STRATEGIC PLAN

(2017/2018 – 2020/2021)

ISO 9001:2015 CERTIFIED

FOREWORD......................................................................................................................i

PREFACE......................................................................................................................... iii

EXECUTIVE SUMMARY ..............................................................................................v

CHAPTER 1: INSTITUTIONAL REVIEW .................................................................1

1.1 Background….. ..............................................................................................1

1.2 Rationale for Strategic Planning ..................................................................1

1.3 Governance Structure ...................................................................................2

1.4 Management Structure .................................................................................3

1.5 Current and Projected Staff Establishment ...............................................5

1.6 Preparation of the Strategic Plan ................................................................5

1.7 Organization of the Strategic Plan ..............................................................6

CHAPTER 2: REVIEW OF THE PREVIOUS STRATEGIC PLAN ....................... 7

2.1 Introduction….. ............................................................................................ 7

2.2 Objectives of Previous Strategic Plan ........................................................ 7

2.3 Performance of the Previous Strategic Plan ..............................................7

CHAPTER 3: ENVIRONMENTAL REVIEW .......................................................... 10

3.1 Introduction….. .......................................................................................... 10

3.2 PESTEL Analysis ........................................................................................ 10

3.3 SWOT Analysis.............................................................................................14

3.4 Risk Analysis/Management ...................................................................... 15

3.5 Stakeholder Analysis ................................................................................. 16

CHAPTER 4: STRATEGIC THEMES, OBJECTIVES AND ACTIVITIES FOR

THE PERIOD 2017/18 – 2020/2021 .............................................................................17

4.1 Introduction….. .......................................................................................... 17

4.2 THEME 1: DELIVER EFFECTIVE ENFORCEMENT ........................... 17

4.3 THEME 2: CONSUMER PROTECTION .................................................18

4.4 THEME 3: PLANNING, RESEARCH AND QUALITY ASSURANCE

.......................................................................................................................19

4.5 THEME 4: VISIBILITY AND CORPORATE IMAGE ............................ 21

4.6 THEME 5: ORGANIZATIONAL SUSTAINABILITY ........................... 21

TABLE OF CONTENTS

CHAPTER 5: REVENUE SOURCES AND IMPLEMENTATION COST............ 23

5.1 Estimated Budget Expenditure ................................................................ 23

5.2 Projected Revenue Sources ....................................................................... 24

CHAPTER 6: MONITORING AND EVALUATION ............................................. 26

6.1 Performance Questions and Indicators ................................................... 26

6.2 Baseline……. ............................................................................................... 30

6.3 Reporting……. ............................................................................................ 30

6.4 Results Evaluation ...................................................................................... 31

6.5 Review……… .............................................................................................. 31

APPENDIX I: RESULTS MATRIX ............................................................................. 32

APPENDIX II: IMPLEMENTATION MATRIX .......................................................36

APPENDIX III: MONITORING & EVALUATION REPORTING TEMPLATE

............................................................................................................................................49

Strategic Plan (2017/2018 – 2020/2021)

Figure 1: Authority’s Organizational Structure ........................................................ 4

Table 1: Staff establishment ......................................................................................... 5

Table 2: PESTEL Analysis ............................................................................................ 13

Table 3: SWOT Analysis ............................................................................................... 14

Table 4: Risk Analysis ................................................................................................... 15

Table 5: Stakeholder Analysis ..................................................................................... 16

Table 6: Budget Estimates ............................................................................................ 24

Table 7: Revenue Sources ............................................................................................. 24

Table 8: Performance Questions .................................................................................. 30

LIST OF TABLES

BCP Business Continuity Plan.

BP Buyer Power

CAATS Computer Assisted Audit Tools.

CAK Competition Authority of Kenya.

COMESA Common Market for Eastern and Southern Africa.

CPD Consumer Protection Department.

C&ER Communications & External Relations.

CSR Corporate Social Responsibility.

DRP Disaster Recovery Plan.

EAC East Africa Community.

E&C Enforcement & Compliance.

ERP Enterprise Resource Planning.

FDI Foreign Direct Investments.

HR&A Human Resource & Administration.

IA Internal Audit.

ICT Information &Communication Technology.

IPSAS International Public Sector Accounting Standards.

ISO International Standardization Organization.

LSK Law Society of Kenya.

M&A Mergers and Acquisitions.

M&E Monitoring and Evaluation.

MOU Memorandum of Understanding.

MTEF Medium Term Expenditure Framework.

MTP Medium Term Plan.

ODPP Office of the Director of Public Prosecution.

REC Regional Economic Communities.

RQA Risk and Quality Assurance

RTP Restrictive Trade Practices.

PFM Public Financial Management.

PPR Planning, Policy & Research.

PESTEL Political, Economic, Social, Technological, Environment, and Legal.

PMR Product Market Regulation.

QMS Quality Management System.

SADC Southern Africa Development Community.

SCAC State Corporations Advisory Commi�ee.

SDG Sustainable Development Goals.

SMART Specific, Measurable, Achievable, Realistic, and Time-bound.

SWOT Strengths, Weaknesses, Opportunities, and Threats.

TOR Terms of Reference.

ABBREVIATIONS

It is my pleasure and honour to present

the Competition Authority of Kenya's

(“the Authority”) Strategic Plan

2017/18 – 2020/2021, laying down the

organization's four-year plan. Strategic

Plans are critical for organizations since

they offer a reference point, based upon

which activities can be undertaken

systematically and pro-actively

moni tored and eva luated . The

Authority's first Strategic Plan 2013/14-

2016/17 was unveiled in November

2013. The Plan achieved a number of

remarkable milestones aimed at

realizing the Authority's Vision. These

include; developing and implementing

guidelines and toolkits on competition

e n f o r c e m e n t a n d c o m p l i a n c e ,

conducting market inquiries and

sector-specific research studies,

handling of consumer cases, analysing

and concluding numerous mergers and

acquisitions, informing creation of

national, regional and international

networks, internal staff capacity

development, among others.

The exemplary performance recorded

by the Authority was as a result of the

u n wa ve r i n g s u p p o r t f r o m o u r

stakeholders, especially our parent

Ministry and development partners.

The Board, Management and Staff were

equally instrumental in enabling the

Authority execute its mandate. During

the life of the Strategic Plan 2013/14-

2016/17, Kenya's economic and

investment climate transformed

significantly.

This growth is partly a�ributable to

developments in the innovation and

technology space, coupled with an

increase in the bilateral and multilateral

trade agreements between Kenya and

other countries that have spurred

investments locally. Evolution in the

g loba l bus iness l andscape has

influenced application of competition

law and policy in the Kenyan market as

well as enforcement of consumers'

rights.

To enable the Authori ty tackle

emerging competition issues, the

Competition Act No. 12 of 2010 was

amended, enhancing the Authority's

enforcement capacity. As a result, the

A u t h o r i t y wa s e m p o w e r e d t o

undertake more effective market

inquiries, exclude mergers with benign

competition effect and investigate

abuse of buyer power. Equally, the

Authority's consumer protection

mandate was augmented, giving the

Authority the capacity to adequately

a d d r e s s e m e r g i n g c o n s u m e r

complaints.

Further, and in response to these

emerging issues, the Authority has

developed its second Strategic Plan

covering the period 2017/18 – 2020/21.

This Strategic Plan is anchored on

Kenya's main development blueprints;

the Constitution of Kenya 2010, Big

Four Agenda, MTP III, Kenya Vision

2030 and the Sustainable Development

Goals. These blueprints were taken into

account in designing the Authority key

FOREWORD

i

thematic areas for the next four years.

The current Strategic Plan builds on the

previous Plan's successes, factoring in

the lessons learnt in its design and

implementation plan, including

strategies to overcome the identified

potential challenges in the coming four

years.

The Authority is commi�ed to actualiz-

ing this Strategic Plan which envisions

among others; deepening efficiency by

monitoring and reviewing the requisite

organizational policies and operational

procedures to enable the staff to

maximize their potential during the

implementation period. The Authority

will continue adhering to the principles

of good governance and the core values

of the organization, which fortify team

spirit and enhance the working envi-

ronment necessary for delivering on

the aspirations of the new Strategic

Plan.

Finally, I would like to recognize the

dedication and commitment of my

f e l l o w B o a r d m e m b e r s , t h e

Management Team and the entire Staff

throughout the planning process, and

for tirelessly working on, and deliver-

ing this document. I am persuaded that

in the same manner that the team had

myriads of success stories in the imple-

mentation of the first Strategic Plan, we

shall successfully implement this Plan

as we work towards our vision and

fulfil our mission.

David Otieno Ong'olo, MBS

BOARD CHAIRMAN

Strategic Plan (2017/2018 – 2020/2021)

ii

The 2017/18 - 2020/21 Strategic Plan is

anchored on the success and lessons of

the previous Strategic Plan (2013/14-

2016/17). The Plan sets out outcome-

oriented goals and objectives which the

Authority will endeavour to achieve

and shall place greater emphasis on

delivering effective enforcement and

enhance the creation of efficient

markets for consumers.

Specifically, the second Strategic Plan

focuses on achievement of the Big 4

Economic Transformation Agenda. The

Big 4 Agenda is four-pronged; enhanc-

ing manufacturing's share of GDP from

9.2% to 20% by 2022; achieving 100%

food security and nutrition; availing

affordable housing and universal

health coverage.

To contribute to the achievement of the

Big 4 Agenda, the Authority will

conduct market inquiries to locate and

extinguish anti-competitive practices

impeding growth of the manufacturing

sector. The Authority will also advise

on the review of legislation on the

provision of professional services in the

country with the aim of increasing

competition and spurring growth of the

Big 4.Mortgage uptake in the country

remains low. The Authority plans to

review the terms and conditions of

these house ownership contracts to

ensure they are not prohibitive to

consumers. To support SMEs leasing

healthcare, agricultural and manufac-

turing equipment, the Authority will

advise on the framework to support the

Leasing Sector. This intervention is

expected to result in increased uptake

of this sector especially among the

SMEs. In addition, the Authority will

conduct investigations into possible

breaches of consumer rights in the food

sector as part of its contribution to

realisation of food security and nutri-

tion.

The Strategic Plan also takes into

c o n s i d e r a t i o n t h e S u s t a i n a b l e

Development Goals, the Kenya Vision

2030, the Constitution of Kenya as well

as sectoral blueprints aimed at promot-

ing socio - economic and political

development in the country.

The Plan is cognizant of the environ-

mental factors under which the

Authority operates in and has taken

these into account while formulating

the various strategies of achieving its

objectives in the next four years. The

process of developing the Strategic

Plan involved extensive internal and

external stakeholder participation and

consultation. The Authority conducted

various workshops, providing an

opportunity for Staff, Management and

Board to fully inform the development

of this Plan. The degree of engagement

in the process, and, the quality of

contribution ensured that the Plan

embedded the interests and focus of

stakeholders in ensuring and generat-

ing the necessary ownership and

commitment in its implementation.

The Plan therefore, provides a credible

cog for

PREFACE

iii

the realization of the Vision of a Kenyan

economy with globally efficient

markets and enhanced consumer

welfare.

The Authority recognizes that the onus

is on the Management Team to ensure

the successful implementation of the

Plan. Management will play a vital role

in guiding their respective Teams. To

support this process, the Authority has

institutionalized a Monitoring and

Evaluation (M&E) framework that will

ensure that progress on the implement-

ing of the deliverables set out in the

Plan is regularly tracked. As we embark

on the journey of implementing the

Plan and delivery of the highlighted

strategic objectives, we value the

support, goodwill, and commitment of

our stakeholders to ensure that we

achieve its objectives.

Lastly, we would like to thank the

Board members for their support in

developing this Strategic Plan. In

addition, we appreciate the commit-

ment and input of colleagues in the

development of the current Strategic

Plan. We are confident that we shall

successfully deliver on it as a team.

Wang'ombe Kariuki, MBS

DIRECTOR-GENERAL

Strategic Plan (2017/2018 – 2020/2021)

iv

The Competition Authority of Kenya

(“the Authority”) is a Statutory Agency

established under the Competition Act

No.12 of 2010 (“the Act”) . The

Authority's mandate is to enforce the

Act with the aim of enhancing the

welfare of the people of Kenya by

promoting and protecting effective

competition in markets and preventing

misleading market conduct in Kenya.

