SCHEDULES
SCHEDULE 3 Excepted Agreements
Agreements for statutory purposes
1
1
This Act does not apply to an agreement which is expressly authorised by an enactment, or by any scheme, order or other instrument made under an enactment.
2
This Act does not apply to an agreement which constitutes or forms part of a scheme certified by the Secretary of State under Chapter V of Part XIV of the M1Income and Corporation Taxes Act 1970 (which relates to schemes for rationalising industry).
3
Sub-paragraphs (1) and (2) above have effect in relation to any agreement notwithstanding any order under section 11 or section 12 above.
Exclusive dealing
2
This Act does not apply to an agreement for the supply of goods between two persons, neither of whom is a trade association, being an agreement to which no other person is party and under which no such restrictions as are described in section 6(1) above are accepted or no such information provisions as are described in section 7(1) above are made other than restrictions accepted or provision made for the furnishing of information—
a
by the party supplying the goods, in respect of the supply of goods of the same description to other persons; or
b
by the party acquiring the goods, in respect of the sale, or acquisition for sale, of other goods of the same description.
Know-how about goods
3
This Act does not apply to an agreement between two persons (neither of whom is a trade association) for the exchange of information relating to the operation of processes of manufacture (whether patented or not) where—
a
no other person is party to the agreement; and
b
no such restrictions as are described in section 6(1) above are accepted or no such information provisions as are described in section 7(1) above are made under the agreement except in respect of the descriptions of goods to be produced by those processes or to which those processes are to be applied.
Trade marks
F24
1
This Act does not apply to an agreement authorising the use of a registered trade mark (other than a collective mark or certification mark) if no such restrictions as are described in section 6(1) or 11(2) above are accepted, and no such information provisions as are described in section 7(1) or 12(2) above are made, except in respect of—
a
the descriptions of goods bearing the mark which are to be produced or supplied, or the processes of manufacture to be applied to such goods or to goods to which the mark is to be applied, or
b
the kinds of services in relation to which the mark is to be used which are to be made available or supplied, or the form or manner in which such services are to be made available or supplied, or
c
the descriptions of goods which are to be produced or supplied in connection with the supply of services in relation to which the mark is to be used, or the process of manufacture to be applied to such goods.
2
This Act does not apply to an agreement authorising the use of a registered collective mark or certification mark if—
a
the agreement is made in accordance with regulations approved by the registrar under Schedule 1 or 2 to the Trade Marks Act 1994, and
b
no such restrictions as are described in section 6(1) or 11(2) above are accepted, and no such information provisions as are described in section 7(1) or 12(2) above are made, except as permitted by those regulations.
Patents and registered designs
5
1
Subject to sub-paragraphs (4) to (8) below, this Act does not apply—
a
to a licence granted by the proprietor or a licensee of a patent or registered design, or by a person who has applied for a patent or for the registration of a design;
b
to an assignment of a patent or registered design, or of the right to apply for a patent or for the registration of a design; or
c
to an agreement for such a licence or assignment;
being a licence, assignment or agreement such as is described in sub-paragraph (2) or sub-paragraph (3) below.
2
The licence, assignment or agreement referred to in sub-paragraph (1) above is in relation to Part II of this Act one under which no such restrictions as are described in section 6(1) above are accepted or no such information provisions as are described in section 7(1) above are made except in respect of—
a
the invention to which the patent or application for a patent relates, or articles made by the use of that invention; or
b
articles in respect of which the design is or is proposed to be registered and to which it is applied;
as the case may be.
3
The licence, assignment or agreement referred to in sub-paragraph (1) above is in relation to Part III of this Act one under which—
a
in the case of an order under section 11 above, no restrictions in respect of matters specified in the order for the purposes of subsection (1)(b) of that section are accepted except in respect of the invention to which the patent or application for a patent relates; or
b
in the case of an order under section 12 above, no information provision with respect to matters specified in the order for the purposes of subsection (1)(b) of that section is made except in respect of that invention.
