relevant conduct, has not been reduced to writing -- provide a full and correct description of the particulars that have not been reduced to writing; and

     (c)       If minor variation of authorisation is sought for a contract, arrangement or understanding (whether proposed or actual) which may contain an exclusionary provision -- provide details of that provision.

5.   Where minor variation of an 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.

6.   Provide details of the likely effect of the minor variation upon those public benefits considered to result or to be likely to result from the original authorisation, including quantification of those effects where possible.

7.   Provide details of the market(s) likely to be affected by the contract, arrangement or understanding (whether proposed or actual), 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.

8.   Provide details of the likely effect of the minor variation upon those detriments to the public, including those resulting from the lessening of competition, which may result from the original authorisation. Provide quantification of these effects where possible.

 

Form FB      Application for revocation of non‑merger authorisation

(regulation 70)

Form FB

Commonwealth of Australia

Trade Practices Act 1974  -- subsection 91B (1)

APPLICATION FOR REVOCATION OF A NON‑MERGER AUTHORISATION

To the Australian Competition and Consumer Commission:

Application is hereby made under subsection 91B (1) of the Trade Practices Act 1974 for the revocation of an authorisation.

PLEASE FOLLOW DIRECTIONS ON BACK OF THIS FORM

1.         Applicant

     (a)       Name of applicant:

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

(See Direction 2 of this Form)

     (b)       Description of business carried on by applicant:

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

(See Direction 3 of this Form)

     (c)       Address in Australia for service of documents on the applicant:

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

2.         Revocation of authorisation

     (a)       Description of the authorisation, for which revocation is sought, including but not limited to the registration number assigned to that authorisation:

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

(See Direction 4 of this Form)

     (b)       Provide details of the basis upon which revocation is sought:

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

3.         Other parties to the contract, arrangement or understanding, or relevant conduct, for which revocation of authorisation is sought

     (a)       Where those parties are known -- names, addresses and description of business carried on by those other parties to the contract, arrangement or understanding, or the relevant conduct:

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

     (b)       Where those parties are not known -- description of the class of business carried on by those parties to the contract, arrangement or understanding, or the relevant conduct:

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

4.         Further information

     (a)       Name, postal address and telephone contact details of the 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)

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

(Organisation)

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

(Position in Organisation)

DIRECTIONS

1.   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.

2.   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.

3.   In item 1 (b), describe that part of the applicant's business relating to the subject matter of the contract, arrangement or understanding, or the relevant conduct, in respect of which revocation of the authorisation is sought.

4.   In completing this form, provide details of the contract, arrangement or understanding, or the relevant conduct, in respect of which revocation of authorisation is sought.

      In providing these details:

     (a)       to the extent that the contract, arrangement or understanding, or the relevant conduct, has been reduced to writing -- provide a true copy of the writing; and

     (b)       to the extent that the contract, arrangement or understanding, or the relevant conduct, has not been reduced to writing -- provide a full and correct description of the particulars that have not been reduced to writing; and

     (c)       If revocation of authorisation is sought for a contract, arrangement or understanding (whether proposed or actual) which may contain an exclusionary provision -- provide details of that provision.

Form FC      Application for revocation of non‑merger authorisation and substitution of new authorisation

(regulation 70)

Form FC

Commonwealth of Australia

Trade Practices Act 1974 -- subsection 91C (1)

APPLICATION FOR REVOCATION OF A NON‑MERGER AUTHORISATION AND SUBSTITUTION OF A NEW AUTHORISATION

To the Australian Competition and Consumer Commission:

Application is hereby made under subsection 91C (1) of the Trade Practices Act 1974 for the revocation of an authorisation and the substitution of a new authorisation for the one revoked.

PLEASE FOLLOW DIRECTIONS ON BACK OF THIS FORM

1.         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:

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

2.         Revocation of authorisation

     (a)       Description of the authorisation, for which revocation is sought, including but not limited to the registration number assigned to that authorisation:

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

     (b)       Provide details of the basis upon which revocation is sought:

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

3.         Substitution of authorisation

     (a)       Provide a description of the contract, arrangement, understanding or conduct whether proposed or actual, for which substitution of authorisation is sought:

(Refer to direction 4)

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

     (b)       Description of the goods or services to which the contract, arrangement, understanding or conduct (whether proposed or actual) relate:

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

     (c)       The term for which substitute authorisation of the contract, arrangement or understanding (whether proposed or actual), or conduct, is being sought and grounds supporting this period of authorisation:

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

4.         Parties to the contract, arrangement or understanding (whether proposed or actual), or relevant conduct, for which substitution of authorisation is sought

     (a)       Names, addresses and description of business carried on by those other parties to the contract, arrangement or understanding (whether proposed or actual), or the relevant conduct:

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

     (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)

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

     (c)       Where those parties on whose behalf the application is made are not known ‑ description of the class of business carried on by those possible parties to the contract or proposed contract, arrangement or understanding:

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

5.         Public benefit claims

     (a)       Arguments in support of application for substitution of authorisation:

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

(See Direction 6 of this Form)

     (b)       Facts and evidence relied upon in support of these claims:

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

6.         Market definition

                 Provide a description of the market(s) in which the goods or services described at 3 (b) 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):

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

(See Direction 7 of this Form)

7.         Public detriments

     (a)       Detriments to the public resulting or likely to result from the substitute authorisation, in particular the likely effect of the conduct on the prices of the goods or services described at 3 (b) above and the prices of goods or services in other affected markets:

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

(See Direction 8 of this Form)

     (b)       Facts and evidence relevant to these detriments:

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

8.         Contracts, arrangements or understandings in similar terms

This application for substitute authorisation may also be expressed to be made in relation to other contracts, arrangements or understandings (whether proposed or actual) 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 substitute authorisation has been sought and those contracts, arrangements or understandings that are stated to be in similar terms:

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

(See Direction 9 of this Form)

        (ii)    Where the parties to the similar term contract, arrangement or understanding(s) are known ‑ names, addresses and description of business carried on by those other parties:

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

(See Direction 5 of this Form)

       (iii)    Where the parties to the similar term contract, arrangement or understanding(s) are not known -- description of the class of business carried on by those possible parties:

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

9.         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?

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

10.       Further information

     (a)       Name, postal address and telephone contact details of the person authorised by the parties seeking revocation of authorisation and substitution of a replacement 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

1.   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.

2.   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.

3.   In item 1 (b), describe that part of the applicant's business relating to the subject matter of the contract, arrangement or understanding, or the relevant conduct, in respect of which substitute authorisation is sought.

4.   In completing this form, provide details of the contract, arrangement or understanding (whether proposed or actual), or the relevant conduct, in respect of which substitute authorisation is sought.

     (a)       to the extent that the contract, arrangement or understanding, or the relevant conduct, has been reduced to writing -- provide a true copy of the writing; and

     (b)       to the extent that the contract, arrangement or understanding, or the relevant conduct, has not been reduced to writing -- provide a full and correct description of the particulars that have not been reduced to writing; and

     (c)       If substitute authorisation is sought for a contract, arrangement or understanding (whether proposed or actual) which may contain an exclusionary provision -- provide details of that provision.

5.   Where substitute 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.

6.   Provide details of those public benefits claimed to result or to be likely to result from the contract, arrangement or understanding (whether proposed or actual), or the relevant conduct, including quantification of those benefits where possible.

7.   Provide details of the market(s) likely to be affected by the contract, arrangement or understanding (whether proposed or actual), 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 substitute authorisation.

8.   Provide details of the detriments to the public, including those resulting from the lessening of competition, which may result from the contract, arrangement or understanding (whether proposed or actual). Provide quantification of those detriments where possible.

9.   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.

 

[17]         Schedule 1, Form G

substitute

Part 3           Forms -- exclusive dealing and collective bargaining

Form G        Notification of exclusive dealing

(regulation 71)

Form G

Commonwealth of Australia

Trade Practices Act 1974  -- subsection 93 (1)

NOTIFICATION OF EXCLUSIVE DEALING

To the Australian Competition and Consumer Commission:

Notice is hereby given, in accordance with subsection 93 (1) of the Trade Practices Act 1974 , of particulars of conduct or of proposed conduct of a kind referred to subsections 47 (2), (3), (4), (5), (6), (7), (8) or (9) of that Act in which the person giving notice engages or proposes to engage.

PLEASE FOLLOW DIRECTIONS ON BACK OF THIS FORM

1.         Applicant

     (a)       Name of person giving notice:

(Refer to direction 2)

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

     (b)       Short description of business carried on by that person:

(Refer to direction 3)

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

     (c)       Address in Australia for service of documents on that person:

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

2.         Notified arrangement

     (a)       Description of the goods or services in relation to the supply or acquisition of which this notice relates:

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

     (b)       Description of the conduct or proposed conduct:

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

(Refer to direction 4)

3.         Persons, or classes of persons, affected or likely to be affected by the notified conduct

     (a)       Class or classes of persons to which the conduct relates:

(Refer to direction 5)

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

     (b)       Number of those persons:

         (i)    At present time:

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

        (ii)    Estimated within the next year:

(Refer to direction 6)

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

     (c)       Where number of persons stated in item 3 (b) (i) is less than 50, their names and addresses:

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

4.         Public benefit claims

     (a)       Arguments in support of notification:

(Refer to direction 7)

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

     (b)       Facts and evidence relied upon in support of these claims:

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

5.         Market definition

                 Provide a description of the market(s) in which the goods or services described at 2 (a) 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 8)

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

6.         Public detriments

     (a)       Detriments to the public resulting or likely to result from the notification, in particular the likely effect of the notified conduct on the prices of the goods or services described at 2 (a) above and the prices of goods or services in other affected markets:

(Refer to direction 9)

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

     (b)       Facts and evidence relevant to these detriments:

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

7.         Further information

     (a)       Name, postal address and contact telephone details of the person authorised to provide additional information in relation to this notification:

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

Dated....................................................................

Signed by/on behalf of the applicant

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

(Signature)

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

(Full Name)

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

(Organisation)

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

(Position in Organisation)

 

DIRECTIONS

1.   In lodging this form, applicants must include all information, including supporting evidence that they wish the Commission to take into account in assessing their notification.

      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.

2.   If the notice is given 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 notice, and the notice is to be signed by a person authorised by the corporation to do so.

3.   Describe that part of the business of the person giving the notice in the course of the which the conduct is engaged in.

4.   If particulars of a condition or of a reason of the type referred to in section 47 of the Trade Practices Act 1974 have been reduced in whole or in part to writing, a copy of the writing is to be provided with the notice.

5.   Describe the business or consumers likely to be affected by the conduct.

6.   State an estimate of the highest number of persons with whom the entity giving the notice is likely to deal in the course of engaging in the conduct at any time during the next year.

7.   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.

8.   Provide details of the market(s) likely to be affected by the notified 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 notification.

9.   Provide details of the detriments to the public which may result from the proposed conduct including quantification of those detriments where possible

 

Form GA     Notification of collective bargaining

(regulation 71)

Form GA

Commonwealth of Australia

Trade Practices Act 1974  -- subsection 93AB (1)

NOTIFICATION OF COLLECTIVE BARGAINING

 

 

This form is to be completed by applicants proposing to engage in collective bargaining arrangements.

In lodging this form, applicants must include all information, including supporting evidence that they wish the Commission take into account in assessing their notification.

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.

Protection provided by the notification extends only to the collective bargaining arrangements described in the form.

To the Australian Competition and Consumer Commission:

Notification is hereby given under subsection 93AB (1) of the Trade Practices Act 1974 :

*           to make, or propose to make, a contract containing a provision of the kind referred to in paragraph 45 (2)(a) of the Trade Practices Act 1974 ; or

*           to give effect to a provision of a contract where the provision is of the kind referred to in paragraph 45 (2)(b) of the Trade Practices Act 1974 .

(Strike out if not applicable)

PLEASE FOLLOW DIRECTIONS ON BACK OF THIS FORM

Section A -- general information

1.         Applicant

     (a)       Name of the applicant:

(refer to Direction 1)

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

     (b)       Description of business carried on by the applicant:

(refer to Direction 2)

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

     (c)       Is the representative of the applicant lodging the notice a trade union, an officer of a trade union or a person acting on the direction of a trade union?

(refer to Direction 3)

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

     (d)       Address in Australia for service of documents on the applicant:

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

2.         Lodged on behalf of

     (a)       Provide names and addresses of all persons on whose behalf the notification is lodged and who propose to participate in the collective bargaining arrangements:

(refer to Direction 4)

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

     (b)       Provide proof of the consent of each of the persons listed at 2 (a) above agreeing to the lodgement of the notification on their behalf:

(refer to Direction 5)

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

 

     (c)       Provide the following information relating to a notification:

                 (i)    Does this notification relate to a notification previously lodged with the Australian Competition and Consumer Commission and for which a concessional fee is claimed?