The Authority's 1stStrategic Plan

covered four (4) years (2013/2014 to

2016/2017). The review of the 1st

Strategic Plan identified the successes

secured and challenges faced during its

implementation, lessons which were

taken into account in preparation of

this 2nd Strategic Plan.

This Plan sets out the vision, mission,

the strategic themes, strategic objec-

tives, and key activities to deliver

output. In carrying out the institution's

environmental analysis, a couple of

strengths, weaknesses, opportunities,

and threats were identified that the

Authority should take cognisance of in

the realisation of its mandate and

achievement of its well-articulated

vision. Further, the Authority has

aligned its Strategic Plan to the Big 4

Economic Transformation Agenda.

The key strengths of the Authority

include a clear mandate spelt out in the

2016 amendments to the Competition

Act. Skilled staff with knowledge and

experience, well established working

networks with local and regional

stakeholders, established credibility on

c o m p e t i t i o n m a � e r s , a d e q u a t e

resources to execute mandate in line

with international standards based on

ISO 9001:2015 quality management

systems.

Its key opportunities include; develop-

ment of subsidiary legislations to

facilitate the implementation of

Competition Law, provision of advi-

s o r y s e r v i c e s t o g o v e r n m e n t ,

institutionalization of staff knowledge,

be�er knowledge management

practices, leveraging on technology to

improve efficiency and effectiveness,

expanding areas of focus such as Buyer

Power and competition in public

procurement, enhance investigation

capacity, operationalization of the

Competition Tribunal, a supportive

Legislature, cooperative sector regula-

tors, enhanced enforcement by coordi-

nating with other Regional Economic

Communities (RECs) and the Africa

Competition Forum (ACF).

The threats that may constrain the

operations of the Authority include:

competing needs at the Exchequer

negatively impacting on budgetary

allocation, potential change in key

stakeholders priorities during the

implementation of the Strategic Plan,

potential overlapping mandate with

other Sector regulators and RECs,

limited control over the timeliness in

the performance of some tasks due to

unreliable flow of critical information

from external sources, potential change

in government policy and related

regulatory challenges presented by

EXECUTIVE SUMMARY

v

emerging innovations. These include

issues such as online payments, finan-

cial technology (FinTech) among

others.

In this reviewed Strategic Plan period

covering 2017/2018 to 2020/2021, the

Authority will pursue five thematic

areas to achieve its mandate. These are

Del iver Effect ive Enforcement ;

Consumer Protection; Planning,

Research and Quality Assurance,

Visibility and Corporate Image and

Organizational Sustainability.

To ensure the achievement of its

o b j e c t i v e s , a M o n i t o r i n g a n d

Evaluation (M&E) Framework has been

developed and forms part of this

report. The M&E Framework contains

activities to deliver the expected

outputs with clear performance indica-

tors. The projected cost of implement-

ing activities in this Strategic Plan is

Kshs.3, 186.95 million which will be

funded primarily by the Exchequer,

internally-generated funds and grants

from Development Partners.

To del iver on i ts mandate , the

Authority has a clear vision and mis-

sion statement, supported by well-

articulated institutional core values

and a quality policy as follows;

VISION

“A Kenyan economy with globally

efficient markets and enhanced consumer

welfare for shared prosperity.”

MISSION

“To enhance competition and consumer welfare

in the Kenyan economy by regulating

market structure and conduct in order to ensure

efficient markets for sustainable

growth and development.”

Strategic Plan (2017/2018 – 2020/2021)

vi

CORE VALUES

i) commit to a�ain the highest standards in service delivery to all stakeholders in line

with ISO 9001:2015.

ii) commit to act in an honest, transparent and responsible manner while

implementing our programmes.

iii) are guided by professional ethics aimed at building an appropriate corporate

culture and creating the rights corporate image.

iv) uphold the highest levels of equity by treating all stakeholders without any

discrimination whatsoever.

v) adopt a participatory approach and work together at all levels in the conduct of

its business.

vi) are a learning organization that embraces change and continuously enhances

creativity and innovation in its business processes.

1. Customer focus

2. Integrity

3. Pro

fession

alism

4. Impartiality

5. Teamwork

6. I

nn

ov

atio

n

and

Cre

ativ

ity

The guiding principles in the operations of the Authority are:

Strategic Plan (2017/2018 – 2020/2021)

vii

QUALITY POLICY

“The Competition Authority of Kenya is commi�ed to enhance the welfare of the

people of Kenya by promoting and protecting effective competition in markets and

preventing unfair and misleading market conduct.

Towards this, the Authority commits to comply with all statutory and other applicable

requirements and to continual improvement of its Quality Management System based

on ISO 9001:2015 International Standard.

This Policy and the established quality objectives shall be reviewed to ensure their

continual suitability and adequacy, shall be communicated, understood and applied

throughout the organization and shall be available to relevant interested parties as

appropriate.

“Creating efficient markets

for consumers.”

MOTTO

viii

Strategic Plan (2017/2018 – 2020/2021)

i of 47viii

1.1 Background

The Authority is mandated to promote and safeguard competition in the national

economy and to protect consumers from unfair and misleading market conduct

throughout Kenya, in order to:

i) Increase efficiency in the production, distribution and supply of goods and

services;

ii) Promote innovation;

iii) Maximize the efficient allocation of resources;

iv) Protect consumers;

v) Create an environment conducive for both foreign and local investment;

vi) Capture national obligations in competition ma�ers with respect to regional

integration initiatives;

vii) Bring national competition law, policy and practice in line with the best interna-

tional practices, and;

viii) Promote the competitiveness of national undertakings in world markets.

1.2 Rationale for Strategic Planning

The process of strategic planning is aimed at identifying and selecting the most appro-

priate ways of utilising the organization's resources to achieve specified objectives,

while taking into account the external environment in which the organization operates.

The Authority's 2nd Strategic Plan (2017/2018 - 2020/2021) which covers the period

from 1st July 2017 to 30th June 2021, is also informed by the 1st Strategic Plan (2013/2014

- 2016/2017). This Plan sets out what the Authority intends to do in promoting efficient

markets and enhancing consumer welfare in the broader Kenyan society through

facilitating the government achieve its Big 4 Economic Transformation Agenda.

The Strategic themes outline the focus of the Authority for the next four (4) years.

Activities under each strategic objective are linked to performance indicators and

targets to assist the Authority assess progress in realizing its goals and objectives. The

Plan is guided by the Constitution of Kenya 2010, Kenya Vision 2030, Big 4 Economic

Transformation Agenda, the Global Sustainable Development Goals (SDGs), Medium

Term Expenditure Framework III (MTEF) and the Competition Act.

Building on the foundation of the first Strategic Plan, this Strategic Plan emphasizes

enforcement of competition, protecting consumer welfare, building capacity internally

to address emerging competition issues and creating linkages with academia, regula-

tors and other Competition Agencies regionally and internationally to enable the

CHAPTER 1

INSTITUTIONAL REVIEW

1 of 49

Authority effectively deliver on its mandate.

This Plan focuses on the following key broad areas:

i) Deepen enforcement of the competition law guided by Constitution of Kenya

2010, Kenya Vision 2030, Big 4 Agenda, the Global Sustainable Development

Goals (SDGs), Medium Term Expenditure Framework III (MTEF) and the

Competition Act.

ii) Removal of regulatory obstacles in key sectors of the economy that have an impact

on the larger population;

iii) Increase deterrence in the abuse of Buyer Power in order to strengthen the SMEs;

iv) Building capacity of consumer lobby groups to act as champions for consumer

rights;

v) Awareness creation on competition and consumer protection;

vi) Carry out inquiries, studies and research into competition ma�ers and consumer

welfare;

vii) Advise Government and Government agencies on competition and consumer

welfare issues;

viii) Innovations in managing internal resources to create a more self-sustaining

organization;

ix) Performance management; and;

x) Succession management through institutionalizing the culture of recruiting,

training and retaining the right personnel.

1.3 Governance Structure

The Authority is governed by a Board that is mandated to ensuring that the Authority's

obligations, roles and responsibilities to its various stakeholders are fulfilled through

sound corporate governance practices. The Board established under section 7 of the

Competition Act comprises of the Chairman, representatives from The National

Treasury, The A�orney General, The Ministry of Industry, Trade and Cooperatives,

Five (5) independent non-executive members and the Director General, as an ex-officio

member.

The Board has overall responsibility of ensuring that the Authority has in place policies,

procedures, and values which support the organization in its long-term planning

aimed at meeting its mission as well as carrying out the fiduciary duty of monitoring

and overseeing the activities of Management. To effectively execute its role, the Board

has constituted the following four (4) commi�ees namely: Technical and Strategy,

Human Resource, Audit and Finance.

Strategic Plan (2017/2018 – 2020/2021)

2 of 49

1.4 Management Structure

The Management of the Authority comprises of the Director General (DG), three

Directorates (Competition & Consumer Protection; Planning, Risk & Quality

Assurance; and Corporate Services) and five units (Communications & External

Relations, Supply Chain Management, Buyer Power, Legal and Internal Audit) that

directly report to the Director General. The Director General is responsible for the day-

to-day management of the Organization and reports to the Board.

The Competition Act Amendment in 2016 enhanced the statutory mandate and aligned

the Act with international best practices; strengthened enforcement capacity and

emboldened the Authority's ability to address emerging issues in the competition

terrain such as those posed by abuse of buyer power. The amendments provide

increased regulatory capacity for the Authority to be�er execute its consumer protec-

tion mandate, impose administrative penalties for Abuse of Dominance, among others.

This widened mandate will require more resources, both capital and human, in order to

implement the new provisions while also aligning the organizational structure to

enable the Authority deliver on its objectives.

Strategic Plan (2017/2018 – 2020/2021)

3 of 49

The Authority's current organizational structure is shown below;

Strategic Plan (2017/2018 – 2020/2021)

4 of 49

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1.5 Current and Projected Staff Establishment

The approved staff establishment under the current Authority's organizational

structure is ninety nine (99), with a ratio of seventy percent (70%) Technical and thirty

percent (30%) Support staff. The Authority had a total of sixty two (62) staff as at

November 2018.

The Table below highlights the recommended approved and actual staff establishment.

1.6 Preparation of the Strategic Plan

The Authority carried out a consultative process to come up with this Plan. This

involved:

i) Preparation of plans from different thematic (working) areas;

ii) Reviewing the Government's relevant policy documents and directives and

incorporating the same in the Plan;

iii) Carrying out an environmental scanning exercise through Political, Economic,

Social, Technological, Environment and Legal (PESTEL) Analysis, Risk

Assessment, as well as conducting a Strengths, Weaknesses, Opportunities and

Threats (SWOT) Analysis; and

iv) Obtaining valuable input from both the Board and Management.

Table 1: Staff establishment

Position

Establishment

In-post

Director General

1

1

Division Directors

3

3

Department Managers

13

9

Principal Officers/Analysts

18

7

Senior Analyst/Officers

17

14

Analysts/Officers

37

19

Administrative staff 5 5

Drivers and support staff 5 4

TOTAL 99 62

Strategic Plan (2017/2018 – 2020/2021)

5 of 49

1.7 Organization of the Strategic Plan

The Strategic plan is divided into the following chapters:

i) Chapter 1 – Introduction, CAK organizational Governance structure and staff

complement.

ii) Chapter 2 - Review and Gap analysis of previous Strategic Plan.

iii) Chapter 3 – Environmental Review that forms basis of the Strategic Plan.

iv) Chapter 4 – Strategic Themes, Objectives and related activities for the Strategic

Plan.

v) Chapter 5 – Revenue Sources and Activities budget for the Strategic Plan.

vi) Chapter 6 – Monitoring and Evaluation framework for assessing progress of

implementing the Strategic Plan.

vii) Annex – Results Framework.

viii) Annex II – Strategic Plan Implementation Matrix.

ix) Annex III – Monitoring and Evaluation (M&E) Reporting Template.

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2.1 Introduction

As indicated earlier, the Authority's 1st Strategic Plan covered four (4) years from

2013/2014 to 2016/2017. The objective of the review of the 1stPlan was to provide

insights into the achievements, challenges and highlight lessons for the development of

this Strategic Plan.

