1. 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

2. 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

3. 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 Adviser Non 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

4. COMMISSION / MEMBER / SECRETARY ADV. I DIR. AT I JT. DIR. + CHU 1 JT. DIR. + CHU 2 DIR. AT II JT. DIR. + CHU 1 JT. DIR. + CHU 2 DIR. AT III JT. DIR. + CHU 1 JT. DIR. + CHU 2 ADV. II DIR. ROC I JT. DIR. + CHU 1 JT. DIR. + CHU 2 DIR. ROC II JT. DIR. + CHU 1 JT. DIR. + CHU 2 ADV. III DIR. ROC III JT. DIR. + CHU 1 JT. DIR. + CHU 2 DIR. ROC IV JT. DIR. + CHU 1 JT. DIR. + CHU ADV. IV DIR. LEGAL ADV. V DIR. RPRL ADV. VI DIR. ICAP ADV. VII DIR. RA & CB ADV. VIII DIR. SUPPORT

5. Adviser Director Jt. Director Case Handling Unit 1 1 Dy. Dir. + Support Staff / Expert consultants seconded Case Handling Unit 2 1 Dy. Dir. + Support Staff / Expert consultants seconded Jt. Director 2 Case Handling Units Director Jt. Director 2 Case Handling Units Jt. Director 2 Case Handling Units

6. 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

7. 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

8. 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

9. 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.

10. Actionable points for the Office of DG

11. 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 Addl. DG –Case Management Unit - 4 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.

12. Templates For Initial notice seeking information. For Request for Information. For Summons. Preparation of Investigation manual.

13. 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.

14. Legislative Requirements Amendments in the Competition Act so that the Commission/DG may authorize the officers to visit business/residential premises for inspection.