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

                (ii)    details of the first‑mentioned notification, including but not limited to:

                        (A)    the name of the applicant; and

                        (B)    the date the notification was said to be lodged; and

                        (C)    if known or applicable -- the registration number allocated to that collective bargaining notification.

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

 

Section B -- collective bargaining arrangements

3.         Proposed collective bargaining arrangements

     (a)       Provide: the name and address of the target; the name, position and telephone contact details of an appropriate contact at the target; and a description of the business carried on by the target:

(refer to direction 6)

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

     (b)       Provide a description of the goods or services which the participants of the collective bargaining arrangements (listed at 2 (a) above) propose to supply to or acquire from the target:

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

     (c)       Do the participants of the proposed collective bargaining arrangements (see 2 (a) above) reasonably expect to make one or more contracts with the target about the supply to or acquisition from the target of one or more of the goods or services (listed at 3 (b) above)?

(refer to direction 7)

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

     (d)       In relation to (c) above, provide details of the basis upon which that expectation is held including details of past contracts with the target:

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

     (e)       Do the participants of the collective bargaining arrangements (listed at 2 (a) above) reasonably expect that contractual payments between the target and each participant will not exceed $3 million (or any other amount prescribed by regulation) in any 12 month period, and on what basis?

(refer to direction 8)

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

      (f)       In relation to (e) above provide an estimation of the contractual payments expected between the target and each participant in relation to the goods and services (listed at 2 (a) above):

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

     (g)       Provide a description of the collective bargaining arrangements proposed including, but not limited to:

         (i)    the process by which participants propose to undertake collective bargaining with the target; and

        (ii)    the type of terms and conditions expected to be negotiated in collective bargaining arrangements (for example: price; non‑price conditions of supply such as contract periods etc); and

       (iii)    details of any dispute resolution procedure (if any) proposed between participants throughout the collective bargaining process; and

       (iv)    details of any dispute resolution procedure (if any) proposed between participants and the target throughout the collective bargaining process; and

        (v)    details of any dispute resolution procedure (if any) proposed to deal with disputes throughout the term of contracts entered into with the target; and

       (vi)    details of proposed commencement and duration of contracts to be negotiated with the target:

(refer to direction 9)

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

     (h)       Identify any parts of the proposed collective arrangements described in 3 (g) which relate to possible price agreements:

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

      (i)       Identify any parts of the proposed collective arrangements described in 3 (g) which relate to a possible or proposed exclusionary provision(s), including but not limited to:

         (i)    the nature of the proposed or possible exclusionary provision(s) (for example an agreement to withhold supply of the relevant goods or services to the target); and

        (ii)    the circumstances in which the collective bargaining participants would engage in the exclusionary provision(s), including but not limited to:

                 (A)    details of the events that would trigger any such activity; and

                 (B)    details of the process that would be followed in undertaking any such activity; and

                 (C)    details of any proposed period of notice to be given to the target prior to the commencement of such activity; and

                 (D)    details of any dispute resolution procedure to be applied or offered to the target prior to the commencement of such activity:

(refer to direction 10)

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

Section C -- public detriments

4.         Market definition

                 Provide a description of the market(s) in which the goods or services described at 3 (b) 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 11)

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

5.         Public detriments

     (a)       What will be the likely effect of the notified conduct on the prices of the goods or services described at 3 (b) above and the prices of goods or services in other affected markets? In answering this question please provide facts and information to support the claims made:

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

     (b)       What other detriments may result from the notified conduct? In answering this question please provide facts and information to support the claims made:

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

Section D -- public benefits

6.         Public benefit claims

     (a)       Provide details of the public benefits resulting or likely to result from the proposed arrangement. In answering this question please provide facts and information to support the claims made:

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

Section E ‑ authority

7.         Contact details

     (a)       Name, contact telephone number and address of person authorised by the notifying parties to provide additional information in relation to this application:

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

(refer to direction 12)

Dated....................................................................

Signed by/on behalf of the applicant

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

(Signature)

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

(Full Name)

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

(Organisation)

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

(Position in Organisation)

 

DIRECTIONS

1.   Where the notice is given 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.

2.   Describe that part of the applicant's business relating to the subject matter of the contract, arrangement or understanding in respect of which notification is given.

3.   A collective bargaining notification can not be lodged by a trade union or a trade union representative.

4.   Where the applicant will be a participant in the collective bargaining arrangements (rather than a representative of participants) the name of the applicant must also be included. Where those persons are corporations, list the corporation's name and address.

5.   The applicant, in lodging a notification on behalf of others, must obtain their consent to do so and provide proof of that consent.

6.   Where the target is a corporation, provide the corporate name.

7.   The collective bargaining notification process is only available to parties that reasonably expect to make one or more contracts with the target about the supply or acquisition of goods or services the subject of the notification.

8.   The value of the contract to be collectively negotiated between the target and each participant is not to exceed $3 million (or such other amount as is prescribed by the regulations) per participant in any twelve month period.

9.   To the extent that the collective bargaining arrangements have been reduced to writing, provide a true copy of the arrangement. To the extent that the collective bargaining arrangements have not been reduced to writing, provide a full and correct description of the key terms that have not been reduced to writing.

10. In simple terms an exclusionary provision exists where the proposed contract, arrangement or understanding is made by businesses (at least two of whom are competitors) for the purpose of preventing, restricting or limiting the supply of services to particular persons or classes of persons by all or any of the parties to the contract, arrangement or understanding.

      In the context of collective bargaining, an exclusionary provision(s) may include contracts, arrangements or understandings (whether currently in existence or to be made or arrived at during the term of the notification) between collective bargaining participants to limit or restrict their dealings with the target including contracts arrangements or understandings to:

     (a)       withhold the supply of goods or services from the target; or

     (b)       refuse or decline to acquire the goods or services of the target;

      whether such conduct was absolute, limited or subject to certain terms or conditions. This is sometimes referred to as a collective boycott.

11. Provide details of the market(s) likely to be affected by the notified 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 notification.

12. The notification must be signed by a person authorised by the applicant to do so.

 

Part 4           Forms for Tribunal and Commission proceedings

[18]         Schedule 1, Form J

omit

subsection 93 (3)/subsection 93 (3A)

insert

subsection 93 (3)/ subsection 93 (3A)/ subsection 93AC (1)/ subsection 93AC (2)

[19]         Schedule 1, after Form M

insert

Part 5           Forms -- merger authorisation, clearance and review

Form N        Application for authorisation of section 50A merger

(regulation 73)

Form N

Commonwealth of Australia

Trade Practices Act 1974 -- Section 88 (9)

SECTION 50A MERGERS: APPLICATION FOR AUTHORISATION

 

To the Australian Competition and Consumer Commission:

Application is hereby made under subsection 88 (9) of the Trade Practices Act 1974 (the Act) for an authorisation under that subsection to acquire a controlling interest in a body corporate within the meaning of section 50A of the Act.

PLEASE FOLLOW DIRECTIONS ON BACK OF THIS FORM

 

1.         The Applicant

     (a)       Name and registered office (where applicable) of the Applicant including the ACN (or overseas equivalent) and place of incorporation (where applicable)

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

     (b)       Describe the business or businesses carried on by the Applicant including a description of the products and services the Applicant supplies

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

(See Direction 3 of this Form)

     (c)       Provide details of all related bodies corporate of the Applicant including the ACN (or overseas equivalent)

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

(See Direction 4 of this Form)

     (d)       Address in Australia for service of documents on the Applicant

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

     (e)       Name and address of any person for whose benefit or on whose behalf the shares or assets to be acquired will be held

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

2.         Bodies corporate in which the Applicant will have a controlling interest

     (a)       Provide details of any bodies corporate in which the Applicant will acquire a first controlling interest within the meaning of subsection 50A (1) of the Act, including:

         (i)    Name of the body corporate including the ACN (or overseas equivalent) where applicable

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

        (ii)    Place of incorporation of the body corporate

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

       (iii)    Registered office of the body corporate (where applicable)

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

       (iv)    Describe the business or businesses carried on by the body corporate including the products and services the body corporate supplies

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

(See Direction 5 of this Form)

     (b)       In the case of a body corporate whose shares are to be acquired, provide details of:

         (i)    the issued capital of the body corporate;

        (ii)    the holders of such issued capital.

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

     (c)       Provide details of all corporations in which, by reason of the acquisition described below, the Applicant will obtain a second controlling interest within the meaning of subsection 50A (1), including:

         (i)    Name of the body corporate including the ACN (or overseas equivalent)

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

        (ii)    Place of incorporation of the body corporate

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

       (iii)    Registered office of the body corporate (where applicable)

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

       (iv)    Describe the business or businesses carried on by the body corporate including the products and services the body corporate supplies

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

3.         The acquisition

     (a)       Outline the nature and details of the contract, arrangement, understanding or proposal for the acquisition and, if applicable, the public offer document, and provide a copy of any relevant contract, document or public offer document

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

(See Direction 6 of this Form)

     (b)       Provide details of the commercial rationale for the acquisition and copies of all documents that were prepared specifically for the purpose of evaluating the proposed acquisition with respect to the market(s) affected and the nature of those affects

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

4.         Background information

     (a)       Describe the industry sector(s) to which the acquisition relates

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

(See Direction 7 of this Form)

     (b)       Describe the area(s) of overlap in the operations of the Applicant and its existing related bodies corporate (collectively, the Acquirer) and any bodies corporate in which the Applicant will have a controlling interest as a result of the proposed acquisition (the collectively, the Target)

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

(See Direction 8 of this Form)

     (c)       Provide details of any acquisitions made by the Acquirer or Target (collectively, the Merger Parties) and any other acquisitions made in the industry sector(s) during the past five years

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

     (d)       Provide details of any existing vertical or horizontal relationships between the Target and Acquirer in, or affecting, Australia

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

     (e)       Describe any other joint ventures or cooperative agreements, with one or more competitors, to which the Acquirer or Target is a party in, or affecting, Australia

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

(See Direction 9 of this Form)

5.         Market definition

                Describe the market(s) (product, functional, geographic and time) relevant to the assessment of the acquisition's effect on competition -- this includes markets for the supply of goods or services and markets for the acquisition of goods or services (the Relevant Market(s))

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

(See Direction 10 of this Form)

6.         Suppliers

     (a)       Describe the inputs into the production of goods or services by each of the Merger Parties in the Relevant Market(s) and indicate the value of those inputs as a proportion of total production. Where alternative inputs are available, provide a list of substitutes

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

     (b)       Provide the names and contact details of a representative selection of suppliers of inputs to each of the Merger Parties in the Relevant Market(s)

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

(See Direction 11 of this Form)

     (c)       Describe any purchasing arrangements in place with each of the suppliers identified above and outline whether it is expected or anticipated that these arrangements will continue or be varied in any way post‑acquisition

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

7.         Competitors

     (a)       Provide details of alternative suppliers of products now or shortly to be competitive with, or otherwise substitutable for, goods or services produced by each of the Merger Parties in the Relevant Market(s)

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

(See Direction 12 of this Form)

     (b)       If the suppliers identified above do not produce goods or services which are substantially the same as those goods or services produced by the Merger Parties in the Relevant Market(s), explain why it is considered that these goods or services are viable alternatives

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

8.         Customers

     (a)       Provide the names and contact details of a representative selection of the customers of each of the Acquirer and the Target in the Relevant Market(s)

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

(See Direction 13 of this Form)

     (b)       Describe the distribution channels available to the Merger Parties in supplying goods and services to customers and identify the relevant distribution channels in respect of each of the customers in the Relevant Market(s) identified above

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

     (c)       Describe the existing supply arrangements that the Merger Parties have in place with the customers identified above and whether it is expected or anticipated that these arrangements will continue or be varied in any way post‑acquisition

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

(See Direction 14 of this Form)

9.         Market concentration

                Provide estimates of current and post‑acquisition market shares for the Merger Parties and existing alternative suppliers or purchasers in the Relevant Market(s) identified above

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

(See Direction 15 of this Form)

10.       Constraints on the exercise of market power

     (a)       Provide details of the extent to which the Merger Parties are likely to be constrained post‑acquisition in the Relevant Market(s) by:

         (i)    suppliers

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

        (ii)    competitors

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

       (iii)    customers

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

       (iv)    others

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

(See Direction 16 of this Form)

11.       Imports

     (a)       Provide details of the actual and potential level of imports in the Relevant Market(s) and details of the importers and their suppliers

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

(See Direction 17 of this Form)

     (b)       Describe any barriers to importation in the Relevant Market(s) including whether significant investment in facilities or in distribution arrangements is needed to facilitate importation

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

     (c)       Describe facilities and distribution arrangements necessary for importation in the Relevant Market(s), their capacity and who has ownership or control of these facilities and arrangements

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

     (d)       Provide details of the price of imports as opposed to domestic production in the Relevant Market(s) and explain any divergence in these prices