2.2 Objectives of Previous Strategic Plan

During the four year Plan period, the following strategic themes guided the operations

of the Authority:

i) Enforcement of Competition and Protection of Consumers;

ii) Research, Advocacy and Awareness Creation;

iii) Mobilization and Optimal Utilization of Resources;

iv) Infrastructure and Human Capital Development, and;

v) Visibility and Corporate Image.

These priority areas were further crystallized under the following five strategic

objectives:

i) To regulate anti-competitive practices and mergers, unwarranted concentration of

economic power, and practices that affect consumer welfare;

ii) To carry out market inquiries, advocacy and promote awareness;

iii) To mobilize adequate financial resources and enforce optimal utilization to ensure

financial sustainability of the Authority;

iv) To build adequate infrastructure and human capital capacity to enable the

Authority efficiently and effectively execute its mandate, and;

v) To enhance corporate image and visibility of the Authority.

2.3 Performance of the Previous Strategic Plan

The performance of the 1st Strategic Plan was evaluated against the five strategic

objectives above. A review of the implementation of the previous Strategic Plan indi-

cated that the Authority achieved about 90% of its planned activities as at April 2017,

which was earlier than the projected end of Plan's period.

2.3.1 Milestones and Achievements

Specifically, the key milestones achieved were:

i) Establishment of the Authority following enactment of the Competition Act.

ii) Development and operationalization of various guidelines, forms, toolkits and

CHAPTER 2

REVIEW OF THE PREVIOUS STRATEGIC PLAN

7 of 49

templates for mergers, enforcement, and consumer protection.

iii) Successfully analysed 497 mergers, handled over 180 consumer cases and investi-

gated over84Restrictive Trade Practices (RTP) cases.

iv) Completion of various research studies and market inquiries (Seed, Artificial

Insemination, Tea, Fertilizer, Unstructured Supplementary Service Data (USSD),

Banking Sector Phase I), and various advocacy initiatives.

v) Removal of regulatory obstacles in key sectors of the economy including tea,

Pyrethrum and Telecommunications sectors.

vi) Signing of multiple cooperation frameworks locally (Communications Authority,

Kenya Bureau of Standards, Central Bank of Kenya, Agriculture and Food

Authority, Weights and Measures, Insurance Regulatory Authority), and region-

ally (Common Market of Eastern and Southern Africa, Competition Commission

of South Africa) and internationally (Japan Fair Trade Commission).

vii) Enhanced cooperation and collaboration with other stakeholders locally, region-

ally and internationally.

viii) Development of frameworks for Risk Management, Knowledge Management,

Impact Assessment, and Monitoring & Evaluation.

ix) Development of various mechanisms of generating revenue internally such as

Merger filling fees and penalties and sourced for some funding from development

partners.

x) Facilitation of several staff skill improvement initiatives.

xi) Adoption of a Quality Management System (QMS) and a�ained ISO 9001:2008

certification.

xii) Procurement of adequate physical infrastructure and services for the Authority's

operations.

2.3.2 Challenge

During this period, the Authority faced a number of challenges including but not

limited to the following:

i) Low awareness of the mandate of the Authority amongst some stakeholders and

the general public.

ii) Information asymmetry–difficulty in access, cost of acquisition,and reliability of

information gathered from stakeholders for analysis affected the efficiency and

effectiveness in concluding some tasks.

iii) Budgetary constraints – the Authority has not been able to secure adequate fund-

ing for some of its planned activities due to the emerging competing needs at the

Exchequer.

iv) Regional competition environment – lack of a nexus point between National

competition agencies and Regional Economic Communities (RECs)has hampered

effective cooperation.

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v) Inadequate Knowledge Management system for collection, analysis and dissemi-

nation of information.

vi) Inadequate mechanisms to strengthen dialogue and advocacy at the County

Governments.

vii) Low automation levels of the Authority's core processes.

viii) Staff skills – some departments do not have adequate specialized skills such as

forensics, merger simulation and research analysis therefore hampering their

ability to efficiently and effectively deliver on specific tasks.

2.3.3 Lessons Learned

The lessons learned from the 1stStrategic Plan point to the need to:

i) Create and increase awareness amongst key stakeholders on competition ma�ers.

ii) Enhance cooperation with key stakeholders to improve tasks execution and

information sharing.

iii) Create awareness at County level on the Authority's mandate which is critical in

entrenching Competition at the County levels.

iv) Harmonize the law between National Agencies and RECs with clear engagement

frameworks to enhance cooperation.

v) Review the Competition Act to improve the effectiveness of competition adminis-

trative remedies.

vi) Prioritize activities to be implemented through the Annual Work Plans.

vii) Review and align guidelines, manuals, forms and toolkits to the changing market

and legal environment.

viii) Adopt the use of Information Technology (IT)to automate processes including but

not limited to: Forensic Analysis, Merger Simulation, Econometrics, Research

Analysis, Human Resource, Knowledge Management, Audit, Financial

Management and Procurement.

ix) Deepen capacity in resource mobilization for organizational sustainability.

x) Develop career progression framework and operationalize the Succession and

Talent

Management guidelines.

xi) Review the organization structure in the light of CAK's mandate and the scope of

responsibilities envisaged.

xii) Develop a Business Continuity Management Framework.

xiii) Build staff capacity in research and various specialization areas.

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Strategic Plan (2017/2018 – 2020/2021)

3.1 Introduction

The Authority's Strategic Plan environmental review has been conducted within a

global context which is experiencing protectionism in some economies and similarly a

push for Regional Integration through Regional Economic Communities(RECs),

mostly in developing countries. The Authority's environment is defined by a number of

issues that include:

• Need to effectively undertake its mandate in a growing economy – there is need

to build capacity for the Authority to pro actively gather intelligence that will

inform its advocacy efforts, consumer protection activities and enforcement

undertakings.

• Emergence of knowledge management and innovation as key strategic assets –

exploring ways of managing and institutionalize knowledge gained as the

institution grows and becoming innovative in executing its mandate within the

available resource constraints.

• Enabling businesses – Governments globally are pu�ing in place measures to

a�ract investments and foster cross border trade. The Authority needs to execute

its organization mandate in a manner that will not restrict investments through

enforcement of rigid regulatory regime while ensuring consumer welfare is

championed and protected.

• Rising Consumer expectations, the power of technology and social media –

creating an agile organization that is in touch with consumer expectations, taps

into the power of technology and new media frontiers to increase awareness of

its mandate and continuously gather intelligence that enables the Authority to

pro actively execute its mandate.

3.2 PESTEL Analysis

This section analyses the existing Authority's operating environment (Political,

Economic, Social, Technological, Environmental and Legal) and how these would

impact on the Authority's performance in the next Strategic Plan period. The PESTEL

analysis is a simple and effective tool used in situation analysis to identify an

organization's external (macro environment) forces that would affect its operations.

These forces create both opportunities and threats. A brief description of these

dimensions in relation to the Authority's mandate is as follows:

CHAPTER 3

ENVIRONMENTAL REVIEW

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3.2.1 Political Environmental Analysis

The Authority has to execute its mandate in the devolved system of Government.

Similarly the push for the integration of the East African Countries under a common

market (East African Community) has resulted in formation of the East African

Community Competition Authority (EACCA) to address cross-border and multi-

jurisdictional competition cases. The Authority going forward has to seek ways of

aligning its instruments to multi-RECs (COMESA and EAC) competition rules.

3.2.2 Economic Environmental Analysis

The Kenyan economy has continued to grow steadily at an annual rate of between 5 and

6% and is reported to be among the fastest growing economy in the EAC region. During

the previous Plan's period, the World Economies were just beginning to recover from

the global financial crisis whose negative impact was felt, though minimally, in the

developing economies. At the national level, Kenya has registered positive growth in

her economy and this has had a positive impact on the operation of the Authority, thus

creating conducive investment for Foreign Direct Investments (FDIs). Any reduction in

economic activities fundamentally affects the quantum of government revenue,

constraining the exchequer budgetary allocations hence affecting the Authority's

budgetary allocation and its operations, in turn. With the expansion in the operations of

the regional blocs through the tripartite (EAC, COMESA and SADC), the Authority has

an availed opportunity to integrate and operate within these established and expanded

regional blocs.

3.2.3 Social – Cultural Environmental Analysis

The social – cultural environment is particularly important in determining the success

of the Authority's operations in meeting its mandate. Stakeholder's opinion is a critical

determinant of the external environment for compliance. The extent and level of

awareness of the role and operation of the Authority to the key stakeholders is critical to

achieve its overall mandate in the market regulations. The social perceptions towards

the Authority significantly affect compliance. The Social-cultural dimension in the

environment scanning process forms an integral part of the operations of the Authority,

and these relate to the values, norms, customs, a�itudes, cultures and societal beliefs. It

is imperative for the Authority to continue researching how these changing values of its

stakeholders and their expectations insofar as market regulation is concerned.

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3.2.4 Technological Environmental Analysis

The technological environment covers the impact of new inventions, obsolescence of

existing technology and technological innovations. Information and Communication

Technology (ICT) has revolutionised the way business is transacted and this opens up

opportunities and enhances the efficiency and operations of the Authority. In this Plan,

the Authority will continue to implement modern processes and quality management

systems that would lead to improved service delivery to the stakeholders. The

Authority's use of technology for operational efficiency and effectiveness is paramount

in the achievement of its mandate. Thus, the ICT environment sets the technological

frontier in knowledge management, creating stakeholders awareness, building and

strengthening local, regional and international networks; and monitoring market

regulatory compliance. Rapid technological changes witnessed in the recent times,

puts an expectation on the Authority to adapt and explore ways to harness

opportunities presented to it to be�er and faster delivery on its mandate.

3.2.5 Environmental Analysis

The 21st century has witnessed increased recognition of the importance of the

environment to economic development. The alarming rate of environmental

destruction as a result of population pressure, serious soil erosion, pressure on natural

resources, massive deforestation, climate change and global warming, pollution in its

various forms among others, necessitated the Government of Kenya to establish the

National Environmental Management Authority (NEMA) and Climate Change

Directorate.

At the institutional level, environmental issues will continue to provide both

opportunities and threats to the Authority during the Plan's period. The specific

concerns may include but not limited to; the Authority's working environment, sector

regulators with overlapping roles, waste disposal and e-waste will continue to be a

major concern in the creation of a business environment conducive for a�raction and

retention of new business ventures.

3.2.6 Legal Environmental Analysis

Changes in Law and legislation have an impact on the operating environment of the

Authority. The devolved system of governance and the amendments of the

Competition Act have necessitated the need to review and realign the Authority's

strategic activities. Other notable changes in the recent times that have impacted on the

Authority's operations are; The Competition Act Amendment in2016, Public

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The table below summarizes PESTEL Analysis

Table 2: PESTEL Analysis

POLITICAL

FACTORS

ECONOMIC FACTORS

·

Bureaucracy and red tape.

·

Corruption levels.

·

Investment climate.

·

Global economic changes and their influence on

the local economy.

·

Economic growth rates.

·

Inflation rate.

·

Interest rates.

·

Exchange rates.

·

Unemployment trends.

· Labour costs.

· Credit availability.

· Level of consumers’ disposable income .

· Monetary policies.

· Fiscal policies.

· Price fluctuations.

· Stock market trends.

SOCIAL CULTURAL FACTORS TECHNOLOGICAL FACTORS

· Health consciousness. ·

Education level.

·

A�itudes toward work, leisure, career and

retirement.

·

A�itudes toward product quality and

customer service.

·

A�itudes toward saving and investing.

·

Emphasis on safety.

·

Lifestyles.

· Population growth rate.

· Age distribution and life expectancy rates.

· Gender distribution.

· Ethnicity.

· Family size and structure.

· Rate of technological change.

·

Communication infrastructure.

·

Access to newest technology.

·

Mobile telephony.

·

Internet infrastructure and penetration.

·

Research Innovation.

·

Rate of adaptability to new technology.

ENVIRONMENTAL FACTORS LEGAL FACTORS

·

Climate change.

·

Laws regulating environment

management.

· Recycling.

· Waste management.

· Work environment.

·

Competition Regulatory Regime.

·

Government blueprints that impact on market

development.

· Employment law.

· Health and Safety law.

· Environmental Law.

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Procurement &Asset Disposal Act (PPDA 2015) and Public Financial Management

(PFM) Act of 2012 which will require the Authority to be agile to adapt to legal

provisions of various legislations within which it operates.

