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Enforcement & Compliance

The Enforcement and Compliance Department is responsible for investigating restrictive trade practices specifically on horizontal, vertical and abuse of dominance cases, evaluation of exemption applications and ensuring compliance with the Orders issued under the Act. The Department also gives advisory opinions in regard to the aforementioned practices

Concerted Practices Decisions by Undertakings and Association of Undertakings
  1. The Authority with recommendations will make a decision that will be communicated to the parties of interest that had been issued with a notice of investigations
  2. Where there is a contravention, the Authority shall invoke section 34 and communicate to the parties the contravention and the intended remedial action (s) by the Authority within 3 days giving them 21 days to submit their written representation and indicate whether to be granted a hearing conference
  3. Where the parties;
    1. Do not submit neither a written representation nor a request for a hearing conference, the contravention shall be presumed;
    2. Submit their written representation only, the Authority shall review the submissions within 14 days.
    3. Submit their written representation and request for a hearing conference, the Authority shall convene a hearing conference within 21 days
  4. The Authority shall prepare a report with recommendations in view of procedure iv. above.
  5. When the parties agree to apply Section 38, the Authority shall convene a settlement conference for that purpose.
Abuse of Dominance Case(s)
  1. The Authority shall initiate investigations/screening into a sector as a result of a trigger in form of a referral from other Government Agencies, directive by National Treasury, media reports, an anonymous complaints or whistle blowers.
  2. The Authority with recommendations will make a decision that will be communicated to the parties of interest that had been issued with a notice of investigations
  3. Where there is a contravention, the Authority shall invoke section 34 and communicate to the parties the contravention and the intended remedial action (s) by the Authority within 3 days giving them 21 days to submit their written representation and indicate whether to be granted a hearing conference for the matter to be handled administratively.
  4. Where the parties;
    1. Do not submit neither written representation nor request for a hearing conference, the contravention shall be presumed and forwarded to the ODPP for criminal proceedings,
    2. Submit their written representation only, the Authority shall review the submissions within 14 days,
    3. Submit their written representation and request for a hearing conference, the Authority shall convene a hearing conference within 21 days
  5. Where the matter is not settled administratively through a settlement conference, the Authority shall recommend for the matter to be pursued through the ODPP

Note that the Authority may at any time, during or after an investigation into an alleged infringement of the prohibitions contained in the Act, enter into an agreement of settlement with the undertaking or undertakings concerned.

Exemption Applications
  1. Upon receipt of an exemption application form, the Authority shall review and acknowledge receipt of the application within 3 days.
  2. The Authority shall carry out a preliminary review of the exemption application form and make a decision whether the filling is complete within one day
    1. If the application is not complete, the Authority shall request for additional information.
    2. If complete, the Authority shall initiate the process of gazetting the exemption application to request for submission from interested parties to the transaction within 30 days of the publication.
  3. After lapse of the gazettement period the Authority shall analyze all the data and information received and presented by the parties and prepare a report with recommendations.
  4. The decision made by the Authority shall be communicated to the parties through a Notice of Exemption Determination within 3 days
  5. Upon issuance of the Notice of Exemption Determination, the Authority shall draft a gazette notice for gazettement.
Compliance with the Authority’s Decisions
  1. The Department shall receive a directive from the respective departments through the Director General to carry out compliance on an Authority’s decision.
  2. The Authority shall carry out compliance on the Authority’s decision under the Mergers and Acquisitions, and Consumer Protection.
  3. The Authority shall develop instruments for data collection from the relevant parties within 21 days and prepare a report with recommendations.
  4. The Authority shall then communicate to the parties appropriately where compliance is being adhered or whether remedial measures needs to be taken as provided for under the Competition Act.