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

     (e)       Provide details as to the extent of constraint which would be likely to be provided by imports on domestic suppliers including the Merger Parties in the Relevant Market(s) post‑acquisition

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

(See Direction 18 of this Form)

12.       Exports

     (a)       Provide details of the actual and potential level of exports in the Relevant Market(s)

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

(See Direction 19 of this Form)

     (b)       Describe the export barriers faced by suppliers of inputs to the Merger Parties in the Relevant Market(s)

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

     (c)       Provide details of the sale price of exports as opposed to domestic sales in the Relevant Market(s) and explain any divergence in these prices

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

     (d)       Describe whether the suppliers of inputs to the Merger Parties are or would be able to export such inputs post‑acquisition and, if so, describe the extent of constraint this would be likely to provide on the Merger Parties post‑acquisition

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

(See Direction 20 of this Form)

13.       Barriers to entry and expansion

     (a)       Provide details of any barriers to entry and expansion in the Relevant Market(s)

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

(See Direction 21 of this Form)

     (b)       Provide details of any firms not currently producing goods or services but which could enter the market quickly and provide an effective competitive constraint

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

14.       Dynamic characteristics

                Provide details of the dynamic characteristics of the Relevant Market(s)

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

(See Direction 22 of this Form)

15.       Vigorous and effective competitor

                Indicate whether the Target or any other participant in the Relevant Market(s) could be described as a vigorous and effective competitor to the Acquirer or other market participants to any and to what extent

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

(See Direction 23 of this Form)

16.       Vertical integration

     (a)       Describe whether the acquisition would, or would be likely to, result in increased vertical integration between firms involved at different functional levels in the Relevant Market(s)

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

(See Direction 24 of this Form)

     (b)       Describe whether the acquisition would, or would be likely to, increase the risk of limiting the supply of inputs or access to distribution such that downstream or upstream rivals face higher costs post‑acquisition or full or partial foreclosure of key inputs or distribution channels

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

17.       Prices and profit margins

     (a)       Provide details of recent and current levels of pricing in the Relevant Market(s) including the use of rebates and discounts

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

     (b)       Provide details of supply costs of goods and services supplied by the Merger Parties including manufacturing, marketing and distribution costs in the Relevant Market(s)

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

     (c)       Describe the competitive constraints, if any, which would, or would be likely to, prevent the Merger Parties, post‑acquisition, from being able to significantly and sustainably increase the prices paid by their customers, or lower the prices paid to their suppliers, post‑acquisition in the Relevant Market(s)

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

     (d)       Describe the impact of the acquisition on the potential for coordinated conduct between remaining competitors in the Relevant Market(s) post‑acquisition

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

(See Direction 25 of this Form)

     (e)       Describe the likely impact of the acquisition on the profit margins of the Merger Parties post‑acquisition and the expected cause of any change

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

18.       Related markets

     (a)       Describe the extent of complementarity between products supplied by the Acquirer and the Target

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

(See Direction 26 of this Form)

     (b)       Describe the extent to which the products identified above are, or could be, offered to customers as a product range through bundling or tying

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

(See Direction 27 of this Form)

     (c)       Describe the competitive constraints that would, or would be likely to, prevent such bundling or tying from significantly foreclosing the ability of the competitors of the Merger Parties to compete, post‑acquisition, including foreclosure of access to distribution by the competitors of the Merger Parties

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

19.       Detriment from a lessening of competition

                Having regard to the information provided above, and any other relevant information, describe any detriment which would or would be likely to flow from a lessening of competition in the Relevant Market(s) as a result of the acquisition

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

20.       Other public detriment

                Describe the detriment to the public in Australia, if any, resulting or likely to result from acquisition for which authorisation is sought not already discussed above

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

21.       Public benefit claims

     (a)       Describe any public benefit in the form of increased efficiencies (for example, economies of scale or scope) which would or would be likely to result from the acquisition and how that public benefit relates to Australia

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

     (b)       Describe whether the acquisition would or would be likely to result in a significant increase in the real value of exports from Australia

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

     (c)       Describe whether the acquisition would or would be likely to result in significant substitution of domestic products for imported goods

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

     (d)       Detail any public benefit claims relating to the international competitiveness of any Australian industry

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

     (e)       Detail any other public benefit claims and how that public benefit relates to Australia

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

22.       The counterfactual

                Describe the likely state of the Relevant Market(s) in the future if the proposed acquisition does not take place, giving reasons

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

23.       Joint ventures

     (a)       Does this application for authorisation deal with a matter relating to a joint venture (see section 4J of the Act)

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

         (i)    If so, are there any other applications for clearance or authorisation under Part VII of the Act being made simultaneously with this application in relation to the joint venture

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

        (ii)    If so, describe the nature of the applications and who is making those other applications

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

24.       International

                Provide details of competition authorities in jurisdictions other than Australia to which the proposed acquisition has been or is intended to be notified and the timing of such notifications

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

25.       Period of authorisation

                Outline the period for which authorisation is sought, detailing reasons why authorisation should be granted for the requested period

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

26.       Further information

                Name, postal address, telephone, facsimile and email contact details of person authorised by the notifying parties to provide additional information in relation to this application

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

27.       Information provided in relation to the Target

                Where the Target has been consulted during the preparation of information provided in response to the questions contained in this Form relating to the Target, an authorised representative of the Target must indicate here that information relating to the Target is complete and accurate

Dated...................................................................

Signed by/on behalf of the Target

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

(Signature)

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

(Full Name)

Note    If the Target is a corporation, state position occupied in the corporation by person signing. If signed by a solicitor on behalf of the Target, this fact must be stated.

28.       Declaration

                The undersigned declare that, to the best of their knowledge and belief, the information given in response to questions in this form is true, correct and complete, that complete copies of documents required by this form have been supplied, and that all estimates are identified as such and are their best estimates of the underlying facts and that all the opinions expressed are sincere.

                The undersigned are aware of the provisions of section 95AZN of the Trade Practices Act 1974 .

 

.........................................................
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]

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

1.   Where there is insufficient space on this Form to furnish the required information, the information must be shown on separate sheets, numbered consecutively and signed by, or on behalf of, the Applicant.

2.   In all cases, evidence must be provided to support the contentions made in responding to the questions on this Form.

3.   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.

4.   The following definitions apply in relation to questions 1 (c) and 2 (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.

5.   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.

6.   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 made 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.

7.   The response must include background information in relation to the industry sector(s) and a description of the role of the Merger Parties in the industry sector(s) including a description of the goods or services supplied both in Australia and worldwide.

8.   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 Merger Parties .

9.   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.

10. In order to determine the likely impact of a particular acquisition on competition, an assessment of the Relevant Market(s) is required. Section 4E of the Act provides that:

Note    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.

11. The response must provide details of at least ten suppliers (or all suppliers if there are less than ten), comprising 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.

12. The response must include the location of each of the suppliers identified and the areas to which each of the identified entities supplies.

13. 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.

14. 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.

15. The market shares of each of the suppliers or purchasers identified, and the Merger Parties 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.

16. 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) is characterised by brand loyalty. The response must discuss whether the Relevant Market(s) are characterised by countervailing power, the market participants who are said to have such power and the extent tat such power would be likely to constrain the Merger Parties post‑acquisition.

17. 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.

18. 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.

19. 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.

20. The response must include contact details of existing exporters.

21. The response must include reference to:

*     both the nature and height of barriers to entry and expansion; and

*     entry and expansion in the Relevant Market(s) in the previous five years; and

*     any incentives or disincentives for new entry; and

*     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.

22. The response must include references including, but not limited to, the following:

*     growth;

*     levels of innovation;

*     technological change;

*     product and service differentiation, in the Relevant Market(s).

23. 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.

24. The response must indicate the extent to which the Applicant buys from or sells to the Target or controlling interest raw materials, supplies, services, capital or finished products for resale.

25. 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.

26. 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.

27. 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 O        Application for merger clearance

(regulation 73)

Form O

Commonwealth of Australia

Trade Practices Act 1974 -- subsection 95AC (1)

APPLICATION FOR MERGER CLEARANCE

To the Australian Competition and Consumer Commission:

Application is hereby made under subsection 95AC (1) of the Trade Practices Act 1974 for a clearance under that subsection to acquire shares in the capital of a body corporate, or to acquire assets of the person (including a body corporate), named in Item 2 below.

PLEASE FOLLOW DIRECTIONS ON BACK OF THIS FORM

1.         The Applicant (the Acquirer)

     (a)       Name and registered office (where applicable) of the Applicant including the ACN (where applicable) and place of incorporation (where applicable)

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

     (b)       Describe the business or businesses carried on by the Applicant including the products and services the Applicant supplies

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

(See Direction 3 of this Form)

     (c)       Provide details of all related bodies corporate of the Applicant including the ACN

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

(See Direction 4 of this Form)

     (d)       Address in Australia for service of documents on the Applicant

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

     (e)       Name and address of any person for whose benefit or on whose behalf the shares or assets to be acquired will be held

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

2.         The Target

     (a)       In the case of a body corporate whose shares or assets are to be acquired:

         (i)    Name of the body corporate including the ACN where applicable

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

        (ii)    Place of incorporation of the body corporate

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

       (iii)    Registered office of the body corporate

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

       (iv)    Describe the business or businesses carried on by the body corporate including the products and services the Target supplies

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

(See Direction 5 of this Form)

        (v)    Number and type of shares or description of assets to be acquired

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

     (b)       In the case of a body corporate whose shares are to be acquired, provide details of:

         (i)    the issued capital of the body corporate;

        (ii)    the holders of such issued capital.

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

     (c)       Provide details of all related bodies corporate of the body corporate whose shares or assets are to be acquired by the Applicant

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

(See Direction 4 of this Form)

     (d)       In the case of a person (other than a body corporate) whose assets are to be acquired

         (i)    Name and address of the person

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

        (ii)    Describe the business or businesses carried on by the person including the products and services the person supplies

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

       (iii)    Describe the assets to be acquired

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

3.         The acquisition

     (a)       Outline the nature and details of the contract, arrangement, understanding or proposal for the acquisition and, if applicable, the public offer document, and provide a copy of any relevant contract, document or public offer document

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

(See Direction 6 of this Form)

     (b)       Provide details of the commercial rationale for the acquisition and copies of all documents that were prepared specifically for the purpose of evaluating the proposed acquisition with respect to the market(s) affected and the nature of those effects

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

     (c)       Indicate whether the acquisition involves proposed ancillary arrangements and describe the proposed arrangements

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

4.         Background information

     (a)       Describe the industry sector(s) to which the acquisition relates

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

(See Direction 7 of this Form)

     (b)       Describe the area(s) of overlap in the operations of the Applicant and Target and any related bodies corporate (the merger parties)

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

(See Direction 8 of this Form)

     (c)       Provide details of any acquisitions made by the merger parties and any other acquisitions made in the industry sector(s) during the past five years

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

     (d)       Provide details of any existing vertical or horizontal relationships between the merger parties

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

     (e)       Describe any other cooperative agreements to which any of the merger parties is a party

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

(See Direction 9 of this Form)

5.         Market definition

                Describe the market(s) (product, functional, geographic and time) relevant to the assessment of the acquisition's effect on competition -- this includes markets for the supply of goods or services and markets for the acquisition of goods or services (the relevant market(s))

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

(See Direction 10 of this Form)

6.         Suppliers

     (a)       Describe the inputs into the production of goods or services by each of the merger parties in the relevant market(s) and indicate the value of those inputs as a proportion of total production. Where alternative inputs are available, provide a list of substitutes

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

     (b)       Provide the names and contact details of a representative selection of suppliers of inputs to each of the merger parties in the relevant market(s)

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

(See Direction 11 of this Form)

     (c)       Describe any purchasing arrangements in place with each of the suppliers identified above and outline whether it is expected or anticipated that these arrangements will continue or be varied in any way post‑acquisition

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

7.         Competitors

     (a)       Provide details of alternative suppliers of products now or shortly to be competitive with, or otherwise substitutable for, goods or services produced by each of the merger parties in the relevant market(s)

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

(See Direction 12 of this Form)

     (b)       If the suppliers identified above do not produce goods or services which are substantially the same as those goods or services produced by the merger parties in the relevant market(s), explain why it is considered that these goods or services are viable alternatives

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

8.         Customers

     (a)       Provide the names and contact details of a representative selection of the customers of each of the merger parties in the relevant market(s)

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

(See Direction 13 of this Form)

     (b)       Describe the distribution channels available to the merger parties in supplying goods and services to customers and identify the relevant distribution channels in respect of each of the customers identified above

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

     (c)       Describe the existing supply arrangements that the merger parties have in place with the customers identified above and whether it is expected or anticipated that these arrangements will continue or be varied in any way post‑acquisition

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

(See Direction 14 of this Form)

9.         Market concentration

                Provide estimates of current and post‑acquisition market shares for the merger parties and existing alternative suppliers or purchasers in the relevant market(s) identified above