3.3 SWOT Analysis

The Strengths, Weaknesses, Opportunities and Threats (SWOT) Analysis appraises the

status quo as a predicate to determining planning goals and developing developmental

priorities. It involves specifying the objectives of the organization and identifying the

internal factors (Strengths and Weaknesses) and external factors (Opportunities and

Threats) that are favourable and unfavourable to achieve those objectives. The

Authority's internal Strengths and Weaknesses and external Opportunities and Threats

have been evaluated as tabled below;

Table 3: SWOT Analysis

INTERNAL

EXTERNAL

ST

RE

NG

TH

S

·

Authority’s

independence

to implement

and administer

its own activities

in line

with the Act.

·

Modern Competition law in place.

·

Staff with good working knowledge and

experience.

·

Good working relationship with local

and regional stakeholders.

·

Credibility of the Authority on

Competition ma�ers.

· Adequate resources to execute its

mandate.

· ISO 9001:2015 certification of the

Authority.

OP

PO

RT

UN

ITIE

S

·

Opportunity to harmonize its

Competition Law with other RECs.

·

Develop subsidiary competition

legislations.

·

Provide advisory services to Government

to facilitate integration with RECs.

·

Institutionalize staff knowledge by

harnessing and storing tacit knowledge.

·

Leverage on technology to improve

operational efficiency and effectiveness.

· Expand areas of focus to include but not

limited to buyer power, collusive

tendering, enhance investigation capacity

and resolution of complaints due to the

dynamism of competition ma�ers.

WE

AK

NE

SS

ES

· Over reliance on the Exchequer for

budgetary support.

·

Lack of adequate officespace.

·

Inadequate use of information systems

to increase efficiency and improve

productivity.

·

Low v isibility and awareness of

the

Authority’s

mandate.

·

Inadequate expertise in some technical

areas ( Forensic

Analysis, Merger

Simulation, Research Analysis,

Econometrics).

· Reliance on Director of Public

Prosecution (DPP) office for prosecution.

· Inadequate intern al capacity to conduct

research.

TH

RE

AT

S

· Competing needs at the Exchequer may

affect budgetary allocation.

·

Key stakeholders changing priorities.

·

Potential overlapping mandate with

other Sector Regulators and RECs

Competition Agencies.

·

No control over the timeliness and

reliability of Information from external

sources.

·

Potential change in Government Policy.

· Regulatory challenges presented by

innovations such as online commerce and

digital payments.

· Consumer apathy to the Authority’s

mandate due to low awareness levels.

· Weak enforcement of standards and

quality verification.

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3.4 Risk Analysis/Management

A risk is a possible event or outcome that could lead to the Authority not being able to operate or

fulfil its mandate. The risk analysis highlights key areas that can affect the implementation of the

Strategic Plan. The contributing factors and mitigating actions form a basis of developing and

implementing the broader risk management framework during the Strategic Plan's period. The

Authority has developed an internal Risk Management Policy that is used to manage it risks.

Emanating from this policy, the Authority has identified five major risk categories with specific

contributing factors and mitigating actions as tabled below;

Table 4: Risk Analysis

Risk Category

Contributing Factors

Mitigating Actions

Financial

·

Limited donor pool

for

additional funding.

·

Low absorption of funds.

·

Inadequate financial

management controls.

·

Widen scope of revenue streams.

·

Optimal use of resources through cost

reduction and prioritization.

·

Enhance financial monitoring and

adherence to International Public

Sector Accounting Standards (IPSAS).

·

Automation.

Organization

Capacity

·

Loss of institutional memory

due to inadequate harnessing

of knowledge.

·

Resistance to change.

·

Staff turnover.

·

Inadequate skilled personnel

in

some specialized areas.

·

Strengthen Knowledge Management.

·

Succession planning.

· Develop and Implement a

ChangeManagement Policy.

· Review Retention Policy.

· Capacity building.

· Enhance performance contracting

goals.

Business

Continuity/Disaster

Recovery/Data loss

·

Inadequate IT infrastructure.

·

No Operational Disaster

Recovery Plan.

· No Business Continuity Plan.

· Prioritize and procure IT systems.

· Operationalize Disaster Recovery Plan

(DRP) and Develop and Operationalize

Business Continuity Plan (BCP).

· Put in place a data security plan.

Stakeholder

Management

· Information asymmetry.

· Inability to effectively influence

policy.

· Inadequate response to radical

changes in policy and

regulation.

· Negative media publicity.

· Non-cooperation of relevant

stakeholders.

· Implement cooperation frameworks.

· Closely monitor changes to policy and

regulations and proactively identify

advocacy measures.

· Continuously assess stakeholders and

come up with plans to engage them.

· Proactively engage stakeholders,

appealing to their sense of self interest

and self-preservation.

Operational

·

Ineffective planning.

·

Policy changes that result into

emergence of unplanned

activities.

·

Mismanagement of

confidential information.

· Litigation.

· Enhance training of staff in planning.

· Reprioritization of activities.

· Review and create awareness of

communication policy /Records

policy.

· Develop Information Management.

Policy/Subsidiary legislation – rules

to the Competition Act.

· Ensure directives are in line with the

law.

· Prioritize negotiations and make

provision for litigation costs.

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Strategic Plan (2017/2018 – 2020/2021)

Stakeholder

Role

Interaction

Parliament

Enact laws, approve allocations and vet Board Members.Advise, Consult and Enact / Amend Laws as appropriate.

National Treasury

Facilitate operations of the Authority.

Advise and Consult.

Board

Provide oversight, and strategic direction.

Advise, Consult & Sensitize.

Staff

Implementation of the Authority’s Mandate.

Inform, Consult & Sensitize.Consumers

Raise complaints and enquiries.

Business Community

Adhere to law, regulations and guidelines.

Judiciary

Interpret the law and make informed decisions.

Advise and Sensitize.

Competition Tribunal

Review Authority’s decisions.

Inform & Representation.

The State Law Office

Provide legal advice.

Collaborate & Consult.

Office of the Director of Prosecution

(ODPP)

Interpret and make informed decisions. Collaborate.

Legal Firms Provide legal advice to business community & consumers; Represent the Authority in terms of litigation.

Advise & Collaborate.

Sector Regulators Ensuring consistent regulation outcome. Inform, Consult & Collaborate.

Development Partners Provide technical and financial support. Consult & Collaborate.

Suppliers and Service Providers Facilitate the Authority’s operations.

Inform, Consult, Sensitize & Collaborate.

County Governments

Formulate county -wide law and regulations.

Inform, Consult, Sensitize & Collaborate.

Consumer Bodies

Partner with the Authority to champion consumer interests. Inform, Consult, Sensitize & Collaborate.

Other Competition Agencies

Handling cross border infractions, Peer Review.

Inform, Consult & Collaborate.

Regional and International Networks

Share Best Practices, Inform Guidelines formulations. Inform, Consult & Collaborate.

Institutions of Higher Learning

Develop curriculum focusing on Competition ma�ers, Inform on

Research, Awareness creation.

Inform, Consult & Collaborate.

Other Ministries and Government

AgenciesAssist in formulating policies and creating conducive environment for trade and execution of the Authority’s mandate.

Advise & Collaborate.

Media Provide publicity. Inform, Sensitize & Collaborate.

3.5 Stakeholder Analysis

A Stakeholder Analysis assists the Authority to analyse and manage the expectations

of its stakeholders to effectively execute its mandate. The Authority's stakeholders

listed below play a critical role in facilitating the effective implementation of its

activities. The table below defines the role and type of interaction required with each

stakeholder;

Table 5: Stakeholder Analysis

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4.1 INTRODUCTION

The strategic themes guiding the future direction of the Authority during the second

Strategic Plan period are:

i) Deliver Effective Enforcement

ii) Consumer Protection.

iii) Planning, Research and Quality Assurance

iv) Visibility and Corporate Image.

v) Organizational Sustainability.

4.2 THEME 1: DELIVER EFFECTIVE ENFORCEMENT

The Authority seeks to effectively use the law and subsidiary legislation to regulate

mergers and acquisitions, investigate restrictive trade practices such as; Abuse of

Dominance (AoD) and Buyer Power, cartels and provide remedies to enable growth of

an inclusive economy with competitive markets.

Strategic objectives and activities under this theme include:

I) To increase deterrence on anti-competitive practices.

a) Prioritize, evaluate, investigate and conclude anti-competitive

complaints/cases.

b) Regulate mergers and acquisitions.

c) Develop and implement guidelines that prevent the emergence of market

structures which impede effective competition.

ii) To enhance market surveillance.

a) Conduct market compliance checks.

b) Develop and implement interaction and intelligence frameworks.

iii) To enhance transparency, accountability and predictability of enforcement,

compliance and merger issues.

a) Review and align competition instruments(guidelines, procedures forms,

templates) with market realities, evolving trends and changing economic

and legal environment.

b) Conduct stakeholder sensitization initiatives.

c) Develop and operationalize Rules to the Act.

CHAPTER 4

STRATEGIC THEMES, OBJECTIVES AND ACTIVITIES

FOR THE PERIOD 2017/18 – 2020/2021

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iv) To increase deterrence on Abuse of Buyer Power.

a) Build capacity in terms of numbers and skills.

b) Develop and implement Buyer Power guidelines.

c) Prioritize, evaluate, investigate and conclude complaints/cases on Abuse of

Buyer Power.

d) Conduct stakeholder sensitization initiatives.

4.3 THEME 2: CONSUMER PROTECTION

The Authority's mandate of protecting consumers from unfair and misleading market

conduct will be achieved by effective application of the law and subsidiary legislation

to investigate and redress consumer related infractions, as well as sensitizing the

consumers and Business Community regarding their rights and obligations.

Collaboration with government agencies and consumer bodies is an important aspect

in the pursuit of consumer protection for effective investigations and deterrence of

infractions. Development and review of rules and guidelines used to assess practices

that infringe on consumer rights will increase efficiency, effectiveness and

predictability of the Authority's decisions resulting to increased consumer welfare.

Strategic objectives and activities under this strategic theme include:

i) To increase deterrence on unfair and misleading market practices.

a) Investigate and conclude complaints on relevant consumer cases.

b) Collaborate with sector regulators on consumer protection.

c) Sensitize the Business Community on the Competition Act provisions

relating to consumer protection.

d) Conduct product compliance checks.

ii) To empower consumers to exercise choice through consumer awareness.

a) Undertake initiatives on consumer awareness and emerging consumer

issues.

b) Collaborate with other stakeholders to increase consumer awareness.

iii) To enhance transparency, accountability and predictability of consumer ma�ers.

a) Review and develop consumer guidelines based on market conditions.

b) Develop toolkits and templates on consumer protection.

iv) To promote creation and strengthening of consumer bodies.

a) Develop and disseminate standards and rules.

b) Promote creation, build capacity and collaborate with consumer

protection bodies.

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4.4 THEME 3: PLANNING, RESEARCH AND QUALITY ASSURANCE

In order to realize the objectives laid out in this Strategic Plan, economic analysis of the

programs and projects planned is necessary to guide prioritization and resources

allocation. In addition to this monitoring, evaluating and reviewing the

implementation of the Authority's plans will ensure that the vision is realized. Market

enquiries and research studies will guide the advocacy programs adopted by the

Authority. Further, co-ordination of the risk management framework, establishment of

standards, systems and procedures for quality assurance and business continuity

management processes will be highlighted in order to support the realization of this

strategic plan.

Strategic objectives and activities under this theme include:

i) To deepen integration regionally and internationally through expanding market

frontiers.

a) Carry out research studies in the prioritized sectors

b) Dismantle anti-competitive regulatory obstacles in different sectors to

unlock growth potential in Kenya.

c) Establish suitable Advocacy and Communication Instruments for key

stakeholders at the National and County levels.

d) Develop and implement an analytical framework for advisory opinions and

policy briefs.

e) Prepare position papers on various proposed policies, Bills and legislations.

f) Deepen capacity of stakeholders on competition law issues.

g) Engage with Institutions of higher learning to develop curriculum on

competition ma�ers.

h) Enhance surveillance and screening mechanisms on existing inefficient and

non-competitive sectors.

I) Develop and implement frameworks with RECs to facilitate harmonization

of laws and regulations to address cross-border competition and consumer

issues.

j) Participate or organize advocacy initiatives for new Competition

Agencies in the region.

k) Participate in international fora and document lessons learnt to entrench

international best practices at the Authority.

l) Develop and implement Co-operation frameworks/Memorandum of

Understanding (MOUs).

m) Collaborate in the establishment of the Centre for Competition Law and

Economic Policy (CCLEP).