4
No licence, assignment or agreement is by virtue of sub-paragraph (1) above precluded from being an agreement to which this Act applies if—
a
it is a patent or design pooling agreement; or
b
it is a licence, assignment or agreement granted or made in pursuance (directly or indirectly) of a patent or design pooling agreement.
5
In this paragraph, subject to sub-paragraph (8) below, “patent or design pooling agreement” means an agreement—
a
to which the parties are or include at least three persons (in this and the following sub-paragraph the “principal parties”) each of whom has an interest in one or more patents or registered designs, and
b
by which each of the principal parties agrees, in respect of patents or registered designs in which he has an interest, or in respect of patents or registered designs in which he has or may during the currency of the agreement acquire an interest, to grant such an interest as is mentioned in sub-paragraph (6) below.
6
The grant referred to in sub-paragraph (5) above is—
a
of an interest in one or more such patents or registered designs to one or more of the other principal parties, or to one or more of those parties and to other persons; or
b
of an interest in at least one such patent or registered design to a third person for the purpose of enabling that person to grant an interest in it to one or more of the other principal parties, or to one or more of those parties and to other persons;
and “interest”, in relation to a patent or registered design, means an interest as proprietor or licensee of the patent or registered design or an interest consisting of such rights as a person has by virtue of having applied for a patent or for the registration of a design or by virtue of having acquired the right to apply for a patent or for the registration of a design.
7
For the purposes of sub-paragraphs (4) to (6) above, a licence, assignment or agreement—
a
shall be taken to be granted or made directly in pursuance of a patent or design pooling agreement if it is granted or made in pursuance of provisions of that agreement such as are mentioned in sub-paragraph (6)(a); and
b
shall be taken to be granted or made indirectly in pursuance of a patent or design pooling agreement if it is granted or made by a third person to whom an interest has been granted in pursuance of provisions of that agreement such as are mentioned in sub-paragraph (6) (b)
8
In relation to any interest held by or granted to any two or more persons jointly, sub-paragraphs (5) and (6) apply as if those persons were one person by whom the interest is held or to whom it is granted, and accordingly those persons shall be treated for the purposes of those sub-paragraphs as together constituting one party.
9
In this paragraph, references—
a
to an assignment mean, in relation to Scotland, an assignation;
b
to the registration of designs have effect only in relation to Part II.
Copyrights
F35A
1
This Act does not apply to—
a
a licence granted by the owner or a licensee of any copyright;
b
an assignment of any copyright; or
c
an agreement for such a licence or assignment;
being a licence, assignment or agreement such as is described in sub-paragraph (2) or sub-paragraph (3) below.
2
The licence, assignment or agreement referred to in sub-paragraph (1) above is in relation to Part II of this Act one under which no such restrictions as are described in section 6(1) above are accepted or no such information provisions as are described in section 7(1) above are made except in respect of the work or other subject-matter in which the copyright subsists or will subsist.
3
The licence, assignment or agreement referred to in sub-paragraph (1) above is in relation to Part III of this Act one under which—
a
in the case of an order under section 11 above, no restrictions in respect of matters specified in the order for the purposes of subsection (1)(b) of that section are accepted except in respect of the work or other subject-matter in which the copyright subsists or will subsist; or
b
in the case of an order under section 12 above, no information provision with respect to matters specified in the order for the purposes of subsection (1)(b) of that section is made except in respect of that work or other subject-matter.
4
In relation to Scotland references in this paragraph to an assignment mean an assignation.
F4Design right
5B
1
This Act does not apply to—
a
a licence granted by the owner or a licensee of any design right,
b
an assignment of design right, or
c
an agreement for such a licence or assignment,
if the licence, assignment or agreement is one under which no such restrictions as are described in section 6(1) above are accepted, or no such information provisions as are described in section 7(1) above are made, except in respect of articles made to the design; but subject to the following provisions.