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

(See Direction 15 of this Form)

10.       Constraints on the exercise of market power

     (a)       Provide details of the extent to which the merger parties are likely to be constrained post‑acquisition from raising prices and profit margins and/or reducing the quality of goods and/or services by:

         (i)    suppliers in the relevant market(s)

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

        (ii)    competitors in the relevant market(s)

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

       (iii)    customers in the relevant market(s)

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

       (iv)    others

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

(See Direction 16 of this Form)

11.       Imports

     (a)       Provide details of the actual and potential level of imports in the relevant market(s) and details of the importers and their suppliers

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

(See Direction 17 of this Form)

     (b)       Describe any barriers to importation in the relevant market(s) including whether significant investment in facilities or in distribution arrangements is needed to facilitate importation

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

     (c)       Describe facilities and distribution arrangements necessary for importation in the relevant market(s), their capacity and who has ownership or control of these facilities and arrangements

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

     (d)       Provide details of the price of imports as opposed to domestic production in the relevant market(s) and explain any divergence in these prices

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

     (e)       Provide details as to the extent of constraint which would be likely to be provided by imports on domestic suppliers including the merger parties in the relevant market(s) post‑acquisition

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

(See Direction 18 of this Form)

12.       Exports

     (a)       Provide details of the actual and potential level of exports in the relevant market(s)

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

(See Direction 19 of this Form)

     (b)       Describe the export barriers faced by suppliers of inputs to the merger parties in the relevant market(s)

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

     (c)       Provide details of the sale price of exports as opposed to domestic sales in the relevant market(s) and explain any divergence in these prices

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

     (d)       Describe whether the suppliers of inputs to the merger parties are or would be likely to be able to export such inputs post‑acquisition and, if so, describe the extent of constraint this would be likely to provide on the merger parties post‑acquisition

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

(See Direction 20 of this Form)

13.       Barriers to entry and expansion

     (a)       Provide details of any barriers to entry and expansion in the relevant market(s)

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

(See Direction 21 of this Form)

     (b)       Provide details of any firms not currently producing goods or services in the relevant market(s) but which could enter the relevant market(s) quickly and provide an effective competitive constraint

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

     (c)       Provide details of any firms which have recently tried and failed to enter the relevant market(s), including the reasons (if known) for their failure

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

14.       Dynamic characteristics

                Provide details of the dynamic characteristics of the relevant market(s)

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

(See Direction 22 of this Form)

15.       Vigorous and effective competitor

                Indicate whether the Target or any other participant in the relevant market(s) could be described as a vigorous and effective competitor to the Applicant or other market participants to any and to what extent, and why

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

(See Direction 23 of this Form)

16.       Vertical integration

     (a)       Describe whether the acquisition would, or would be likely to, result in increased vertical integration between firms involved at different functional levels in the relevant market(s)

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

(See Direction 24 of this Form)

     (b)       Describe whether the acquisition would, or would be likely to, increase the risk of limiting the supply of inputs or access to distribution such that downstream or upstream rivals face higher costs post‑acquisition or full or partial foreclosure of key inputs or distribution channels

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

17.       Prices and profit margins

     (a)       Provide details of recent and current levels of pricing in the relevant market(s) including the use of rebates and discounts

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

     (b)       Provide details of supply costs of goods and services supplied by the merger parties including manufacturing, marketing and distribution costs in the relevant market(s)

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

     (c)       Describe the competitive constraints, if any, which would, or would be likely to, prevent the merger parties from being able to significantly and sustainably increase the prices paid by their customers, or lower the prices paid to their suppliers, post‑acquisition in the relevant market(s)

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

     (d)       Describe the impact of the acquisition on the potential for coordinated conduct between remaining competitors in the relevant market(s) post‑acquisition

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

(See Direction 25 of this Form)

     (e)       Describe the likely impact of the acquisition on the profit margins of the merger parties post‑acquisition and the expected cause of any change

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

18.       Related markets

     (a)       Describe the extent of complementarity between products supplied by the merger parties

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

(See Direction 26 of this Form)

     (b)       Describe the extent to which the products identified above are, or could be, offered to customers as a product range through bundling or tying

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

(See Direction 27 of this Form)

     (c)       Describe the competitive constraints that would, or would be likely to, prevent such bundling or tying from significantly foreclosing the ability of the merged entity's competitors to compete, including foreclosure of access to distribution by the merged entity's competitors

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

19.       Other grounds for grant of clearance

                Outline any grounds for the granting by the Commission of a clearance not already addressed above

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

20.       The counterfactual

                Describe the likely state of the relevant market(s) in the future if the proposed acquisition does not take place, giving reasons

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

21.       Joint ventures

     (a)       Does this application for clearance deal with a matter relating to a joint venture? (See section 4J of the Act)

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

         (i)    If so, are there any other applications for clearance or authorisation under Part VII of the Act being made simultaneously with this application in relation to the joint venture?

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

        (ii)    If so, describe the nature of the applications and who is making those other applications

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

22.       International

     (a)       Does the acquisition involve:

         (i)    A company operating in Australia that has a foreign parent?

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

        (ii)    Australian businesses or consumers affected by conduct occurring overseas?

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

       (iii)    Foreign consumers affected by conduct occurring in Australia?

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

       (iv)    Conduct occurring across international boundaries?

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

     (b)       Provide details of competition authorities in jurisdictions other than Australia to which the proposed acquisition has been, or is intended to be, notified and the timing of such notifications

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

23.       Period of clearance

                Outline the period for which clearance is sought, detailing reasons why clearance should be granted for the requested period

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

24.       Undertaking

                Consistent with subsection 95AE (2) of the Act, the Applicant is required, pursuant to the regulations, to give an undertaking to the Commission under section 87B of the Act that the acquisition will not be made while the application for clearance is being considered by the Commission. An undertaking which is in a form that must be offered to the Commission is attached to this Form.

25.       Further information

                Name, postal address, telephone, facsimile and email contact details of person authorised by the Applicant to provide additional information in relation to this application

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

26.       Information provided in relation to the Target

                Where the Target has been consulted during the preparation of information provided in response to the questions contained in this Form relating to the Target, an authorised representative of the Target must indicate here that information relating to the Target is complete and accurate.

Dated...................................................................

Signed by/on behalf of the Target

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

(Signature)

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

(Full Name)

Note    If the Target is a corporation, state position occupied in the corporation by person signing. If signed by a solicitor on behalf of the Target, this fact must be stated.

27.       Declaration

                The undersigned declare that, to the best of their knowledge and belief, the information given in response to questions in this form is true, correct and complete, that complete copies of documents required by this form have been supplied, and that all estimates are identified as such and are their best estimates of the underlying facts and that all the opinions expressed are sincere.

                The undersigned are aware of the provisions of section 95AZN of the Trade Practices Act 1974 .

 

.........................................................
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]

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.

 


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])

1.   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 ).

2.   [Company name] has made an application for a merger clearance pursuant to section 95AC of the Act.

3.   [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 Commission.

4.   This Undertaking comes into effect when:

      (a)    the Undertaking is executed by [company name]; and

      (b)    the Commission accepts the Undertaking so executed.

5.   [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 Act 2001 .

 

 

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

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

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

1.   Where there is insufficient space on this Form to furnish the required information, the information must be shown on separate sheets, numbered consecutively and signed by, or on behalf of, the Applicant.

2.   In all cases, evidence must be provided to support the contentions made in responding to the questions on this Form.

3.   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.

4.   The following definitions apply in relation questions 1 (c) and 2 (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.

5.   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.

6.   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.

7.   The response must include background information in relation to the industry sector(s), 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.

8.   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.

9.   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.

10. 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:

4E           Market

                   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(s) 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.

11. The response must provide details of at least five suppliers (or all suppliers if there are less than five), 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.

12. The response must include the location of each of the suppliers identified and the areas to which each of the identified entities supplies.

13. The response must provide details of at least five customers (or all customers if there are less than five), 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.

14. 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.

15. 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.

16. 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.

17. 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.

18. 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.

19. 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.

20. The response must include contact details of existing exporters.

21. 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.

22. The response must include references including, but not limited to, the following:

*     growth;

*     levels of innovation;

*     technological change;

*     product and service differentiation in the relevant market(s).

23. 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.

24. 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.

25. 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.

26. 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.

27. 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 P        Application for minor variation of merger clearance

(regulation 73)

Form P

Commonwealth of Australia

Trade Practices Act 1974 -- subsection 95AR (1)

APPLICATION FOR MINOR VARIATION OF A MERGER CLEARANCE

To the Australian Competition and Consumer Commission:

Application is hereby made under subsection 95AR (1) of the Trade Practices Act 1974 for the minor variation of a clearance.

PLEASE FOLLOW DIRECTIONS ON BACK OF THIS FORM

1.         The Applicant (the Acquirer)

     (a)       Name and registered office (where applicable) of the Applicant including the ACN (where applicable) and place of incorporation (where applicable)

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

(See Direction 3 of this Form)

     (b)       Describe the business or businesses carried on by the Applicant including the products and/or services the Applicant supplies

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

     (c)       Address in Australia for service of documents on the Applicant

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

PART A -- Original clearance

2.         Clearance particulars

                Description of acquisition for which clearance was granted, including, but not limited to, the registration number assigned to that clearance

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

PART B -- Minor variation of the original clearance

3.         Minor variation sought

     (a)       Provide details of the minor variation for which clearance is sought, including but not limited to identification of differences between the contract, arrangement, understanding or proposal for the acquisition that was originally granted clearance and the contract, arrangement, understanding or proposal for the acquisition for which a minor variation of clearance is sought

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

(See Direction 4 of this Form)

     (b)       Explain why the variation described above is, in fact, a minor variation which does not materially change the effect of the clearance

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

4.         Substantial lessening of competition

     (a)       Describe the lessening of competition which would result, or would be likely to result, from the acquisition for which the minor variation of the clearance is sought in all of the relevant market(s)

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

(See Direction 5 of this Form)

     (b)       Provide submissions regarding the effect of the minor variation on the Commission's assessment of the lessening of competition in the relevant market(s) in the original clearance determination

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

(See Direction 6 of this Form)

5.         Updating information

                Provide details of any material change to the information provided by the Applicant in support of the original clearance application and the effect of any such changes on the claims made by the Applicant in relation to the original clearance and the effect on competition of the proposed acquisition

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

6.         Undertaking

                Consistent with subsection 95AR (2A) of the Act, the Applicant is required, pursuant to the regulations, to give an undertaking to the Commission under section 87B of the Act that the acquisition will not be made while the application for minor variation of a clearance is being considered by the Commission. An undertaking which is in a form that must be offered to the Commission is attached to this Form.

7.         Further information

                Name, postal address, telephone, facsimile and email contact details of the person authorised by the Applicant to provide additional information in relation to this application

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

8.         Information provided in relation to the Target

                Where the Target has been consulted during the preparation of information provided in response to the questions contained in this Form relating to the Target, an authorised representative of the Target must indicate here that the information relating to the Target is complete and accurate.

Dated...................................................................

Signed by/on behalf of the target

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

(Signature)

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

(Full Name)

Note    If the Target is a corporation, state position occupied in the corporation by person signing. If signed by a solicitor on behalf of the Target, this fact must be stated.

9.         Declaration

                The undersigned declare that, to the best of their knowledge and belief, the information given in response to questions in this form is true, correct and complete, that complete copies of documents required by this form have been supplied, and that all estimates are identified as such and are their best estimates of the underlying facts and that all the opinions expressed are sincere.

                The undersigned are aware of the provisions of section 95AZN of the Trade Practices Act 1974 .

 

.........................................................
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]

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.

 

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])

1.   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 ).

2.   [Company name] has made an application for minor variation of a clearance pursuant to section 95AR of the Act.

3.   [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 Commission.

4.   This Undertaking comes into effect when:

      (a)      the Undertaking is executed by [company name]; and

      (b)      the Commission accepts the Undertaking so executed.

5.   [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 Act 2001 .

 

 

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

 

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

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

1.   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.

2.   In all cases, facts and evidence must be provided to support the contentions made in response to the questions on this Form.

3.   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 a minor variation of a clearance must be the same person as the person to whom the original clearance was granted.

4.   Address any changes to the contract, arrangement, understanding or proposal for the acquisition including but not limited to: the number and type of shares being acquired; 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 possible, and where it has not already been provided to the Commission, a copy of the contract, arrangement, understanding or proposal and the public offer document must be provided.

5.   The response must include details of the market(s) likely to be affected by the contract, arrangement, understanding or proposal for the acquisition, including both the markets for the supply and acquisition of goods or services, in particular having regard to goods or services that may be regarded as substitutes. The response must also address existing alternative suppliers, market concentration information, whether there would be any constraint on the exercise of market power including those imposed by suppliers, competitors, customers and the existence of import or export possibilities, barriers to entry and expansion, vertical integration in the market and any related markets.