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ii) To deepen the Authority's understanding of sectoral markets.

a) Develop market inquiry guidelines and carry out market Inquires/Research

in the prioritized sectors.

b) Engage with research firms to improve access to research material.

iii) To enhance Monitoring & Evaluation.

a) Conduct impact assessment on the Authority's decisions on selected sectors.

b) Evaluate achievements of the Authority's annual activities and Strategic

Plan's outcomes.

c) Monitor legislation (National and County) and provide advisory opinion on

competition ma�ers.

iv) To advance the Authority's Knowledge Management.

a) Harness/Capture tacit and explicit knowledge from staff and other sources.

b) Develop and implement a framework for storage, dissemination,

application and retention of harnessed knowledge.

iv) To coordinate implementation of ISO standards

a) Review adequacy of the system.

b) Carry out regular audits.

c) Maintain procedures and relevant documentation.

vi) To enhance institutional risk management practices and compliance of quality

assurance

a) Review and Implement the institutional risk management

framework/policy based on ISO 9001:2015 and ISO 31000.

b) Conduct periodic comprehensive assessment of institutional risks.

vii) To coordinate implementation of the Business Continuity Management

a) Prepare policies and procedures to define the minimum levels of safety,

availability and continuity of the Authority's operations.

b) Identify potential impacts (risks and threats) that expose the Authority.

c) Provide a framework for building effective responses to identified threats.

viii) To Oversee Implementation of the Anti-Fraud and Corruption Strategy

a) Sensitize staff on issues related to fraud and corruption.

b) Investigate and report on ma�ers related to fraud.

c) Review of the anti-corruption policy.

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4.5 THEME 4: VISIBILITY AND CORPORATE IMAGE

The aim of this theme is to create a competition culture which is critical to the success of

the Authority in executing its mandate. Creation of a competition culture involves

improving awareness of the benefits accrued by having a fair competitive market.

Competition culture has to therefore be fostered among consumers, businesses, and

public institutions. The Authority aims to adopt an approach that partners with

various stakeholders to create awareness of its role in fostering the competition culture.

Strategic objectives and activities within this theme include:

i) To increase outreach and awareness.

a) Develop and implement the outreach strategy aligned to the

communication policy.

ii) To enhance corporate visibility (locally, regionally, and internationally).

a) Undertake Annual Corporate Social Responsibility (CSR) initiatives.

b) Participate at and host regional and international workshops/conferences.

c) Subject the Authority to a peer review process.

d) Produce and disseminate Information, Education and Communication

(IEC) materials.

iii) To strengthen media relations.

a) Articulate the Authority's mandate through electronic and print media.

b) Monitor and report on the coverage of the Authority in the print, electronic

and social media in line with our mandate.

4.6 THEME 5: ORGANIZATIONAL SUSTAINABILITY

The Authority needs to deliver on its mandate through a cohesive, well-structured

manner in which people, processes and systems perform optimally. New funding

sources need to be established to provide much needed resources as well as implement

cost control measures to derive maximum benefit from available resources.

A�racting, developing and retaining talent is essential to ensure a high performing

organization. Harnessing ICT is also imperative to optimizing business processes and

enabling secure sharing, storage, and management of data in a knowledge intensive

environment.

Below are the strategic objectives and related activities for the theme:

i) To broaden revenue streams.

a) Enhance collection of fees and penalties and continuously identify potential

internal revenue streams.

Strategic Plan (2017/2018 – 2020/2021)

21 of 49

b) Budget and engage with the National Treasury for increased funding.

c) Engage with development partners to increase the funding pool.

ii) To optimize use of resources.

a) Implement cost reduction measures.

b) Prioritize the Authority's annual activities.

iii) To improve productivity and efficiency.

a) Harness technology to improve efficiency of internal processes, operations

and procedures.

b) Review and implement internal as well as statutory performance

management and quality management systems.

c) Inculcate a culture of self-assessment and continuous improvement of the

various Directorates and Units within the Authority.

d) Review operations and procedure manuals in line with ISO standards.

iv) To enhance institutional capacity.

a) Develop, review and implement organizational policies.

b) Implement initiatives that create conducive work environment.

c) Review the Authority's Organization Structure and develop competency

based job descriptions aligned to the structure.

d) Actualize merit based recruitment to fill the vacant positions as per the

approved organogram.

e) Develop, review and implement human resource interventions, aimed at

a�racting, developing and retaining talent.

Appendix II contains the implementation matrix that outlines the Strategic themes,

Objectives and Activities with associated baselines, output indicators, annual targets,

budgets and responsible Authority's departments.

22 of 49

Strategic Plan (2017/2018 – 2020/2021)

5.1 Estimated Budget Expenditure

To achieve the Authority's strategic objectives, various key activities have been

identified for the reviewed Strategic Plan period (2017/18 – 2020/21). The budget

estimates for each objective and related activities are detailed in the annexed

implementation matrix(AppendixII). The total amount projected for the period is

Kshs. 3,186.95 million financed through forecasted external and internal revenue

sources. The table below illustrates the estimated budget for each strategic objective.

CHAPTER 5

REVENUE SOURCES AND IMPLEMENTATION COST

Theme

Objective

Actual Amount

(Millions Kshs.)

Projected Amount

(Millions Kshs.) Total

2017/18

2018/19 2019/20 2020/21

Deliver

Effective

Enforcement

To increase prevention,

detection, punishment and

deterrence on anti-competitive

practices

21

19.7 22 23 85.7

To enhance market surveillance.

7

7 7 7 28

To enhance transparency,

accountability and predictability

of enforcement, compliance and

merger issues.

13.5

11.5 15.5 17.5 58

To increase deterrence on Abuse

of Buyer Power

0

5 10 12 27

Consumer

Protection

To increase deterrence on unfair

and misleading market

practices.

20 20 25 30 95

To empower consumers to

exercise choice through

consumer awareness.

14 11 11 11 47

To enhance transparency,

accountability and predictability

of consumer ma�ers.

1 0.75 0.75 0.5 3

To promote creation and

strengthening of consumer

bodies.

3 2 3 3.5 11.5

Planning,

Research

and

Quality

Assurance

To deepen integration

regionally and internationally

through expanding market

frontiers

48.75 47.75 44.25 45.75 186.5

To deepen the Authority’s

understanding of sectoral

markets.

27.5

27 22 25 101.5

To enhance Monitoring &

Evaluation.

23 8.5 7.7 8.0 47.2

To advance the Authority’s

Knowledge Management.

5 4 4 4 17

23 of 49

To coordinate implementat ion

of ISO standards

5 5 5 5 20

To enhance institutional risk

management practices and

compliance of quality assurance

1

1 1.5 2 5.5

To coordinate implementation

of the Business Continuity

2 2 2 6

To oversee implementation of

the anti-fraud and corruption

strategy

0.4 0.4 0.4 1.2

Visibility and

Corporate

Image

To increase outreach and

awareness.

20.5

17 18.00 18.00 73.50

To enhance corporate visibility

(Locally, Regionally, and

Internationally).

9.25

12.25 12.95 12.95

47.40

To strengthen media relations. 5.7 7.4 4.2 4.2 21.50

Organizational

Sustainability

To improve revenue streams. 0 0 0 0 0

To enhance optimal use of

resources.

0 0 0 0 0

To improve productivity and

efficiency.

24.25 23.25 20.25 19.25 87

To enhance institutional

capacity.

341.55 592.9 642 641 2,217.45

Total 591 825.4 878.5 892.05 3,186.95

5.2 Projected Revenue Sources

The operations of the Authority will mostly be funded from external sources and

supplemented by internal sources as illustrated below.

Actual Amount

(Millions Kshs.)

Projected Amount

(Millions Kshs.) Total

Source

2017/18

2018/19 2019/20 2020/21

Exchequer –

Recurrent

340

339 484.4 499.2 1,662.6

Exchequer –

Development

41.25

259 150 150 600.25

Appropriation in Aid 179.75 193.7 201.1 190.85 765.4

Development Partners 30 33.7 43 52 158.7

Total 591 825.4 878.5 892.05 3,186.95

Table 7 : Revenue Sources

Strategic Plan (2017/2018 – 2020/2021)

24 of 49

Theme

Objective

Actual Amount

(Millions Kshs.)

Projected Amount

(Millions Kshs.) Total

2017/18 2018/19 2019/20 2020/21

Table 6: Budget Estimates

The Exchequer recurrent budget is estimated to increase annually over the next two

years of the reviewed Strategic Plan period. The development budget in the next two

years is expected to reduce following the completion of the ICT projects. The indicated

amounts are sufficient to maintain the existing ICT infrastructure and cater for the

purchase of computers and furniture to ensure that the Authority's growing workforce

has necessary tools to deliver on its mandate. Penalties are projected to increase due to

the increased enforcement and compliance levels in the economy, while merger filing

fees are expected to stagnate due to the revision of the Merger Threshold guidelines.

Further, it is expected that the development partners shall continue supporting

enforcement initiatives through various programs.

Strategic Plan (2017/2018 – 2020/2021)

25 of 49

The Authority needs to review progress against targets set in the implementation

matrix on a quarterly, bi-annual and annual basis to inform planning and budgeting for

the subsequent financial years. A Monitoring and Evaluation (M&E) Framework has

been developed and is used to continuously measure the performance of the Authority.

The M&E framework identifies routine indicators that are monitored and used together

with the Impact Evaluation Framework to measure impact of the Authority's activities.

For the Strategic Plan's period the Results Matrix helps measure the outcomes of the

Authority's activities. The Results Matrix is used to monitor and evaluate the broader

performance and achievements of the Authority to meet its overall mandate with

emphasis on the six strategic themes.

The annexed Implementation Matrix guides the development of Annual Work Plans

and budgets. It is also used to track and monitor implementation of work-plan activities

on a quarterly, semi-annual and annual basis.

6.1 Performance Questions and Indicators

Performance questions are used to assess whether the Authority is performing as

planned and if not, analyse the reasons for performance shortfalls. Performance

questions are guided by the strategic objectives and key outputs. The type of

information required under each result guides the formulation of performance

questions to be addressed. These questions are driven by the Authority's strategic

objectives. For this strategic period the table below outlines the performance questions

and outcome indicators to be monitored, evaluated and reported.

CHAPTER 6

MONITORING AND EVALUATION

26 of 49

Theme

Result

Type of information

Performance

Question

Outcome

Indicator(s)

·

Anti-competitive

cases concluded.

·

Leniency

applications.

·

Exemptions

applications.

·

Mergers finalized.

·

Have all the

received cases

been concluded?

·

Are cases

concluded in a

timely manner?

· % ofcases

concluded.

· Decrease in

number of days

concluding a

merger

application.

Market

surveillance

enhanced.

·

Compliance

checks.

·

Intelligence

findings.

·

Has compliance

levels increased?

·

Has the number of

detected cases

increased or

decreased?

· % compliance

level of cases

surveyed/initiat

ed.

Enhanced

transparency,

accountability and

predictability.

·

Policies,

forms and

guidelines

reviewed.

·

Have the forms

and guidelines

been aligned to

current market

dynamics?

· Operational

forms and

guidelines

adopted.

Increase

deterrence on

Abuse of Buyer

Power

· Guidelines on

buyer power

· Cases investigated

· Cases concluded

· Have guidelines

been developed?

· Have all the

received cases

been concluded?

· Have the cases

been concluded

in a timely

manner?

· Guidelines

formulated

and adopted

· % of cases

concluded.

Consumer

Protection

Increased

deterrence on

unfair and

misleading market

practices.

· Cases investigated. ·

Cases concluded.

·

Awareness levels .

· Has the number of

unfair and

misleading market

practices cases

concluded

increased?

·

Are cases

concluded in a

timely manner?

·

Has the business

community

awareness

increased?

· % of received

cases

concluded.

· % increase in

business

community

awareness.

Consumers

empowered to

exercise choice.

· Awareness levels .

· Campaigns

conducted.

· Has consumer

awareness

increased?

· % increase in

consumer

awareness.

Enhanced

transparency,

accountability and

predictability.

· Policies, forms and

guidelines

reviewed.

