presentation on suggestions from the team of officers who participated in the advanced training...
TRANSCRIPT
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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
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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
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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
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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
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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
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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
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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.
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Actionable points for the Office of DG
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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 .
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Templates
• For Initial notice seeking information.
• For Request for Information.
• For Summons.
Preparation of Investigation manual.
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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.
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Legislative Requirements • Amendments in the Competition Act so that the Commission/DG may authorize the officers
to visit business/residential premises for inspection.