6.   Details must be provided in relation to the likely effect of the minor variation on the extent to which the acquisition will lessen competition in the relevant market(s) as compared to the lessening of competition found by the Commission in relation to the original clearance.

 

Form Q        Application for revocation of merger clearance

(regulation 73)

Form Q

Commonwealth of Australia

Trade Practices Act 1974 -- subsection 95AS (1)

APPLICATION FOR REVOCATION
OF A MERGER CLEARANCE

To the Australian Competition and Consumer Commission:

Application is hereby made under subsection 95AS (1) of the Trade Practices Act 1974 for the revocation of a clearance.

PLEASE FOLLOW DIRECTIONS ON BACK OF THIS FORM

1.         The Applicant (the Acquirer)

     (a)       Name and registered office (where applicable) of the Applicant including the ACN (where applicable) and the place of incorporation (where applicable)

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

(See Direction 2 of this Form)

     (b)       Description of business or businesses carried on by the Applicant including the products or services the Applicant supplies

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

     (c)       Address in Australia for service of documents on the Applicant

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

2.         Revocation of clearance

     (a)       Description of the acquisition that is the subject of the clearance for which revocation is sought including but not limited to the registration number assigned to the clearance

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

     (b)       Provide details of the grounds upon which revocation of the clearance is sought

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

3.         Undertaking

                Consistent with subsection 95AS (2A) of the Act, the Applicant is required, pursuant to the regulations, to give an undertaking to the Commission under section 87B of the Act that the acquisition will not be made while the application for revocation of a clearance is being considered by the Commission. An undertaking which is in a form that must be offered to the Commission is attached to this Form.

4.         Further information

                 Name, postal address, telephone, facsimile and email contact details of the 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)

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.

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])

1.   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 ).

2.   [Company name] has made an application for revocation of a clearance pursuant to section 95AS of the Act.

3.   [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 Commission.

4.   This Undertaking comes into effect when:

      (a)      the Undertaking is executed by [company name]; and

      (b)      the Commission accepts the Undertaking so executed.

5.   [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 Act 2001 .

 

 

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

 

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

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

 

1.   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.

2.   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 of the clearance must be the same person as the person to whom the original clearance was granted.

 

Form R        Application for revocation of merger clearance and substitution of new merger clearance

(regulation 73)

Form R

Commonwealth of Australia

Trade Practices Act 1974 -- subsection 95AS (1)

MERGERS: APPLICATION FOR REVOCATION OF A CLEARANCE AND SUBSTITUTION OF A NEW CLEARANCE

To the Australian Competition and Consumer Commission:

Application is hereby made under subsection 95AS (1) of the Trade Practices Act 1974 for the revocation of a clearance and the substitution of a new clearance for the one revoked.

PLEASE FOLLOW DIRECTIONS ON BACK OF THIS FORM

1.         The Applicant (the Acquirer)

     (a)       Name of the Applicant and registered office (where applicable) including the ACN (where applicable) and place of incorporation (where applicable)

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

(See Direction 3 of this Form)

     (b)       Describe the business or businesses carried on by the Applicant including the products and services the Applicant supplies

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

(See Direction 4 of this Form)

     (c)       Provide details of all related bodies corporate of the Applicant including the ACN

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

(See Direction 5 of this Form)

     (d)       Address in Australia for service of documents on the Applicant

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

     (e)       Name and address of any person for whose benefit or on whose behalf the shares or assets to be acquired will be held

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

PART A -- Revocation

2.         Revocation of clearance

     (a)       Describe the acquisition that is the subject of the clearance for which revocation is sought including but not limited to the registration number assigned to the clearance

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

     (b)       Provide details of the grounds upon which revocation of the clearance and substitution of a new clearance is sought

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

PART B -- Substitution of a new clearance

3.         The Target

     (a)       In the case of a body corporate whose shares or assets are to be acquired:

         (i)    Name of the body corporate including the ACN where applicable

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

        (ii)    Place of incorporation of the body corporate

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

       (iii)    Registered office of the body corporate

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

       (iv)    Describe the business or businesses carried on by the body corporate including the products and services the Target supplies

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

(See Direction 6 of this Form)

        (v)    Number and type of shares or description of assets to be acquired

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

     (b)       In the case of a body corporate whose shares are to be acquired, provide details of:

         (i)    the issued capital of the body corporate

        (ii)    the holders of such issued capital

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

     (c)       Provide details of all related bodies corporate of the body corporate whose shares or assets are to be acquired by the Applicant

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

(See Direction 5 of this Form)

     (d)       In the case of a person (other than a body corporate) whose assets are to be acquired

         (i)    Name and address of the person

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

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

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

        (ii)    Describe the business or businesses carried on by the person including the products and services the person supplies

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

       (iii)    Describe the assets to be acquired

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

4.         The acquisition

     (a)       Outline the nature and details of the contract, arrangement, understanding or proposal for the acquisition and, if applicable, the public offer document, and provide a copy of any relevant contract, document or public offer document

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

(See Direction 7 of this Form)

     (b)       Provide details of the commercial rationale for the acquisition and copies of all documents that were prepared specifically for the purpose of evaluating the proposed acquisition with respect to the market(s) affected and the nature of those affects

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

     (c)       Indicate whether the acquisition involves proposed ancillary arrangements and describe the proposed arrangements

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

5.         Background information

     (a)       Describe the industry sector(s) to which the acquisition relates

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

(See Direction 8 of this Form)

     (b)       Describe the area(s) of overlap in the operations of the Applicant and Target and any related bodies corporate (the merger parties)

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

(See Direction 9 of this Form)

     (c)       Provide details of any acquisitions made by the merger parties and any other acquisitions made in the industry sector(s) during the past five years

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

     (d)       Provide details of any existing vertical or horizontal relationships between the merger parties

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

     (e)       Describe any other cooperative agreements to which any of the merger parties is a party

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

(See Direction 10 of this Form)

6.         Market definition

                Describe the market(s) (product, functional, geographic and time) relevant to the assessment of the acquisition's effect on competition -- this includes markets for the supply of goods or services and markets for the acquisition of goods or services (the relevant market(s))

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

(See Direction 11 of this Form)

7.         Suppliers

     (a)       Describe the inputs into the production of goods or services by each of the merger parties in the relevant market(s) and indicate the value of those inputs as a proportion of total production. Where alternative inputs are available, provide a list of substitutes

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

     (b)       Provide the names and contact details of a representative selection of suppliers of inputs to each of the merger parties in the relevant market(s)

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

(See Direction 12 of this Form)

     (c)       Describe any purchasing arrangements in place with each of the suppliers identified above and outline whether it is expected or anticipated that these arrangements will continue or be varied in any way post‑acquisition

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

8.         Competitors

     (a)       Provide details of alternative suppliers of products now or shortly to be competitive with, or otherwise substitutable for, goods or services produced by each of the merger parties in the relevant market(s)

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

(See Direction 13 of this Form)

     (b)       If the suppliers identified above do not produce goods or services which are substantially the same as those goods or services produced by the merger parties in the relevant market(s), explain why it is considered that these goods or services are viable alternatives

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

9.         Customers

     (a)       Provide the names and contact details of a representative selection of the customers of each of the merger parties in the relevant market(s)

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

(See Direction 14 of this Form)

     (b)       Describe the distribution channels available to the merger parties in supplying goods and services to customers and identify the relevant distribution channels in respect of each of the customers identified above

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

     (c)       Describe the existing supply arrangements that the merger parties have in place with the customers identified above and whether it is expected or anticipated that these arrangements will continue or be varied in any way post‑acquisition

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

(See Direction 15 of this Form)

10.       Market concentration

                Provide estimates of current and post‑acquisition market shares for the merger parties and existing alternative suppliers or purchasers in the relevant market(s) identified above

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

(See Direction 16 of this Form)

11.       Constraints on the exercise of market power

     (a)       Provide details of the extent to which the merger parties are likely to be constrained post‑acquisition from raising prices and profit margins and/or reducing the quality of goods and/or services by:

         (i)    suppliers in the relevant market(s)

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

        (ii)    competitors in the relevant market(s)

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

       (iii)    customers in the relevant market(s)

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

       (iv)    others

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

(See Direction 17 of this Form)

12.       Imports

     (a)       Provide details of the actual and potential level of imports in the relevant market(s) and details of the importers and their suppliers

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

(See Direction 18 of this Form)

     (b)       Describe any barriers to importation in the relevant market(s) including whether significant investment in facilities or in distribution arrangements is needed to facilitate importation

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

     (c)       Describe facilities and distribution arrangements necessary for importation in the relevant market(s), their capacity and who has ownership or control of these facilities and arrangements

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

     (d)       Provide details of the price of imports as opposed to domestic production in the relevant market(s) and explain any divergence in these prices

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

     (e)       Provide details as to the extent of constraint which would be likely to be provided by imports on domestic suppliers including the merger parties in the relevant market(s) post‑acquisition

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

(See Direction 19 of this Form)

13.       Exports

     (a)       Provide details of the actual and potential level of exports in the relevant market(s)

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

(See Direction 20 of this Form)

     (b)       Describe the export barriers faced by suppliers of inputs to the merger parties in the relevant market(s)

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

     (c)       Provide details of the sale price of exports as opposed to domestic sales in the relevant market(s) and explain any divergence in these prices

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

     (d)       Describe whether the suppliers of inputs to the merger parties are or would be likely to be able to export such inputs post‑acquisition and, if so, describe the extent of constraint this would be likely to provide on the merger parties post‑acquisition

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

(See Direction 21 of this Form)

14.       Barriers to entry and expansion

     (a)       Provide details of any barriers to entry and expansion in the relevant market(s)

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

(See Direction 22 of this Form)

     (b)       Provide details of any firms not currently producing goods or services in the relevant market(s) but which could enter the relevant market(s) quickly and provide an effective competitive constraint

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

     (c)       Provide details of any firms which have recently tried and failed to enter the relevant market(s), including the reasons (if known) for their failure

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

15.       Dynamic characteristics

                Provide details of the dynamic characteristics of the relevant market(s)

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

(See Direction 23 of this Form)

16.       Vigorous and effective competitor

                Indicate whether the Target or any other participant in the relevant market(s) could be described as a vigorous and effective competitor to the Applicant or other market participants to any and to what extent, and why

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

(See Direction 24 of this Form)

17.       Vertical integration

     (a)       Describe whether the acquisition would, or would be likely to, result in increased vertical integration between firms involved at different functional levels in the relevant market(s)

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

(See Direction 25 of this Form)

     (b)       Describe whether the acquisition would, or would be likely to, increase the risk of limiting the supply of inputs or access to distribution such that downstream or upstream rivals face higher costs post‑acquisition or full or partial foreclosure of key inputs or distribution channels

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

18.       Prices and profit margins

     (a)       Provide details of recent and current levels of pricing in the relevant market(s) including the use of rebates and discounts

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

     (b)       Provide details of supply costs of goods and services supplied by the merger parties including manufacturing, marketing and distribution costs in the relevant market(s)

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

     (c)       Describe the competitive constraints, if any, which would, or would be likely to, prevent the merger parties from being able to significantly and sustainably increase the prices paid by their customers, or lower the prices paid to their suppliers, post‑acquisition in the relevant market(s)

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

     (d)       Describe the impact of the acquisition on the potential for coordinated conduct between remaining competitors in the relevant market(s) post‑acquisition

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

(See Direction 26 of this Form)

     (e)       Describe the likely impact of the acquisition on the profit margins of the merger parties post‑acquisition and the expected cause of any change

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

19.       Related markets

     (a)       Describe the extent of complementarity between products supplied by the merger parties

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

(See Direction 27 of this Form)

     (b)       Describe the extent to which the products identified above are, or could be, offered to customers as a product range through bundling or tying

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

(See Direction 28 of this Form)

     (c)       Describe the competitive constraints that would, or would be likely to, prevent such bundling or tying from significantly foreclosing the ability of the merged entity's competitors to compete, including foreclosure of access to distribution by the merged entity's competitors

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

20.       Other grounds for grant of clearance

                Outline any grounds for the granting by the Commission of a clearance not already addressed above

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

21.       The counterfactual

                Describe the likely state of the relevant market(s) in the future if the proposed acquisition does not take place, giving reasons

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

22.       Joint ventures

                 Does this application for clearance deal with a matter relating to a joint venture (see section 4J of the Act)

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

         (i)    If so, are there any other applications for clearance or authorisation under Part VII of the Act being made simultaneously with this application in relation to the joint venture

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

        (ii)    If so, describe the nature of the applications and who is making those other applications

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

23.       International

     (a)       Does the acquisition involve

         (i)    A company operating in Australia that has a foreign parent

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

        (ii)    Australian businesses or consumers affected by conduct occurring overseas

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

       (iii)    Foreign consumers affected by conduct occurring in Australia

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

       (iv)    Conduct occurring across international boundaries

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

     (b)       Provide details of competition authorities in jurisdictions other than Australia to which the proposed acquisition has been or is intended to be notified and the timing of such notifications

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

24.       Period of clearance

                Outline the period for which clearance is sought, detailing reasons why clearance should be granted for the requested period

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

25.       Undertaking

                Consistent with subsection 95AS (2A) of the Act, the Applicant is required, pursuant to the regulations, to give an undertaking to the Commission under section 87B of the Act that the acquisition will not be made while the application for revocation of a clearance and substitution of a new clearance is being considered by the Commission. An undertaking which is in a form that must be offered to the Commission is attached to this Form.

