What Is Competition Appellate Tribunal (Procedure) Regulations, 2011 About?
The Competition Appellate Tribunal (Procedure) Regulations, 2011 were procedural rules by Competition Appellate Tribunal (CAT) prepared due to the authority granted by Section 53-O of Competition Act, 2002. These rules established procedures regarding how requests and corresponding applications to orders of Competition Commission of India (CCI) should be submitted, handled, heard, and determined in front of CAT.
The Regulations regulated the daily operations of the tribunal – the filing of documents, submissions of pleadings, the service of notice, hearings, records and judgment, the provision of a comprehensive and transparent competition law appellate procedure.
What Was the Reason behind the Initiation of Competition Appellate Tribunal (Procedure) Regulations, 2011?
The introduction of the Competition Act 2002 as a means of appealing CCI decisions created a necessity to have a clear procedure on how to approach the appeals and the applications thereof. The Competition Appellate Tribunal (Procedure) Regulations, 2011 have been brought in to:
● Standardize the appeal and compensation applications filing procedures.
● Make sure that the proceedings are conducted in an orderly manner with specific steps and schedules.
● Be transparent on documentation procedures, services, hearings and judgment.
● Calibrate tribunal processes with provisions of natural justice and be versatile and efficient.
Who Does Competition Appellate Tribunal (Procedure) Regulations, 2011 Apply To?
These procedural laws were applicable to:
● Individuals who disputed decisions, directions or orders of the CCI pursuant to Section 53B of the Competition Act, 2002.
● The respondents, the CCI, and other interested parties.
● Competition appeals involve legal representatives or authorised representatives of companies, firms, associations, statutory or other bodies, or individuals interested in competition appeals.
● Registry of the Tribunal– for registering appeals, keeping records and serving documents.
What Are the Key Provisions?
An outline of the key procedural guidelines in the Regulations would be as follows:
1. Definitions & Scope (Regulation 2)
Explains such important terminologies as, appeal, appellant, application, Tribunal, Registrar, etc., to ensure that there is no confusion during the processes.
2. Language of Tribunal (Regulation 3)
The proceedings should be in English. The other languages should be translated into documents and attested.
3. Sittings and Official Seal (Regulations 4 & 5)
The Tribunal sits regularly in New Delhi with an official seal on such notices, orders and judgments.
4. The Registrar functions (Regulation 6).
The Registrar:
● Registers appeals/applications,
● Maintains records,
● In case of necessity before the Supreme Court, represents the Tribunal.
● Carries out other instructions of the Chairperson.
5. Registration & Scrutiny (Regulation 7)
Applications/ appeals should be authenticated with affidavits and should support certified copies of CCI orders. Before registration, defects are corrected.
6. Pleadings (Regulation 8)
Pleadings should be taken in both hard copies and soft copies to the Tribunal and respondents. Follow-up documents require the Tribunal permission.
7. Service of Documents (Reg.) 9.
Notices and papers can also be delivered through post, courier or email to the parties or their agents.
8. Hearings/Adjournments (Regulations 10 and 11).
The Tribunal has the ability to adjourn hearings based on sufficient reason although adjournments are usually limited. In case of the absence of a party, it can also proceed ex-parte.
9. Custody & Inspection of Records (Regulations 12 and 13)
All the records are retained by the Tribunal. Parties may view or get certified copies on application and fees. There are no charges on the inspection of government officers.
10. Judgments & Rectification (Regulations 14 and 15)
The Chairperson and Members sign and date the Judgments. The Tribunal has the ability to correct clerical errors at any point.
11. Interpretation (Regulation 16)
The Chairperson is free to interpret or amend procedures in the event of uncertainty and the reasoning should be documented.
How Does It Work in Practice?
The following is the operation of these regulations under litigation:
● Appeal Filing – Appeal by the appellant is done with an affidavit, certified copy of the CCI order, and copies of the same.
● Scrutiny & Registration– The Registrar ensures compliance and also registers the appeal.
● Service of Notices – notices are sent to respondents together with copies of the appeal.
● Pleadings and Hearings – The Tribunal listens to arguments by filing documents, conducting hearings, adjournment and considering hearings.
● Maintenance and Judgment of Records – Records are maintained in a safe manner, and judgments are issued with signed orders.
This systematic procedure aided in rationalizing competition appellate litigation in front of CAT until the time when it was incorporated into NCLAT.
What are the Implications of this on Companies or individuals?
Competition disputes played to the advantage of companies, individuals and legal professionals taking part in competition disputes.
● Elimination of uncertainty in appeal processes.
● Equity and openness during hearings and access of records.
● Effective processing of cases having specific steps and fewer procedural ambiguities.
● Well defined standards of documentation and service procedures, lessening dispute on technical defects.
Example
Imagine that Company A is not content with a penalty order that is issued by the CCI.
● It prepares an appeal in the English language including an affidavit and copy of the order certified.
● The Registrar reviews the appeal, registers the appeal and gives notice to the CCI.
● During the hearing the counsel of Company A does its arguing.
● The Tribunal makes a judgment which is signed by the Chairperson and Members.
This case illustrates the flow of the practicality within the regulations.
The reason behind this Act / Rule significance in NCLT / NCLAT cases.
These Regulations are still relevant even following the establishment of National Company Law Appellate Tribunal (NCLAT). The procedural framework as initially established by CAT has formed the foundation of the current appellate practice under NCLAT on competition issues except when revised.
FAQs
Q1. Are these regulations applicable to matters that happened after the formation of NCLAT?
Yes. Procedural principles on these Regulations remain applicable as part of the transitional rules of appeals to competition under NCLAT.
Q2. In what language are appeals to be filed in?
The appeals should be submitted in English. This permits only attested and countersigned translation.
Q3. Does this mean that the Tribunal can continue in the absence of one of the parties?
Yes, the Tribunal can act ex-parte in the event that one of the parties does not appear during the hearing date.
Q4. Who keeps the records of the Tribunal?
The Registrar keeps all the records and secures their custody.
Q5. Are mistakes in a judgment remediable?
Yes, any inadvertent clerical or arithmetical errors may be remedied at all times by the Tribunal.
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