· Have the forms

and guidelines

been aligned to

Competition Act

and international

best practices.

· Operational

forms and

guidelines

adopted.

Deliver Effective

Enforcement Increased

deterrence on anti-

competitive

practices.

27 of 49

Creation and

strengthening of

consumer bodies

promoted.

· Standards and

rules established.

·

Capacity building

undertaken.

· Has the

environment been

created for

establishment of

consumer bodies?

· Standards and

Capacity

established for

creation of

consumer

bodies.

Planning,

Research and

Quality

Assurance

Regional and

international

integration

deepened through

expanded market

frontiers.

·

Advocacy

initiatives.

·

Advisory opinions.

·

Position papers.

· Is there an

increase in

advisory opinions

given?

· Is there an

increase in the

number of

advisory opinions

and position

papers?

· No. of advisory

opinions

sought and

given.

· % of sought

opinions

adopted.

· No. of position

papers done.

· Partnerships

formed.

· Sector studies.

· Advocacy

initiatives.

· Have established

partnerships

improved

cooperation?

· Harmonized

REC laws.

· % reduction in

inter-agency

and cross-

border cases.

· Increased

regional and

international

cooperation.Authority’s

understanding of

sectoral markets

deepened.

·

Market inquiries. ·

Subscribed

information.

· Has the Authority’s

application of market

information improved?

· % increase in the

application of

market

information.

· % increase in the

subscribed

information.

· Improved

timelines in

offering informed

advisory opinions.

Monitoring &

Evaluation enhanced

· M&E indicators.

· Impact indicators.

· Is information

generated through

M&E being used to

inform decision

making and planning?

· % increase in

meeting planned

targets.

Authority’s

Knowledge

Management advanced

·

Knowledge categories. · Has access and use of

knowledge improved?

· Faster

dissemination of

information.

Enhanced efficiency

and adherence to

timelines

and

improved service

delivery

·

ISO Standard ·

Procedures

·

Documented

information maintained

and retained

· Documented risks and

opportunities

· Has efficiency of our

operations been

enhanced

· Has service delivery

been improved

· Has there been

continual

improvement of our

processes

· Effective and

efficient QMS

· Enhance service

delivery

· Improved

processes

28 of 49

Theme

Result

Type of information

Performance

Question

Outcome

Indicator(s)

Institutional risk

management practices

enhanced.

·

Risks identified. ·

Intervention

undertaken.

· Are identified risks

mitigated timely and

adequately?

· Reduced risk on

the Authority’s

operations.

Business Continuity

Plan implemented

·

Reviewed Business

Impact Analysis reports

·

Conduct periodic staff

sensitization

· Does each department

have a business

continuity plan?

· Are all members of

staff aware of the

BCM?

· Number of

Business continuity

plans developed

· Number of staff

sensitized

Anti-fraud and

corruption strategy

developed

·

Quarterly corruption

risk assessment

·

Periodic sensitization of

staff

· Was quarterly

corruption risk

assessment done?

· Have the staff been

sensitized?

· Quarterly risk

assessment report

· % of staff

sensitized

Visibility and

Corporate

Image

Increased outreach

and awareness.

· Communication

and awareness

initiatives.

·

Customer

satisfaction.

· Has the awareness

of the Authority’s

customers

increased?

· % increase in

customer

satisfaction.

Enhanced

Corporate

visibility.

·

CSR initiatives.

·

Workshop

deliberations.

· Are the

Authority’s

activities more

visible?

· % increase in

corporate

visibility.

Media relations

strengthened.

·

Coverage of the

Authority in

electronic, print

and social media

(hits).

·

Conduct periodic

media monitoring

of the Authority’s

activities and

events.

· Increase the

number of TV,

Print and Radio

exposures

· Is reporting on the

Authority more

frequently and

positive?

· Does CAK have a

standardized way

of collecting

updated data on

its coverage (the

Authority’s

activities and

decisions)?

· Is there an

expanded

geographical span

of coverage?

· Increase of the

Authority’s

positive

coverage in the

media.

· A standardized

system of

collecting

updated data

on the

coverage of

CAK.

· Timely

response to

consumer and

competition

issues raised.

Strategic Plan (2017/2018 – 2020/2021)

29 of 49

Theme

Result

Type of information

Performance

Question

Outcome

Indicator(s)

Table 8: Performance Questions

6.2 Baseline

Baseline data across all the strategic objectives is required to reflect the situation before

the Authority's interventions, to monitor progress, and for final impact evaluation at the

end of the Strategic Plan period. To ensure the Results Matrix is effective, baseline

information for the results indicators needs to be collected, analysed and reported.

Baseline data for the results indicators can be obtained from the review of Annual,

Consultancy and Survey reports. This information should be documented before the

start of the Strategic Plan period or at the beginning of the first year of the Strategic Plan.

6.3 Reporting

The Board, as the custodian of the Strategic Plan, will review progress on the

implementation of the Strategic Plan's key activities. Quarterly review meetings will be

held between the Management and the Board out of which the Board will receive and

review progress reports from the Management, indicating overall progress made on

key strategic objectives.

Organizational

Sustainability

Broadened

revenue streams.

· Funding sources

and amounts.

· Have revenue

streams been

enhanced?

· Improved

ability to fulfil

budgetary

requirements.

Optimal use of

resources.

·

Cost reduction

measures.

· Have operational

expenses reduced?

· % reduction of

operational

costs.

Improved

productivity and

efficiency.

·

Automated

processes.

·

Systems

implemented.

· Are pe rformance

management

systems adopted

and used?

· Has operational

efficiency

increased?

· Increased

performance

Institutional

capacity enhanced.

· Career progression

guideline.

· Medical scheme.

· Remuneration and

benefits.

· Promotions.

· Trainings

undertaken/skills

development.

· Are employees

satisfied with the

work

environment?

· Has the capacity

of staff to

efficiently and

effectively execute

their work

improved?

· % increase in

employee

satisfaction

levels.

· Improved

productivity.

30 of 49

Theme

Result

Type of information

Performance

Question

Outcome

Indicator(s)

Strategic Plan (2017/2018 – 2020/2021)

6.4 Results Evaluation

The Results Matrix evaluates the outcomes of the Authority's operations as it focuses on

the 'so what' question in M&E. This will address the accountability concerns of

stakeholders, informs Managers on progress towards stated objectives, and provides

information on necessary remedial action required in policies and approaches. The

matrix also includes the baseline or the present status relative to the outcome that the

Authority strives to achieve. It sets the current condition against which future change

can be tracked and assessed.

The assessment of outcomes based on the six thematic areas in the Results Matrix is

illustrated in Appendix I. The method of assessment will help determine whether the

results have been achieved. These methods will include:

a) Stakeholder discussion groups to analyse information, identify lessons

learnt, make recommendations and assess changes brought by the

Authority.

b) Surveys to assess satisfactions and awareness levels.

c) If required, Thematic studies to provide further information will be

undertaken through Consultancies or Partner institutions.

d) Review and analyse data from secondary sources.

Results will be evaluated and reported annually to gauge efficiency, effectiveness,

relevance and remedial alternatives.

6.5 Review

A mid-term review of the Strategic Plan informs the expenditure plans for the final

implementation period, including any adjustments on activities that take account of

changes in the environment. A review may be triggered by:

a) Changes in Government policy and amendment to the Competition Act.

b) Changes in the macro-economic environment.

c) Organizational performance and progress of the implementation plan.

These factors can lead to refining or revising the strategic objectives, activities and

budgets accordingly. An end-term review will evaluate the final performance of

Authority in achieving the objectives of the Strategic Plan.

Strategic Plan (2017/2018 – 2020/2021)

31 of 49

Ou

tco

me

Ind

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or(

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2017

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2018

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2020

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Strategic Plan (2017/2018 – 2020/2021)

32 of 49

Th

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Strategic Plan (2017/2018 – 2020/2021)

33 of 49

Strategic Plan (2017/2018 – 2020/2021)

34 of 49

Imp

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tim

e p

erio

d

Do

cum

ent

Rev

iew

Imp

rov

ed m

itig

ati

on

of

the

Au

tho

rity

’s r

isk

s.

7 ri

sks

4

stra

teg

ic r

isk

s

iden

tifi

ed

D

ocu

men

t re

vie

w

thro

ug

h a

ud

its.

Imp

rov

ed r

eco

ver

y a

�er

imp

lem

enta

tio

n o

f th

e B

usi

nes

s

Co

nti

nu

ity

Pla

ns

0

Bu

sin

ess

con

tin

uit

y

man

agem

ent

fram

ewo

rk e

stab

lish

ed

and

Bu

sin

ess

Imp

act

An

aly

sis

pla

ns

dev

elo

ped

fo

r ea

ch

fun

ctio

nal

are

a

B

usi

nes

s Im

pac

t

An

aly

sis

Tem

pla

tes

Incr

ease

d s

taff

aw

aren

ess

of

BC

M

0

25 s

taff

tra

ined

Do

cum

ent

Rev

iew

.

Imp

rov

ed c

orr

up

tio

n r

isk

mit

igat

ion

4

4 re

po

rts

pre

par

ed

Do

cum

ent

Rev

iew

.

% o

f st

aff

sen

siti

zed

on

co

rru

pti

on

an

d

anti

-fra

ud

100

%

66 s

taff

mem

ber

s

sen

siti

zed

by

EA

CC

% i

ncr

ease

in

cu

sto

mer

sa

tisf

acti

on

.

71.1

%

CS

S s

urv

ey i

n F

Y

2018

/19

Su

rvey

s.

%in

crea

se i

n c

orp

ora

te v

isib

ilit

y

geo

gra

ph

ical

ly.

35%

CS

S s

urv

ey i

n F

Y

2018

/19

Do

cum

ent

Rev

iew

.

Incr

ease

of

the

Au

tho

rity

’s p

osi

tiv

e

cov

erag

e in

th

e m

edia

.

33

men

tio

ns/

Hit

s

on

Au

tho

rity

’s

sto

ries

in

the

med

ia

per

an

nu

m.

9 T

V a

dv

erts

13 R

adio

sh

ow

s

Pri

nt

Med

ia -

app

rox

imat

ely

38

inst

ance

s

Med

ia m

on

ito

rin

g

rep

ort

s re

vie

w.

. .

.

Vis

ibil

ity

an

d

Co

rpo

rate

Imag

e.

Th

eme

Ou

tco

me

Ind

icat

or(

s)B

asel

ine

2017

/18

2018

/19

2019

/20

2020

/21

Ass

essm

ent

Met

ho

d

Strategic Plan (2017/2018 – 2020/2021)

35 of 49

Org

aniz

atio

nal

Su

stai

nab

ilit

y.

Imp

rov

ed a

bil

ity

to

fu

lfil

bu

dg

etary

req

uir

emen

ts.

340M

Th

e ab

sorp

tio

n r

ate

was

71%

F

inan

cial

rep

ort

s re

vie

w.

% R

edu

ctio

n o

f o

per

atio

nal

co

sts.

0 F

ull

au

tom

atio

n w

ill

be

in F

Y20

18/1

9

F

inan

cial

rep

ort

s re

vie

w.

Incr

ease

d p

erfo

rman

ce

80

%

Red

uce

d n

um

ber

of

day

s in

co

mp

leti

ng

mer

ger

s fr

om

42

to 3

8,

Co

nsu

mer

pro

tect

ion

case

s fr

om

120

to

90.

A

nn

ual

rep

ort

s re

vie

w.

% o

f ta

rget

s ac

hie

ved

ag

ain

st

Per

form

ance

Co

ntr

act

.

2.91

03

Ach

iev

ed a

wei

gh

ted

aver

age

sco

re o

f 3.

1341

Per

form

ance

Co

ntr

act

Wei

gh

ted

Av

erag

e S

core

% I

ncr

ease

in

em

plo

yee

sat

isfa

ctio

n

lev

els.

74%

Em

plo

yee

Sat

isfa

ctio

n

Su

rvey

to

be

do

ne

in

2018

/201

9

Per

form

ance

su

rvey

.