26.       Further information

                Name, postal address, telephone, facsimile and email contact details of the person authorised by the notifying parties to provide additional information in relation to this application.

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

27.       Information in relation to the Target

                Where the Target has been consulted during the preparation of information provided in response to the questions contained in this Form relating to the Target, an authorised representative of the Target must indicate here that information relating to the Target is complete and accurate.

Dated...................................................................

Signed by/on behalf of the Target

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

(Signature)

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

(Full Name)

Note    If the Target is a corporation, state position occupied in the corporation by person signing. If signed by a solicitor on behalf of the Target, this fact must be stated.

 

28.       Declaration

                The undersigned declare that, to the best of their knowledge and belief, the information given in response to questions in this form is true, correct and complete, that complete copies of documents required by this form have been supplied, and that all estimates are identified as such and are their best estimates of the underlying facts and that all the opinions expressed are sincere.

                The undersigned are aware of the provisions of section 95AZN of the Trade Practices Act 1974 .

 

.........................................................
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]

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.

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])

1.   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 ).

2.   [Company name] has made an application for revocation of a clearance and substitution of a new clearance pursuant to section 95AS of the Act.

3.   [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 Commission.

4.   This Undertaking comes into effect when:

      (a)      the Undertaking is executed by [company name]; and

      (a)      the Commission accepts the Undertaking so executed.

5.   [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 Act 2001 .

 

 

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

 

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

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

 

1.   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.

2.   In all cases, evidence must be provided to support the contentions made in responding to the questions on this Form.

3.   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 a new clearance must be the same person as the person to whom the original clearance was granted.

4.   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.

5.   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.

6.   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.

7.   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.

8.   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.

9.   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:

4E         Market

        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) is 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;

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);

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 S        Application for merger authorisation

(regulation 73)

Form S

Commonwealth of Australia

Trade Practices Act 1974 -- section 95AU

APPLICATION FOR MERGER AUTHORISATION

To the Australian Competition Tribunal:

Application is hereby made under section 95AU of the Trade Practices Act 1974 for an authorisation under subsection 95AT (1) to acquire shares in the capital of a body corporate or to acquire assets of another person.

PLEASE FOLLOW DIRECTIONS ON BACK OF THIS FORM

1.         The Applicant (the Acquirer)

     (a)       Name and registered office (where applicable) of the Applicant including the ACN (where applicable) and place of incorporation (where applicable)

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

     (b)       Describe the business or businesses carried on by the Applicant including the products and services the Applicant supplies

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

(See Direction 3 of this Form)

     (c)       Provide details of all related bodies corporate of the Applicant including the ACN

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

(See Direction 4 of this Form)

     (d)       Address in Australia for service of documents on the Applicant

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

     (e)       Name and address of any person for whose benefit or on whose behalf the shares or assets to be acquired will be held

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

2.         The Target

     (a)       In the case of a body corporate whose shares or assets are to be acquired:

         (i)    Name of the body corporate including the ACN where applicable

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

        (ii)    Place of incorporation of the body corporate

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

       (iii)    Registered office of the body corporate

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

       (iv)    Describe the business or businesses carried on by the body corporate including the products and services the Target supplies

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

(See Direction 5 of this Form)

        (v)    Number and type of shares or description of assets to be acquired

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

     (b)       In the case of a body corporate whose shares are to be acquired, provide details of:

         (i)    the issued capital of the body corporate;

        (ii)    the holders of such issued capital.

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

     (c)       Provide details of all related bodies corporate of the body corporate whose shares or assets are to be acquired by the Applicant

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

(See Direction 4 of this Form)

     (d)       In the case of a person (other than a body corporate) whose assets are to be acquired

         (i)    Name and address of the person

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

        (ii)    Describe the business or businesses carried on by the person including the products and services the person supplies

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

       (iii)    Describe the assets to be acquired

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

3.         The acquisition

     (a)       Outline the nature and details of the contract, arrangement, understanding or proposal for the acquisition and, if applicable, the public offer document, and provide a copy of any relevant contract, document or public offer document.

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

(See Direction 6 of this Form)

     (b)       Provide details of the commercial rationale for the acquisition and copies of all documents that were prepared specifically for the purpose of evaluating the proposed acquisition with respect to the market(s) affected and the nature of those effects

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

     (c)       Indicate whether the acquisition involves proposed ancillary arrangements and describe the proposed arrangements

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

4.         Background information

     (a)       Describe the industry sector(s) to which the acquisition relates

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

(See Direction 7 of this Form)

     (b)       Describe the area(s) of overlap in the operations of the Applicant and Target and any related bodies corporate (the merger parties)

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

(See Direction 8 of this Form)

     (c)       Provide details of any acquisitions made by the merger parties and any other acquisitions made in the industry sector(s) during the past five years

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

     (d)       Provide details of any existing vertical or horizontal relationships between the merger parties and related bodies corporate

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

     (e)       Describe any other cooperative agreements to which any of the merger parties is a party

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

(See Direction 9 of this Form)

5.         Market definition

                Describe the market(s) (product, functional, geographic and time) relevant to the assessment of the acquisition's effect on competition -- this includes markets for the supply of goods or services and markets for the acquisition of goods or services (the relevant market(s))

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

(See Direction 10 of this Form)

6.         Suppliers

     (a)       Describe the inputs into the production of goods or services by each of the merger parties in the relevant market(s) and indicate the value of those inputs as a proportion of total production. Where alternative inputs are available, provide a list of substitutes

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

     (b)       Provide the names and contact details of a representative selection of suppliers of inputs to each of the merger parties in the relevant market(s)

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

(See Direction 11 of this Form)

     (c)       Describe any purchasing arrangements in place with each of the suppliers identified above and outline whether it is expected or anticipated that these arrangements will continue or be varied in any way post‑acquisition

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

7.         Competitors

     (a)       Provide details of alternative suppliers of products now, or shortly to be, competitive with, or otherwise substitutable for, goods or services produced by each of the merger parties in the relevant market(s)

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

(See Direction 12 of this Form)

     (b)       If the suppliers identified above do not produce goods or services which are substantially the same as those goods or services produced by the merger parties in the relevant market(s), explain why it is considered that these goods or services are viable alternatives

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

8.         Customers

     (a)       Provide the names and contact details of a representative selection of the customers of each of the Applicant and the Target in the relevant market(s)

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

(See Direction 13 of this Form)

     (b)       Describe the distribution channels available to the merger parties in supplying goods and services to customers and identify the relevant distribution channels in respect of each of the customers identified above

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

     (c)       Describe the existing supply arrangements that the merger parties have in place with the customers identified above and whether it is expected or anticipated that these arrangements will continue or be varied in any way post‑acquisition

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

(See Direction 14 of this Form)

9.         Market concentration

                Provide estimates of current and post‑acquisition market shares for the merger parties and existing alternative suppliers or purchasers in the relevant market(s) identified above

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

(See Direction 15 of this Form)

10.       Constraints on the exercise of market power

                Provide details of the extent to which the merger parties are likely to be constrained post‑acquisition from raising prices and profit margins and/or reducing the quality of good and/or services by:

         (i)    suppliers in the relevant market(s)

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

        (ii)    competitors in the relevant market(s)

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

       (iii)    customers in the relevant market(s)

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

       (iv)    others

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

(See Direction 16 of this Form)

11.       Imports

     (a)       Provide details of the actual and potential level of imports in the relevant market(s) and details of the importers and their suppliers

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

(See Direction 17 of this Form)

     (b)       Describe any barriers to importation in the relevant market(s) including whether significant investment in facilities or in distribution arrangements is needed to facilitate importation

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

     (c)       Describe facilities and distribution arrangements necessary for importation in the relevant market(s), their capacity and who has ownership or control of these facilities and arrangements

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

     (d)       Provide details of the price of imports as opposed to domestic production in the relevant market(s) and explain any divergence in these prices

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

     (e)       Provide details as to the extent of constraint which would be likely to be provided by imports on domestic suppliers including the merger parties in the relevant market(s) post‑acquisition

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

 (See Direction 18 of this Form)

12.       Exports

     (a)       Provide details of the actual and potential level of exports in the relevant market(s)

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

(See Direction 19 of this Form)

     (b)       Describe the export barriers faced by suppliers of inputs to the merger parties in the relevant market(s)

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

     (c)       Provide details of the sale price of exports as opposed to domestic sales in the relevant market(s) and explain any divergence in these prices

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

     (d)       Describe whether the suppliers of inputs to the merger parties are or would be able to export such inputs post‑acquisition and, if so, describe the extent of constraint this would be likely to provide on the merger parties post‑acquisition

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

(See Direction 20 of this Form)

13.       Barriers to entry and expansion

     (a)       Provide details of any barriers to entry and expansion in the relevant market(s)

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

(See Direction 21 of this Form)

     (b)       Provide details of any firms not currently producing goods or services in the relevant market(s) but which could enter relevant market(s) quickly and provide an effective competitive constraint

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

     (c)       Provide details of any firms which have recently tried and failed to enter the relevant market(s), including the reasons (if known) for their failure

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

14.       Dynamic characteristics

                Provide details of the dynamic characteristics of the relevant market(s)

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

(See Direction 22 of this Form)

15.       Vigorous and effective competitor

                Indicate whether the Target or any other participant in the relevant market(s) could be described as a vigorous and effective competitor to the Applicant or other market participants to any and to what extent, and why

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

(See Direction 23 of this Form)

16.       Vertical integration

     (a)       Describe whether the acquisition would, or would be likely to, result in increased vertical integration between firms involved at different functional levels in the relevant market(s)

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

(See Direction 24 of this Form)

     (b)       Describe whether the acquisition would, or would be likely to, increase the risk of limiting the supply of inputs or access to distribution such that downstream or upstream rivals face higher costs post‑acquisition or full or partial foreclosure of key inputs or distribution channels

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

17.       Prices and profit margins

     (a)       Provide details of recent and current levels of pricing in the relevant market(s) including the use of rebates and discounts

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

     (b)       Provide details of supply costs of goods and services supplied by the merger parties including manufacturing, marketing and distribution costs in the relevant market(s)

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

     (c)       Describe the competitive constraints, if any, which would, or would be likely to, prevent the merger parties from being able to significantly and sustainably increase the prices paid by their customers, or lower the prices paid to their suppliers, post‑acquisition in the relevant market(s)

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

     (d)       Describe the impact of the acquisition on the potential for coordinated conduct between remaining competitors in the relevant market(s) post‑acquisition

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

(See Direction 25 of this Form)

     (e)       Describe the likely impact of the acquisition on the profit margins of the merger parties post‑acquisition and the expected cause of any change

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

18.       Related markets

     (a)       Describe the extent of complementarity between products supplied by the merger parties

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

(See Direction 26 of this Form)

     (b)       Describe the extent to which the products identified above are, or could be, offered to customers as a product range through bundling or tying

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

(See Direction 27 of this Form)

     (c)       Describe the competitive constraints that would, or would be likely to, prevent such bundling or tying from significantly foreclosing the ability of the merged entity's competitors to compete, including foreclosure of access to distribution by the merged entity's competitors

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

19.       Detriment from a lessening of competition

                Having regard to the information provided above, and any other relevant information, describe any detriment which would or would be likely to flow from a lessening of competition as a result of the acquisition

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

20.       Other public detriment

                Describe any public detriment likely to result from the proposed acquisition that has not already been described above

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

21.       Public benefit claims

     (a)       Describe any public benefit in the form of increased efficiencies (for example, economies of scale or scope) which would, or would be likely to, result from the acquisition

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

     (b)       Describe whether the acquisition would, or would be likely to, result in a significant increase in the real value of exports

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

     (c)       Describe whether the acquisition would, or would be likely to, result in significant substitution of domestic products for imported goods

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

     (d)       Detail any public benefit claims relating to the international competitiveness of any Australian industry arising from the acquisition

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

     (e)       Detail any other public benefit claims

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

22.       The counterfactual

                Describe the likely state of the relevant market(s) in the future if the proposed acquisition does not take place, giving reasons

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

23.       Joint ventures

     (a)       Does this application for authorisation deal with a matter relating to a joint venture (see section 4J of the Act)

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

         (i)    If so, are there any other applications for clearance or authorisation under Part VII of the Act being made simultaneously with this application in relation to the joint venture

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

        (ii)    If so, describe the nature of the applications and who is making those other applications

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

24.       International

     (a)       Does the acquisition involve:

         (i)    A company operating in Australia that has a foreign parent

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

        (ii)    Australian businesses or consumers affected by conduct occurring overseas

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

       (iii)    Foreign consumers affected by conduct occurring in Australia

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

       (iv)    Conduct occurring across international boundaries

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

     (b)       Provide details of competition authorities in jurisdictions other than Australia to which the proposed acquisition has been, or is intended to be, notified and the timing of such notifications

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

25.       Period of authorisation

                Outline the period for which authorisation is sought, detailing reasons why authorisation should be granted for the requested period

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

26.       Undertaking

                Consistent with subsection 95AV (2) of the Act, the Applicant is required, pursuant to the regulations, to give an undertaking to the Commission under section 87B of the Act that the acquisition will not be made while the application for authorisation is being considered by the Tribunal. An undertaking which is in a form that must be offered to the Commission is attached to this Form.

