PRESENTATION ON

Suggestions from the team of officers who participated in the Advanced Training Program conducted by European DG Competition between 28.09.09 to 02.10.09

SANCTIONED STRENGTH

• The proposed work distribution is based on the current sanctioned strength of CCI:

• Professional Staff• Advisers = 8• Directors = 12• Jt. Directors = 24• Dy. Dir. = 46• • Support Staff• Jt. Director = 2• Dy. Dir. = 7• Asst. Dir. = 21• Office Manager = 25

Creation of functional Divisions / Directorates for workflow management

There should be organised Divisions headed by an Advisor for each of the following subjects.

Operations Directorates• AT = Anti Trust (S. 3 / 4) : 3 Directors would function under 1 Adviser• ROC = Regulation of Combinations (S. 5 / 6) : 4 Directors would function under 2

Adviser 2• LEGAL = Legal advice / vetting : 1 Director would function under 1 Adviser• RPRL = Rectifications, Penalties /Recovery / Litigation : 1 Director would function

under 1 AdviserNon Operations Directorate• ICAP = International Cooperation, Advocacy, Policy : 1 Director would function

under 1 Adviser• RA & CB = Research / Analysis & Capacity Building : 1 Director would function

under 1 Adviser• Support = HR, Services, ICT, Records, Registry, Archiving : 1 Director would

function under 1 Adviser

CASE HANDLING UNITS

• Operations Directorates like AT or ROC Directorates should function through Case

Handling Units (CHUs) which may handle a specific case or a combination of cases

• AT and ROC Directorates would have at least 2 CHUs each headed by a Case

Manager of Jt. Director rank

• One CHU (under a Jt. Director) should have 2-3 Dy. Directors who would function

as Case Handlers and 1 – 2 support staff as per project need

• In case of very large or complex cases officers from other CHUs / Directorates may

be seconded to the particular CHU handling the cases

• Similarly, consultants / contractual workers / IT experts may be also attached to a

particular CHU for some projects / cases as required

• Officers can be transferred between CHUs or Directorates by the Commission

every 2-3 years so as to impart cross-sector expertise

WORK FLOW MANAGEMENT

• On receipt of any information or formal complaint in the Commission the Secretary would assign the Project / case / class of cases to the concerned Adviser also conveying the time frame for completing the processing

• The concerned Adviser would assign the case to one of the Operations Directorates / Case Handling Unit which would process cases, make necessary preliminary inquiries or gather such facts as the Commission may direct them to, from time to time

• Advisers would report to the Commission through the Secretary or directly to any Member to whom a subject may be delegated by the Chairman

• In case the Commission refers any matter to the DG, the concerned Operations Directorate would take the follow up action on behalf of the Commission and, on receipt of a report from the DG, it would examine them in the light of directions from the Commission and put up the report

• Wherever necessary, the concerned Directorate would take help / advice from Legal Directorate or RA & CB Directorates

• RPRL Directorate would assist the Commission in matters emanating from the Commission’s orders, such as rectification of mistakes, litigation, penalties and recovery of dues

REGISTRY FUNCTION

• Broadly divided into Case Registry (for case-related documents / correspondence) and

General Registry (for general / admin documents / correspondence)

• Single point receipt and dispatch

• Generation of unique “Case Number” or file number (for non-case related matter)

• Generation of unique “Employee Code” that would determine assignment and access

levels

• Scanning of all documents pertaining to a case file and loading it to the virtual file

system (to be developed)

• Managing access and control for case documents

• File tracking and related MIS

• Creation and maintenance of physical records / files for archiving

• Archive management

• Managing confidentiality and case related information sharing

CONFIDENTIALITY

• It is proposed that Standard Operating Procedures for case handling and

documentation may be created. These should keep in mind the following facts

• Parties to identify business secret or the material as confidential and give reasons.

• To file a non confidential version of the confidential information.

• Non confidential version should enable any party with access to the file to prepare

for its defense.

• Registry to mark confidential / non-confidential documents in the virtual file in

consultation with Case Handling Units and Legal Directorate.

Actionable points for the Office of DG

Proposed Organizational Structure – As per sanctioned Strength in terms of GSR 338(E) dated 15.05.2009 approved by the Government

Sanctioned strength – 41 (Necessity of immediate filling up of posts) Proposed structure

Director General

Addl. DG-Case Management Unit-1

Addl. DG – Case Management Unit -2

Addl. DG – Case Management Unit -3

Jt. DG Jt. DG Jt. DG

Addl. DG –Case Management

Unit - 4

Jt. DG Jt. DG Jt. DG Jt. DG Jt. DG

Joint DGs shall be the case handlers in each of the 4 Units and the Deputy Directors shall be among case team members. Addl. DGs shall be the Case Managers/overall in charge of cases assigned to Units. 3 Deputy Directors in each Units. Office Managers attached with each of the 4 case Units. Mix of persons having background of Investigation, Law, Economics and Financial Analysis .

Templates

• For Initial notice seeking information.

• For Request for Information.

• For Summons.

Preparation of Investigation manual.

Infrastructural Requirements • Office of DG must be located in building which is secure.

• DG Office must be housed in the same premises as that of Commission for centralized e- registry implementation.

• Access to the entry in the office must be restricted. Preferably one point entry with adequate security measures.

• Investment in Forensic I.T.- Budget of E.C. in 2006 was 100,000 Euro including hardware, software and training.

• Compactors/Fire proof file cabinets in room of each officer - at present files are kept in the wooden cabinets, which are not safe.

• Dedicated separate Phone lines with instruments having ID Facilities so that numbers of persons calling from outside may be recognized.

• Dedicated fax lines to the officers ( upto the level of Deputy Directors ) so that access to confidential information is restricted.

• Paper Shredder Machines in room of the officers.

Legislative Requirements • Amendments in the Competition Act so that the Commission/DG may authorize the officers

to visit business/residential premises for inspection.