Th

em

eO

utc

om

e I

nd

icato

r(s)

Base

lin

e2017/1

82018/1

92019/2

02020/2

1A

ssess

men

t M

eth

od

: IM

PL

EM

EN

TA

TIO

N M

AT

RIX

II

DE

LIV

ER

EF

FE

CT

IVE

EN

FO

RC

EM

EN

T

Key

Act

ivit

ies

Ou

tpu

t

Ind

icat

ors

B

ase

lin

eA

nn

ual

Tar

get

Bu

dg

et

(Ksh

s

Mil

lio

18/1

9

19/2

0

20/2

1

det

ecti

on

, pu

nis

hm

ent

and

-

Pri

ori

tize

, ev

alu

ate

inv

esti

gat

e an

d c

on

clu

de

anti

-co

mp

etit

ive

case

s o

n :

-

·

Man

ufa

ctu

rin

g o

f P

VC

mat

eria

l fo

r

ho

usi

ng

an

d a

gri

cult

ure

(P

ipes

, ta

nk

s)

for

coll

usi

ve

beh

avio

ur(

2019

/202

0)

·

Scr

een

ing

an

d i

nv

esti

gat

ing

th

e ed

ible

oil

s se

cto

r(20

19/

202

0)

·

Imp

lem

ent

the

reco

mm

end

atio

ns

fro

m

the

Pai

nts

, Ph

arm

aceu

tica

ls

inv

esti

gat

ion

s (2

019

/202

0)

·

Scr

een

ing

an

d i

nv

esti

gat

e th

e

Ag

roch

emic

al s

ecto

r to

est

abli

sh

exis

ten

ce o

f re

stri

ctiv

e ag

reem

ents

an

d

abu

se o

f d

om

ina

nce

·

Car

ry o

ut

join

t in

ves

tig

atio

ns

wit

h

PP

RA

fo

cusi

ng

on

ten

der

ing

pro

cess

es

reg

ard

ing

co

nst

ruct

ion

an

d

ph

arm

ace

uti

cals

·

Co

nd

uct

in

ves

tig

atio

ns

on

th

e su

pp

ly

chai

n o

f th

e Ir

on

& S

teel

Sec

tor

(202

0/2

02

1)

Nu

mb

er o

f

case

s

inv

esti

gat

ed.

Nu

mb

er o

f

case

s

con

clu

ded

.

5

3 8

8

1

1

1

8

1

1

41

AP

PE

ND

IX I

I

TH

EM

E 1

:

Str

ateg

ic O

bje

ctiv

e

.

n)

R

esp

on

sib

ilit

y

To

in

crea

se p

rev

enti

on

,

det

erre

nce

on

an

ti

com

pet

itiv

e p

ract

ices

.

E&

C, L

ega

l.

Strategic Plan (2017/2018 – 2020/2021)

36 of 49

Reg

ula

te M

erg

ers

and

Acq

uis

itio

ns

(Ap

pro

val

& e

xcl

usi

on

s o

f mer

ger

s an

d

inv

esti

gat

ion

of

mer

ger

s co

nsu

mm

ated

wit

ho

ut

app

rov

al)

.

Incu

lcat

e ec

on

om

ic a

nal

ysi

s o

n m

erg

ers

app

lica

tio

ns

in l

iais

on

wit

h P

oli

cy a

nd

Res

earc

h

Nu

mb

er o

f m

erg

ers

rece

ived

,

anal

yse

d a

nd

co

ncl

ud

ed.

Nu

mb

er o

f m

erg

ers

fin

aliz

ed

Per

cen

tag

e co

mp

leti

on

of

case

s as

per

sta

tuto

ry

tim

elin

es.

497

100%

15

.5

Dev

elo

p a

nd

im

ple

men

t ru

les

and

gu

idel

ines

th

at f

aci

lita

te e

nfo

rcem

ent

of

mar

ket

str

uct

ure

s w

hic

h i

mp

ede

effec

tiv

e

com

pet

itio

n.

Rev

iew

mer

ger

gu

idel

ines

, fo

rm a

nd

ru

les

to i

nco

rpo

rate

Sta

ge

Tw

o (

II)

inv

esti

gat

ion

s

for

mer

ger

s ra

isin

g c

om

pet

itio

n c

on

cern

s.

Ru

les

and

gu

idel

ines

app

rov

ed a

nd

ad

op

ted

(Blo

ck e

xem

pti

on

s, m

erg

ers

to b

e ex

clu

ded

, am

on

g

oth

ers)

.

0

8.2

Co

nd

uct

mar

ket

co

mp

lian

ce c

hec

ks.

Co

nd

uct

join

t re

vie

w o

f B

RS

/CA

K d

ata

for

scre

enin

g o

f m

erg

ers

con

sum

mat

ed

wit

ho

ut

app

rov

al

an

d i

nv

esti

gati

on

s

Init

iate

car

tels

in

ves

tig

atio

ns

(su

o m

o�o)

by

dee

pen

ing

in

tell

igen

ce g

ath

erin

g r

eso

urc

es

Nu

mb

er o

f ch

eck

s

un

der

tak

en (

Rep

ort

).

4

0

44

4

4

1

4

En

han

ce t

he

nu

mb

er o

f R

TP

cas

es t

hro

ug

h

inte

llig

ence

an

d s

cree

nin

g r

epo

rts.

Nu

mb

ero

f re

po

rts

01

11

111

M&

A.

E&

C, M

&A

.

M&

A, E

&C

.

E&

C, M

&A

,

Leg

al.

Key

Act

ivit

ies

Ou

tpu

t

Ind

icat

ors

B

ase

lin

eA

nn

ual

Tar

get

Bu

dg

et

(Ksh

s

Mil

lio

18/1

9

19/2

0

20/2

1

.

n)

R

esp

on

sib

ilit

y

·

·

·

·

To

en

han

ce

mar

ket

surv

eill

ance

·

·

·

Str

ateg

ic O

bje

ctiv

eStrategic Plan (2017/2018 – 2020/2021)

37 of 49

Strategic Plan (2017/2018 – 2020/2021)

38 of 49

Co

nd

uct

join

t re

vie

w o

f B

RS

/CA

K d

ata

for

scre

enin

g o

f m

erg

ers

con

sum

mat

ed w

ith

ou

t

app

rov

al

and

in

ves

tig

atio

ns

N

um

ber

of

Mer

ger

s Im

ple

men

ted

wit

ho

ut

app

rov

al i

nv

esti

gat

ed

6

pre

dic

tab

ilit

y o

f en

forc

emen

t,

Co

mp

lian

ce a

nd

me

rger

iss

ues.

Rev

iew

an

d a

lig

n c

om

pet

itio

n i

nst

rum

ents

(Fo

rms,

pro

ced

ure

s, g

uid

elin

es t

emp

late

s) w

ith

mark

et r

eali

ties

, ev

olv

ing

tre

nd

s an

d c

han

gin

g

eco

no

mic

an

d l

egal

en

vir

on

men

t.

i.

D

evel

op

gu

idel

ines

on

e-fi

lin

g a

nd

e-co

mp

lain

ts

ii.

D

evel

op

gu

idel

ines

on

cre

epin

g m

erg

ers

iii.

D

evel

op

an

d a

do

pt

On

lin

e m

erg

er fi

lin

g

fees

cal

cula

tor

Rev

iew

ed a

nd

app

rov

ed p

oli

cy,

form

s, a

nd

pro

ced

ure

s.

0

3

1

1

1

6

E&

C,

M&

A,

Leg

al.

E&

C,

M&

A,

Leg

al.

Co

nd

uct

sta

keh

old

er s

ensi

tiza

tio

n a

ctiv

itie

s (N

ew

inst

rum

ents

su

ch a

s L

enie

ncy

Pro

gra

m a

mo

ng

oth

ers)

Nu

mb

er o

f w

ork

sho

ps

hel

d.

P

erce

nta

ge

o

f

stak

eho

lder

s re

ach

ed.

A

reas

sen

siti

zed

.

1

1

1

1

6

All

Dev

elo

p c

om

pet

itio

n a

nd

co

nsu

mer

Pro

tect

ion

Jou

rnal

an

d o

nli

ne

con

ten

t o

n t

op

ical

Co

mp

etit

ion

iss

ues

Pu

bli

shed

Jo

urn

al

1

1

1

6

All

Dev

elo

p a

nd

op

erat

ion

aliz

e th

e R

ule

s to

th

e A

ct.

En

acte

d R

ule

s.

0

1

1

3

Leg

al.

Co

ord

inat

e th

e A

uth

ori

ty’s

rep

rese

nta

tio

n b

efo

re

the

Tri

bu

nal

an

d C

ou

rts

of

Law

.

Nu

mb

er o

f R

uli

ng

s,

Jud

gm

ents

an

d/o

r

Co

nse

nt

Ord

ers.

Per

cen

tag

esu

cces

s ra

te

agai

nst

to

tal

ruli

ng

s.

1

17.5

Leg

al.

Key

Act

ivit

ies

Ou

tpu

t

Ind

icat

ors

B

ase

lin

eA

nn

ual

Tar

ge

tB

ud

ge

t

(Ksh

s

Mil

lio

18/1

9

19/2

0

20

/21

. n)

Re

spo

nsi

bil

ity

To

en

ha

nce

tra

nsp

are

ncy

,

Acc

ou

nta

bil

ity

an

d

Str

ateg

ic O

bje

ctiv

e

Strategic Plan (2017/2018 – 2020/2021)

39 of 49

Dev

elo

p p

roce

du

res

on

an

aly

sis

of

cro

ss b

ord

er m

erg

ers

and

en

forc

emen

t in

co

llab

ora

tio

n w

ith

CC

C P

ub

lish

ed p

roce

du

res

13

M&

A

Leg

al

Dev

elo

p i

nte

ract

ion

/im

ple

men

tati

on

fra

mew

ork

bet

wee

n

CA

K a

nd

EA

CC

A t

o c

ater

fo

r m

erg

ers

and

en

forc

emen

t

case

s

Sig

ned

Imp

lem

enta

tio

n

fram

ewo

rk

1

3M

&A

Leg

al

To

in

crea

se d

eter

ren

ce

Dev

elo

p a

nd

im

ple

men

t B

uy

er P

ow

er g

uid

elin

es

Gu

idel

ines

ap

pro

ved

and

ad

op

ted

16

BP

Leg

al

Pri

ori

tize

, ev

alu

ate,

in

ves

tig

ate

and

co

ncl

ud

e

com

pla

ints

/cas

es o

n A

bu

se o

f B

uy

er P

ow

er.

% c

ases

co

ncl

ud

ed

22

31

5B

P

Co

nd

uct

sta

keh

old

er s

ensi

tiza

tio

n i

nit

iati

ves

Nu

mb

er o

f fo

rum

s

hel

d

22

6B

P

PP

R

Key

Act

ivit

ies

Ou

tpu

t

Ind

icat

ors

B

ase

lin

eA

nn

ual

Ta

rge

tB

ud

ge

t

(Ksh

s

Mil

lio

18/1

9

19/2

0

20

/21

. n)

Re

spo

nsi

bil

ity

Str

ateg

ic O

bje

ctiv

e

on

Ab

use

of

Bu

yer

Po

wer

TH

EM

E 2

: CO

NS

UM

ER

PR

OT

EC

TIO

N

Key

Act

ivit

ies

O

utp

ut

Ind

icat

ors

B

ase

lin

e

An

nu

al T

arg

et

B

ud

get

(Ksh

s.

Mil

lio

n)

Res

po

nsi

bil

ity

18/1

9

19/2

0

20/2

1

In

ves

tig

ate

and

co

ncl

ud

e co

nsu

mer

rel

ated

C

on

du

ct i

nv

esti

gat

ion

s re

lati

ng

to

un

con

scio

nab

le c

on

du

ct/d

iscl

osu

re o

f fu

ll

info

rmat

ion

in

ho

usi

ng

co

ntr

acts

spec

ifica

lly

fo

r fu

nd

ing

by

ba

nk

ing

inst

itu

tio

ns

(mo

rtg

ages

)

Init

iate

cas

es o

n p

rod

uct

in

form

atio

n

stan

dar

ds

reg

ard

ing

co

nsu

mer

pro

du

cts

such

as

foo

dst

uff

s ta

rget

ing

ch

ild

ren

Inv

esti

gat

e co

nsu

mer

iss

ues

rel

atin

g t

o f

alse

or

mis

lead

ing

rep

rese

nta

tio

n i

n t

he

juic

es,

edib

le o

ils,

wh

eat/

mai

ze fl

ou

r an

d b

row

n

bre

ads.

Nu

mb

er o

f d

ays

tak

en

to fi

nal

ize

case

s.