27.       Further information

                Name, postal address, telephone, facsimile and email contact details of person authorised by the notifying parties to provide additional information in relation to this application

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

28.       Information provided in relation to the Target

                Where the Target has been consulted during the preparation of information provided in response to the questions contained in this Form relating to the Target, an authorised representative of the Target must indicate here that information relating to the Target is complete and accurate.

Dated...................................................................

Signed by/on behalf of the Target

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

(Signature)

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

(Full Name)

Note    If the Target is a corporation, state position occupied in the corporation by person signing. If signed by a solicitor on behalf of the Target, this fact must be stated.

29.       Declaration

                The undersigned declare that, to the best of their knowledge and belief, the information given in response to questions in this form is true, correct and complete, that complete copies of documents required by this form have been supplied, and that all estimates are identified as such and are their best estimates of the underlying facts and that all the opinions expressed are sincere.

                The undersigned are aware of the provisions of section 95AZN of the Trade Practices Act 1974 .

 

.........................................................
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]

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.

 

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])

1.   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 ).

2.   [Company name] has made an application for authorisation in respect of an acquisition pursuant to section 95AU of the Act.

3.   [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.

4.   This Undertaking comes into effect when:

      (a)      the Undertaking is executed by [company name]; and

      (b)      the Commission accepts the Undertaking so executed.

5.   [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 Act 2001 .

 

 

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

 

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

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

1.   Where there is insufficient space on this Form to furnish the required information, the information must be shown on separate sheets, numbered consecutively and signed by, or on behalf of, the Applicant.

2.   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).

3.   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.

4.   The following definitions apply in relation questions 1 (c) and 2 (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.

5.   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.

6.   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.

7.   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.

8.   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.

9.   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.

10. 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:

4E         Market

                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.

11. 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.

      The response must include the location of each of the suppliers identified and the areas to which each of the identified entities supplies.

12. 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.

13. 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.

14. 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.

15. 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.

16. 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.

17. 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.

18. 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; and

*     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.

19. The response must include contact details of existing exporters.

20. The response must include reference to:

*     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.

21. 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.

22. 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).

23. 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.

24. 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.

25. 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; and

*         the presence of the same firms in more than one market.

26. 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.

27. 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 T        Application for minor variation of merger authorisation

(regulation 73)

Form T

Commonwealth of Australia

Trade Practices Act 1974 -- subsection 95AZL (1)

APPLICATION FOR MINOR VARIATION OF A MERGER AUTHORISATION

To the Australian Competition Tribunal:

Application is hereby made under subsection 95AZL (1) of the Trade Practices Act 1974 for the minor variation of an authorisation.

PLEASE FOLLOW DIRECTIONS ON BACK OF THIS FORM

1.         The Applicant (the Acquirer)

     (a)       Name and registered office (where applicable) of the Applicant including the ACN (where applicable) and place of incorporation (where applicable)

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

(See Direction 3 of this Form)

     (b)       Describe the business or businesses carried on by the Applicant including the products and services the Applicant supplies

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

     (c)       Address in Australia for service of documents on the Applicant

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

PART A -- Original authorisation

2.         Authorisation particulars

                 Description of acquisition for which authorisation was granted, including, but not limited to, the registration number assigned to that authorisation

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

PART B -- Minor variation of the original authorisation

3.         Minor variation sought

     (a)       Provide details of the minor variation for which authorisation is sought, including but not limited to identification of differences between the contract, arrangement, understanding or proposal for the acquisition that was originally authorised and the contract, arrangement, understanding or proposal for the acquisition for which minor variation is sought

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

(See Direction 4 of this Form)

     (b)       Explain why the variation described above is in fact a minor variation which does not materially change the effect of the authorisation

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

4.         Public detriments

     (a)       Describe any detriments to the public resulting, or likely to result, from the acquisition for which the minor variation of the authorisation is sought, in particular the likely effect of the acquisition for which the minor variation for authorisation is sought on the competitive environment in the relevant market(s)

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

(See Direction 5 of this Form)

     (b)       Provide submissions regarding the effect of the minor variation upon any detriments to the public resulting or likely to result from the original authorisation, in particular the likely effect of the acquisition on the prices of the goods or services supplied by the merger parties and their competitors in the relevant market(s)

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

(See Direction 6 of this Form)

5.         Public benefit claims

                 Provide submissions regarding the effect of the minor variation upon any public benefits resulting or likely to result from the original authorisation

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

 (See Direction 7 of this Form)

6.         Updating information

                Provide details of any material change to the information provided by the Applicant in support of the original authorisation application and the effect of any such changes on the claims made by the Applicant in relation to the original authorisation and the effect on competition of the proposed acquisition and public benefit likely to flow from the proposed acquisition

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

7.         Undertaking

                Consistent with subsection 95AZL (2A) of the Act, the Applicant is required, pursuant to the regulations, to give an undertaking to the Commission under section 87B of the Act that the acquisition will not be made while the application for minor variation of an authorisation is being considered by the Tribunal. An undertaking which is in a form that must be offered to the Commission is attached to this Form.

8.         Further information

                Name, postal address, telephone, facsimile and email contact details of the person authorised by the Applicant to provide additional information in relation to this application

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

9.         Information provided in relation to the Target

                Where the Target has been consulted during the preparation of information provided in response to the questions contained in this Form relating to the Target, an authorised representative of the Target must indicate here that the information relating to the Target is complete and accurate.

Dated...................................................................

Signed by/on behalf of the Target

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

(Signature)

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

(Full Name)

Note    If the Target is a corporation, state position occupied in the corporation by person signing. If signed by a solicitor on behalf of the Target, this fact must be stated.

10.       Declaration

                The undersigned declare that, to the best of their knowledge and belief, the information given in response to questions in this form is true, correct and complete, that complete copies of documents required by this form have been supplied, and that all estimates are identified as such and are their best estimates of the underlying facts and that all the opinions expressed are sincere.

                The undersigned are aware of the provisions of section 95AZN of the Trade Practices Act 1974 .

 

.........................................................
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]

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.


 

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])

1.   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 ).

2.   [Company name] has made an application for minor variation of an authorisation in respect of an acquisition pursuant to section 95AZL of the Act.

3.   [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.

4.   This Undertaking comes into effect when:

      (a)      the Undertaking is executed by [company name]; and

      (b)      the Commission accepts the Undertaking so executed.

5.   [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 Act 2001 .

 

 

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

 

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

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

1.   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.

2.   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).

3.   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 a minor variation of an authorisation must be the same person as the person to whom the original authorisation was granted.

4.   Address any changes to the contract, arrangement, understanding or proposal for the acquisition including but not limited to: the number and type of shares being acquired; 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.

5.   The response must include details of the market(s) likely to be affected by the contract, arrangement, understanding or proposal for the acquisition, including both the markets for the supply and acquisition of goods or services, in particular having regard to goods or services that may be regarded as substitutes. The response must also address existing alternative suppliers, market concentration information, whether there would be any constraint on the exercise of market power including those imposed by suppliers, competitors, customers and the existence of import or export possibilities, barriers to entry and expansion, vertical integration in the market and any related markets. The response must include detriment arising from both a lessening of competition and any other detriment to the public.

6.   Details must be provided in relation to the likely effect of the minor variation upon those detriments to the public, including those resulting from the lessening of competition and other detriments to the public, claimed to result or be likely to result from the acquisition which was the subject of the original authorisation. The response must also indicate the likely effect of the minor variation upon those detriments to the public that the Tribunal found in its determination on the original authorisation.

7.   Specific reference must be made to any public benefit which would or would be likely to arise from a significant increase in the real value of exports, significant substitution of domestic products for imported goods, increased international competitiveness or increased efficiency. Provide details of the likely effect of the minor variation upon those public benefits claimed to result or to be likely to result from the original authorisation. The response must also indicate the likely effect of the minor variation upon those detriments to the public that the Tribunal found in its determination on the original authorisation.

 

Form U        Application for revocation of merger authorisation

(regulation 73)

Form U

Commonwealth of Australia

Trade Practices Act 1974 -- subsection 95AZM (1)

APPLICATION FOR REVOCATION
OF A MERGER AUTHORISATION

To the Australian Competition Tribunal:

Application is hereby made under subsection 95AZM (1) of the Trade Practices Act 1974 for the revocation of an authorisation.

PLEASE FOLLOW DIRECTIONS ON BACK OF THIS FORM

1.         The Applicant (the Acquirer)

     (a)       Name and registered office (where applicable)of the Applicant including the ACN (where applicable) and the place of incorporation (where applicable)

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

(See Direction 2 of this Form)

     (b)       Description of business or businesses carried on by the Applicant including the products and services the Applicant supplies

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

     (c)       Address in Australia for service of documents on the Applicant

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

2.         Revocation of authorisation

     (a)       Description of the authorisation that is the subject of the application for which revocation is sought including but not limited to the registration number assigned to the authorisation

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

     (b)       Provide details of the grounds upon which revocation of the authorisation is sought.

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

3.         Undertaking

                Consistent with subsection 95AZM (2A) of the Act, the Applicant is required, pursuant to the regulations, to give an undertaking to the Commission under section 87B of the Act that the acquisition will not be made while the application for revocation of an authorisation is being considered by the Tribunal. An undertaking which is in a form that must be offered to the Commission is attached to this Form.

4.         Further information

                Name, postal address, telephone, facsimile and email contact details of the person authorised by the Applicant to provide additional information in relation to this revocation application

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

Dated...................................................................

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.

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])

1.   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).

2.   [Company name] has made an application for revocation of an authorisation in respect of an acquisition pursuant to section 95AZM of the Act.

3.   [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.

4.   This Undertaking comes into effect when:

      (a)      the Undertaking is executed by [company name]; and

      (b)      the Commission accepts the Undertaking so executed.

5.   [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 Act 2001 .

 

 

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

 

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

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

1.   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.

2.   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 of the authorisation must be the same person as the person to whom the original authorisation was granted.

 

Form V        Application for revocation of merger authorisation and substitution of new authorisation

(regulation 73)

Form V

Commonwealth of Australia

Trade Practices Act 1974 -- subsection 95AZM (1)

APPLICATION FOR REVOCATION OF A MERGER AUTHORISATION AND SUBSTITUTION OF A NEW AUTHORISATION

To the Australian Competition Tribunal:

Application is hereby made under subsection 95AZM (1) of the Trade Practices Act 1974 for the revocation of an authorisation and the substitution of a new authorisation under that subsection to acquire shares in the capital of a body corporate or to acquire assets of another person.

PLEASE FOLLOW DIRECTIONS ON BACK OF THIS FORM

1.         The Applicant (the Acquirer)

     (a)       Name and registered office (where applicable) of the Applicant including the ACN (where applicable) and place of incorporation (where applicable).

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

(See Direction 3 of this Form)

     (b)       Describe the business or businesses carried on by the Applicant including the products and services the Applicant supplies

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

(See Direction 4 of this Form)

     (c)       Provide details of all related bodies corporate of the Applicant including the ACN

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

(See Direction 5 of this Form)

     (d)       Address in Australia for service of documents on the Applicant

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

     (e)       Name and address of any person for whose benefit or on whose behalf the shares or assets to be acquired will be held

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

PART A -- Revocation

2.         Revocation of authorisation

     (a)       Describe the acquisition that is the subject of the authorisation for which revocation is sought including but not limited to the registration number assigned to the authorisation

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

     (b)       Provide details of the grounds upon which revocation of the authorisation and substitution of a new authorisation is sought.

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

PART B -- Substitution of a new authorisation

3.         The Target

     (a)       In the case of a body corporate whose shares or assets are to be acquired:

         (i)    Name of the body corporate including the ACN where applicable

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

        (ii)    Place of incorporation of the body corporate

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

       (iii)    Registered office of the body corporate

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

       (iv)    Describe the business or businesses carried on by the body corporate including the products and services the Target supplies

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

(See Direction 6 of this Form)

        (v)    Number and type of shares or description of assets to be acquired

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

     (b)       In the case of a body corporate whose shares are to be acquired, provide details of:

                 (i)    the issued capital of the body corporate;

                (ii)    the holders of such issued capital.