2
Sub-paragraph (1) does not exclude a licence, assignment or agreement which is a design pooling agreement or is granted or made (directly or indirectly) in pursuance of a design pooling agreement.
3
In this paragraph a “design pooling agreement” means an agreement—
a
to which the parties are or include at least three persons (the “principal parties”) each of whom has an interest in one or more design rights, and
b
by which each principal party agrees, in respect of design right in which he has, or may during the currency of the agreement acquire, an interest to grant an interest (directly or indirectly) to one or more of the other principal parties, or to one or more of those parties and to other persons.
4
In this paragraph—
“assignment”, in Scotland, means assignation; and
“interest” means an interest as owner or licensee of design right.
5
This paragraph applies to an interest held by or granted to more than one person jointly as if they were one person.
6
References in this paragraph to the granting of an interest to a person indirectly are to its being granted to a third person for the purpose of enabling him to make a grant to the person in question.
Agreements as to goods with overseas operation
6
1
This Act does not apply to an agreement in the case of which all such restrictions as are described in section 6(1) above, or all such information provisions as are described in section 7(1) above, relate exclusively—
a
to the supply of goods by export from the United Kingdom;
b
to the production of goods, or the application of any process of manufacture to goods, outside the United Kingdom;
c
to the acquisition of goods to be delivered outside the United Kingdom and not imported into the United Kingdom for entry for home use; or
d
to the supply of goods to be delivered outside the United Kingdom otherwise than by export from the United Kingdom;
and subsections (2) and (4) of section 8 above do not apply in relation to recommendations relating exclusively to those matters.
2
The Court’s jurisdiction mentioned in section 1(3) above does not extend to restrictions or to information provisions in respect of matters described in paragraphs (b) to (d) of sub-paragraph (1) above.
Exclusive supply of services
7
This Act does not apply to an agreement to which there are no parties other than one person who agrees to supply services and another person for whom they are to be supplied, where neither of those persons is, in relation to any order under Part III of this Act, a services supply association and, except in respect of the supply of services of the same description to, or obtaining services of the same description from, other persons—
a
in the case of an order under section 11 above, no restrictions are accepted under the agreement by those parties in respect of matters specified in the order for the purposes of subsection (1)(b) of that section; or
b
in the case of an order under section 12 above, no information provision is made under the agreement with respect to matters specified in the order for the purposes of subsection (1)(b) of that section.
Know-how about services
8
This Act does not apply to an agreement between two persons (neither of whom is a services supply association) for the exchange of information relating to techniques or processes to be applied in the provision of designated services where—
a
no other person is party to the agreement; and
b
all such restrictions as are mentioned in section 11(1)(b) above which are accepted under the agreement relate exclusively to the form or manner in which services incorporating those techniques or processes are to be made available or supplied.
Agreements for supplying services with overseas operation
9
1
This Act does not apply to an agreement where—
a
in the case of an order under section 11 above, all such restrictions as are accepted under the agreement in respect of matters specified in the order for the purposes of subsection (1)(b) of that section (or, in a case falling within section 16(3) above, all the recommendations referred to in that subsection) relate to the supply of services outside the United Kingdom or to the supply of services to persons or in relation to property (of any description, whether movable or immovable) outside the United Kingdom; or
b
in the case of an order under section 12 above, all such provision as is made under the agreement for or in relation to the furnishing of information with respect to matters specified in the order for the purposes of subsection (1)(b) of that section (or, in a case falling within section 16(5), every such recommendation as is referred to in that subsection) relates to the supply of services as mentioned in paragraph (a) above.
2
The Court’s jurisdiction mentioned in section 1(3) above does not extend to restrictions or to information provisions—
a
in respect of the supply of services outside the United Kingdom; or
b
in respect of the supply of services to persons or in relation to property (of any description, whether movable or immovable) outside the United Kingdom.
Sch. 3 para. 5B inserted by Copyright, Designs and Patents Act 1988 (c. 48, SIF 67A), s. 303(1), Sch. 7 para. 18(3)