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

     (c)       Provide details of all related bodies corporate of the body corporate whose shares or assets are to be acquired by the Applicant

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

(See Direction 5 of this Form)

     (d)       In the case of a person (other than a body corporate) whose assets are to be acquired

         (i)    Name and address of the person

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

        (ii)    Describe the business or businesses carried on by the person including the products and services the person supplies

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

       (iii)    Describe the assets to be acquired

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

4.         The acquisition

     (a)       Outline the nature and details of the contract, arrangement, understanding or proposal for the acquisition and, if applicable, the public offer document, and provide a copy of any relevant contract, document or public offer document.

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

(See Direction 7 of this Form)

     (b)       Provide details of the commercial rationale for the acquisition and copies of all documents that were prepared specifically for the purpose of evaluating the proposed acquisition with respect to the market(s) affected and the nature of those affects.

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

     (c)       Indicate whether the acquisition involves proposed ancillary arrangements and describe the proposed arrangements

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

5.         Background information

     (a)       Describe the industry sector(s) to which the acquisition relates

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

(See Direction 8 of this Form)

     (b)       Describe the area(s) of overlap in the operations of the Applicant and Target and any related bodies corporate (the merger parties)

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

(See Direction 9 of this Form)

     (c)       Provide details of any acquisitions made by the merger parties and any other acquisitions made in the industry sector(s) during the past five years

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

     (d)       Provide details of any existing vertical or horizontal relationships between the merger parties

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

     (e)       Describe any other cooperative agreements to which any of the merger parties is a party

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

(See Direction 10 of this Form)

6.         Market definition

                Describe the market(s) (product, functional, geographic and time) relevant to the assessment of the acquisition's effect on competition -- this includes markets for the supply of goods or services and markets for the acquisition of goods or services

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

(See Direction 11 of this Form)

7.         Suppliers

     (a)       Describe the inputs into the production of goods or services by each of the merger parties in the relevant market(s) and indicate the value of those inputs as a proportion of total production. Where alternative inputs are available, provide a list of substitutes

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

     (b)       Provide the names and contact details of a representative selection of suppliers of inputs to each of the merger parties in the relevant market(s)

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

(See Direction 12 of this Form)

     (c)       Describe any purchasing arrangements in place with each of the suppliers identified above and outline whether it is expected or anticipated that these arrangements will continue or be varied in any way post‑acquisition

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

8.         Competitors

     (a)       Provide details of alternative suppliers of products now or shortly to be competitive with, or otherwise substitutable for, goods or services produced by each of the merger parties in the relevant market(s)

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

(See Direction 13 of this Form)

     (b)       If the suppliers identified above do not produce goods or services which are substantially the same as those goods or services produced by the merger parties in the relevant market(s), explain why it is considered that these goods or services are viable alternatives

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

9.         Customers

     (a)       Provide the names and contact details of a representative selection of the customers of each of the Applicant and the Target in the relevant market(s)

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

(See Direction 14 of this Form)

     (b)       Describe the distribution channels available to the merger parties in supplying goods and services to customers and identify the relevant distribution channels in respect of each of the customers identified above

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

     (c)       Describe the existing supply arrangements that the merger parties have in place with the customers identified above and whether it is expected or anticipated that these arrangements will continue or be varied in any way post‑acquisition

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

(See Direction 15 of this Form)

10.       Market concentration

                Provide estimates of current and post‑acquisition market shares for the merger parties and existing alternative suppliers or purchasers in the relevant market(s) identified above

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

(See Direction 16 of this Form)

11.       Constraints on the exercise of market power

     (a)       Provide details of the extent to which the merger parties are likely to be constrained post‑acquisition from raising prices and profit margins and/or reducing the quality of good and/or services by:

         (i)    suppliers in the relevant market(s)

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

        (ii)    competitors in the relevant market(s)

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

       (iii)    customers in the relevant market(s)

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

(See Direction 17 of this Form)

12.       Imports

     (a)       Provide details of the actual and potential level of imports in the relevant market(s) and details of the importers and their suppliers

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

(See Direction 18 of this Form)

     (b)       Describe any barriers to importation in the relevant market(s) including whether significant investment in facilities or in distribution arrangements is needed to facilitate importation

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

     (c)       Describe facilities and distribution arrangements necessary for importation in the relevant market(s), their capacity and who has ownership or control of these facilities and arrangements

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

     (d)       Provide details of the price of imports as opposed to domestic production in the relevant market(s) and explain any divergence in these prices

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

     (e)       Provide details as to the extent of constraint which would be likely to be provided by imports on domestic suppliers including the merger parties in the relevant market(s) post‑acquisition

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

(See Direction 19 of this Form)

13.       Exports

     (a)       Provide details of the actual and potential level of exports in the relevant market(s)

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

(See Direction 20 of this Form)

     (b)       Describe the export barriers faced by suppliers of inputs to the merger parties in the relevant market(s)

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

     (c)       Provide details of the sale price of exports as opposed to domestic sales in the relevant market(s) and explain any divergence in these prices

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

     (d)       Describe whether the suppliers of inputs to the merger parties are or would be able to export such inputs post‑acquisition and, if so, describe the extent of constraint this would be likely to provide on the merger parties post‑acquisition

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

(See Direction 21 of this Form)

14.       Barriers to entry and expansion

     (a)       Provide details of any barriers to entry and expansion in the relevant market(s)

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

(See Direction 22 of this Form)

     (b)       Provide details of any firms not currently producing goods or services but which could enter the market quickly and provide an effective competitive constraint

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

     (c)       Provide details of any firms which have recently tried and failed to enter the relevant market(s), including the reasons (if known) for their failure

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

15.       Dynamic characteristics

                Provide details of the dynamic characteristics of the relevant market(s)

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

(See Direction 23 of this Form)

16.       Vigorous and effective competitor

                Indicate whether the Target or any other participant in the relevant market(s) could be described as a vigorous and effective competitor to the Applicant or other market participants to any and to what extent, and why

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

(See Direction 24 of this Form)

17.       Vertical integration

     (a)       Describe whether the acquisition would, or would be likely to, result in increased vertical integration between firms involved at different functional levels in the relevant market(s)

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

(See Direction 25 of this Form)

     (b)       Describe whether the acquisition would, or would be likely to, increase the risk of limiting the supply of inputs or access to distribution such that downstream or upstream rivals face higher costs post‑acquisition or full or partial foreclosure of key inputs or distribution channels

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

18.       Prices and profit margins

     (a)       Provide details of recent and current levels of pricing in the relevant market(s) including the use of rebates and discounts

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

     (b)       Provide details of supply costs of goods and services supplied by the merger parties including manufacturing, marketing and distribution costs in the relevant market(s)

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

     (c)       Describe the competitive constraints, if any, which would, or would be likely to, prevent the merger parties from being able to significantly and sustainably increase the prices paid by their customers, or lower the prices paid to their suppliers, post‑acquisition in the relevant market(s)

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

     (d)       Describe the impact of the acquisition on the potential for coordinated conduct between remaining competitors in the relevant market(s) post‑acquisition

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

(See Direction 26 of this Form)

     (e)       Describe the likely impact of the acquisition on the profit margins of the merger parties post‑acquisition and the expected cause of any change

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

19.       Related markets

     (a)       Describe the extent of complementarity between products supplied by the merger parties

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

(See Direction 27 of this Form)

     (b)       Describe the extent to which the products identified above are, or could be, offered to customers as a product range through bundling or tying

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

(See Direction 28 of this Form)

     (c)       Describe the competitive constraints that would, or would be likely to, prevent such bundling or tying from significantly foreclosing the ability of the merged entity's competitors to compete, including foreclosure of access to distribution by the merged entity's competitors

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

20.       Detriment from a lessening of competition

                Having regard to the information provided above, and any other relevant information, describe any detriment which would or would be likely to flow from a lessening of competition as a result of the acquisition

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

21.       Other public detriment

                Describe any public detriment likely to result from the proposed acquisition that has not already been described above

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

22.       Public benefit claims

     (a)       Describe any public benefit in the form of increased efficiencies (for example, economies of scale or scope) which would or would be likely to result from the acquisition

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

     (b)       Describe whether the acquisition would or would be likely to result in a significant increase in the real value of exports

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

     (c)       Describe whether the acquisition would or would be likely to result in significant substitution of domestic products for imported goods

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

     (d)       Detail any public benefit claims relating to the international competitiveness of any Australian industry

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

     (e)       Detail any other public benefit claims

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

23.       The counterfactual

                Describe the likely state of the relevant market(s) in the future if the proposed acquisition does not take place, giving reasons

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

24.       Joint ventures

     (a)       Does this application for revocation and substitution of a new authorisation deal with a matter relating to a joint venture (see section 4J of the Act)

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

         (i)    If so, are there any other applications for clearance or authorisation under Part VII of the Act being made simultaneously with this application in relation to the joint venture

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

        (ii)    If so, describe the nature of the applications and who is making those other applications

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

25.       International

     (a)       Does the acquisition involve:

         (i)    A company operating in Australia that has a foreign parent

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

        (ii)    Australian businesses or consumers affected by conduct occurring overseas

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

       (iii)    Foreign consumers affected by conduct occurring in Australia

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

       (iv)    Conduct occurring across international boundaries

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

     (b)       Provide details of competition authorities in jurisdictions other than Australia to which the proposed acquisition has been, or is intended to be, notified and the timing of such notifications

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

26.       Period of authorisation

                Outline the period for which authorisation is sought, detailing reasons why authorisation should be granted for the requested period

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

27.       Undertaking

                Consistent with subsection 95AZM (2A) of the Act, the Applicant is required, pursuant to the regulations, to give an undertaking to the Commission under section 87B of the Act that the acquisition will not be made while the application for revocation of an authorisation and substitution of a new authorisation is being considered by the Tribunal. An undertaking which is in a form that must be offered to the Commission is attached to this Form.

28.       Further information

                Name, postal address, telephone, facsimile and email contact details of person authorised by the notifying parties to provide additional information in relation to this application

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

29.       Information provided in relation to the Target

                Where the Target has been consulted during the preparation of information provided in response to the questions contained in this Form relating to the Target, an authorised representative of the Target must indicate here that information relating to the Target is complete and accurate.

Dated...................................................................

Signed by/on behalf of the Target

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

(Signature)

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

(Full Name)

Note    If the Target is a corporation, state position occupied in the corporation by person signing. If signed by a solicitor on behalf of the Target, this fact must be stated.

30.       Declaration

                The undersigned declare that, to the best of their knowledge and belief, the information given in response to questions in this form is true, correct and complete, that complete copies of documents required by this form have been supplied, and that all estimates are identified as such and are their best estimates of the underlying facts and that all the opinions expressed are sincere.

                The undersigned are aware of the provisions of section 95AZN of the Trade Practices Act 1974 .

 

.........................................................
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]

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.

 

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])

1.   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).

2.   [Company name] has made an application for revocation of an authorisation and substitution of a new authorisation in respect of an acquisition pursuant to section 95AZM of the Act.

3.   [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.

4.   This Undertaking comes into effect when:

      (a)      the Undertaking is executed by [company name]; and

      (b)      the Commission accepts the Undertaking so executed.

5.   [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 Act 2001 .

 

 

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

 

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

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

1.   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.

2.   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).

3.   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.

4.   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.

5.   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.

6.   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.

7.   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.

8.   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.

9.   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:

4E       Market

             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);

      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;

      Barriers which must be addressed include, but are not limited to, the following:

*         sunk costs in production capacity;

23. The response must include references including, but not limited to, the following:

*         growth;

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);

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

1.   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 ... ... ... .).

2.   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).

3.   I am dissatisfied with the determination of the Commission in the following respects:

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

( See Direction 1 of this Form)

4.   The determination I am seeking from the Tribunal is as follows:

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

5.   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 [  ])

6.   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

1.   In completing this part, the applicant must include references to particular paragraphs and pages in the determination for which review is sought.

2.   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.

3.   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])

1.   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 ).

2.   [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.

3.   [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.

4.   This Undertaking comes into effect when:

      (a)       the Undertaking is executed by [company name]; and

      (b)       the Commission accepts the Undertaking so executed.

5.   [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 Act 2001 .

 

 

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

 

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

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

1.   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.

2.   In all cases, evidence must be provided to support the contentions made in responding to the questions on this Form.

3.   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.

4.   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.

5.   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.

6.   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.

7.   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.

8.   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.

9.   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:

4E         Market

                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);

      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;

      Barriers which must be addressed include, but are not limited to, the following:

*         sunk costs in production capacity;

23. The response must include references including, but not limited to, the following:

*         growth;

      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).



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