P

erce

nta

ge

of

case

s

com

ple

ted

.

120

60

%

90

10

0%

10

0%

10

0%

47C

PD

Co

llab

ora

te w

ith

sec

tor

reg

ula

tors

on

co

nsu

mer

pro

tect

ion

an

d i

nfo

rmat

ion

sh

arin

g.

·

Nu

mb

er

of

fin

aliz

ed

case

s

·

Per

cen

tag

e

of

case

s

com

ple

ted

.

3

100%

100%

100%

100%

8C

PD

, Leg

al,

PP

R

Co

llab

ora

te w

ith

Th

e N

atio

nal

Tre

asu

ry i

n

dev

elo

pin

g a

nd

im

ple

men

tin

g a

co

mp

reh

ensi

ve

info

rmat

ion

sh

arin

g f

ram

ewo

rk.

·

Inst

itu

tio

nal

fram

ewo

rk

esta

bli

shed

·S

trat

egy

dev

elo

ped

and

ap

pro

ved

0

100%

100%

6C

PD

, Leg

al,

PP

R

Str

ateg

ic O

bje

ctiv

e

To

in

crea

se

de

terr

ence

on

un

fair

and

mis

lead

ing

mar

ket

pra

ctic

es.

case

s.

·

·

·

con

sum

er

40 of 49

Strategic Plan (2017/2018 – 2020/2021)

K

ey

Act

ivit

ies

O

utp

ut

Ind

ica

tors

B

ase

lin

e

An

nu

al

Ta

rge

t

Bu

dg

et

(Ksh

s.

Mil

lio

n)

Re

spo

nsi

bil

ity

18

/19

1

9/2

0

20

/21

Str

ate

gic

Ob

ject

ive

Sen

siti

ze B

usi

nes

s C

om

mu

nit

y o

n t

he

Co

nsu

mer

Pro

tect

ion

an

d p

rov

isio

ns

of

the

Act

.

Sen

siti

ze

Ken

ya

Ban

ker

s A

sso

ciat

ion

(K

BA

)

Sen

siti

ze

Ken

ya

Man

ufa

ctu

rers

Ass

oci

atio

n (

KM

A)

Sen

siti

ze

asso

ciat

ion

s in

th

e in

sura

nce

sec

tor

Per

cen

tag

ein

crea

se o

f

awar

enes

s (A

war

enes

s

surv

ey).

Per

cen

tag

e

of

targ

eted

bu

sin

ess

reac

hed

.

40%

0

75

%

80%

80

%

90%

90

%

100%

6C

PD

Co

nd

uct

Pro

du

ct C

om

pli

ance

ch

eck

s.

Un

der

tak

e m

yst

ery

sh

op

pin

g o

n

exp

iry

dat

es o

f fa

st

mo

vin

g m

edic

ines

U

nd

erta

ke

my

ster

y s

ho

pp

ing

on

fo

od

pro

du

cts

targ

etin

g c

hil

dre

n

Nu

mb

er

of

mar

ket

scre

enin

gs

un

der

tak

en

(Rep

ort

).

0

1

1

18

CP

D, E

&C

.

init

iati

ves

on

co

nsu

mer

aw

aren

ess

and

em

erg

ing

co

nsu

mer

iss

ues

(C

amp

aig

ns,

mo

bil

e cl

inic

s, e

xh

ibit

ion

s a

nd

tra

de

fair

s

Sen

siti

ze c

on

sum

ers

on

e-fi

lin

g o

f

com

pla

ints

via

th

e m

ob

ile

ap

p

Qu

arte

rly

Rep

ort

s.

Per

cen

tag

e

incr

ease

of

con

sum

er a

war

enes

s.

4

40%

4

60%

4

70%

4

80%

26

C

PD

, C&

ER

,

PP

R

Co

llab

ora

te w

ith

oth

er s

tak

eho

lder

s to

in

crea

se

con

sum

er a

wa

ren

ess.

Nu

mb

er o

f ac

tiv

itie

s

coll

abo

rate

d o

n

0

1

1

7

C

PD

,

Rev

iew

an

d d

evel

op

co

nsu

mer

gu

idel

ines

. R

evie

w a

nd

rev

ise

con

sum

er p

rote

ctio

n

Gu

idel

ines

rev

iew

ed.

1

2

1

1

1

CP

D, L

egal

.

Dev

elo

p t

emp

late

s a

nd

to

olk

its

on

co

nsu

mer

T

oo

lkit

s an

d

Tem

pla

tes

app

rov

ed.

0

1

1

1

1

CP

D.

Dev

elo

p a

nd

dis

sem

ina

te s

tan

dar

ds

and

Ru

les.

Sta

nd

ard

an

d R

ule

s

app

rov

ed.

0

0

0

1

3

CP

D, L

egal

.

Pro

mo

te c

rea

tio

n, b

uil

d c

apa

city

an

d

coll

abo

rate

wit

h c

on

sum

er b

od

ies.

Nu

mb

er o

f re

po

rts

on

con

sum

er b

od

ies

coll

abo

rati

on

s.

1

1

1

1

5.5

CP

D, P

PR

· · · · ·

To

em

po

we

r

con

sum

ers

to e

xer

cise

cho

ice

thro

ug

h

con

sum

er a

war

enes

s.

Un

der

tak

e

amo

ng

oth

ers)

.

·

PP

R

To

en

han

ce

tran

spar

ency

,

acco

un

tab

ilit

y a

nd

pre

dic

tab

ilit

y o

f

con

sum

er m

a�er

s

·

g

uid

elin

es

p

rote

ctio

n.

To

pro

mo

te c

rea

tio

n

and

str

en

gth

enin

g o

f

con

sum

er b

od

ies

Strategic Plan (2017/2018 – 2020/2021)

41 of 49

PL

AN

NIN

G, R

ES

EA

RC

H

AN

D Q

UA

LIT

Y A

SS

UR

AN

CE

Key

Act

ivit

ies

O

utp

ut

Ind

icat

ors

B

ase

lin

e

An

nu

al T

arg

et

Bu

dg

et

(Ksh

s.

Mil

lio

n)

Res

po

nsi

bil

ity

18/1

9

19/2

0

20/2

1

C

on

du

ct s

tud

ies

in p

rio

riti

zed

sec

tors

incl

ud

ing

th

ose

id

enti

fied

in

Pro

du

ct

Mar

ket

Reg

ula

tio

ns

“D

ism

an

tlin

g

Reg

ula

tory

Ob

stac

les

to C

om

pet

itio

n”

Rep

ort

su

ch a

s; A

gri

cult

ure

, E

-co

mm

erce

,

Ele

ctri

city

, Fin

tech

, Pro

fess

ion

al

Ser

vic

es,

Pro

cure

men

t, I

nsu

ran

ce a

nd

Tra

nsp

ort

an

d

oth

er s

ecto

rs a

s id

enti

fied

by

th

e A

uth

ori

ty.

Sec

tor

stu

dy

rep

ort

s.

0

1

1

50

PP

R

Dis

ma

ntl

e at

lea

st o

ne

anti

-co

mp

etit

ive

reg

ula

tory

ob

sta

cle

ann

ua

lly

in

sel

ecte

d

sect

ors

to

un

lock

gro

wth

po

ten

tial

in

Ken

ya.

Nu

mb

er

of

adv

iso

ry

op

inio

ns

sou

gh

t an

d

giv

en.

0

1

1

1

4

PP

R

Est

ab

lish

su

ita

ble

Ad

vo

cacy

an

d

Co

mm

un

icat

ion

in

stru

men

ts f

or

key

stak

eho

lder

s at

th

e N

atio

nal

an

d C

ou

nty

lev

els

e.g

. o

utr

each

str

ateg

y f

or

anti

-car

tel

sen

siti

zat

ion

; d

evel

op

a n

etw

ork

of

mar

ket

reg

ula

tors

, gu

idel

ines

for

dev

elo

pin

g p

ro-

com

pet

itiv

e re

gu

lati

on

s an

d e

val

uat

ing

th

e

imp

act

of

cou

nty

an

d n

ati

on

al l

egis

lati

on

s.

Nu

mb

er o

f co

un

ties

reac

hed

an

d

par

tici

pat

ing

.

No

.

of

reg

ula

tors

par

tici

pat

ing

in

net

wo

rk.

7

6

6

6

20

PP

R

Dev

elo

p a

n a

nal

yti

cal

fram

ewo

rk f

or

pre

pa

rin

g a

dv

iso

ry o

pin

ion

s an

d

dev

elo

pin

g p

oli

cy b

rief

s fo

r v

ario

us

sect

ors

.

An

aly

tica

l

Fra

mew

ork

app

rov

ed.

0

1

0.5

PP

R, L

egal

.

Pre

par

e P

osi

tio

n P

ap

ers

on

var

iou

s

pro

po

sed

po

lici

es, B

ills

an

d l

egis

lati

on

s.

Nu

mb

er o

f p

osi

tio

n

pap

ers/

Ad

vis

ory

op

inio

ns

(Rep

ort

s).

42

33

0.5

PP

R

Str

ate

gic

Ob

ject

ive

TH

EM

E 3

:

To

deep

en

co

mp

etit

ion

in

the

nat

ion

al

mar

ket

s an

d

enh

ance

inte

gra

tio

n

reg

ion

all

y a

nd

Inte

rnat

ion

all

y.

Strategic Plan (2017/2018 – 2020/2021)

42 of 49

Strategic Plan (2017/2018 – 2020/2021)

43 of 49

Dev

elo

p t

arg

eted

pro

gra

ms

and

act

ivit

ies

for

cap

aci

ty b

uil

din

g o

f st

akeh

old

ers

on

co

mp

etit

ion

issu

es.

Nu

mb

er o

f se

ssio

ns.

P

erce

nta

ge

of

stak

eho

lder

s se

nsi

tize

d a

s

per

pla

n.

0

1

10

0%

1 100%

1 100%

9P

PR

, Leg

al.

En

gag

e w

ith

in

stit

uti

on

s o

f h

igh

er l

earn

ing

to

dev

elo

p c

urr

icu

la o

n c

om

pet

itio

n m

a�er

s.

Nu

mb

er o

f p

artn

ersh

ips

wit

h i

nst

itu

tio

ns.

Nu

mb

er o

f co

mp

etit

ion

-

rela

ted

co

urs

es o

ffer

ed.

0

2

2P

PR

En

han

ce s

urv

eill

an

ce i

n v

ario

us

sect

or

reg

ula

tors

in

the

eco

no

my

fo

r p

ote

nti

al

no

n-c

om

pet

itiv

e

reg

ula

tio

ns

and

po

lici

es.

Pre

par

e b

riefi

ng

rep

ort

s

on

sec

tor

reg

ula

tio

ns

and

po

lici

es.

0

1

11

1.5

PP

R, C

PD

.

Dev

elo

p a

nd

im

ple

men

t fr

amew

ork

s w

ith

RE

Cs

to

faci

lita

te h

arm

on

izat

ion

of

law

s an

d r

egu

lati

on

s fo

r

cro

ss b

ord

er c

om

pet

itio

n a

nd

co

nsu

mer

iss

ues

.

Nu

mb

er o

f co

op

erat

ion

fram

ewo

rks

sig

ned

.

1

1

15

PP

R, M

&A

, E

&C

,

Leg

al.

Part

icip

ate

/ u

nd

erta

ke

adv

oca

cy i

nit

iati

ves

an

d

info

rm r

ule

s an

d r

egu

lati

on

s o

f n

ew c

om

pet

itio

n

agen

cies

in

th

e re

gio

n.

Ad

vo

cacy

in

itia

tiv

e

rep

ort

s.

Ad

vo

cacy

an

d

Co

mm

un

icat

ion

Str

ateg

ies

imp

lem

ente

d

3

1

11

15P

PR

, M

&A

, E

&C

.

Part

icip

ate

in i

nte

rnat

ion

al f

oru

ms

and

ad

op

t

less

on

s le

arn

t

to e

ntr

ench

in

tern

atio

nal

bes

t

pra

ctic

es

at t

he

Au

tho

rity

.

Nu

mb

er o

f to

olk

its

dev

elo

ped

Co

nfe

ren

ce/

Wo

rksh

op

Rep

ort

s.

11

40P

PR

, C

&E

R.

Dev

elo

p a

nd

Im

ple

men

t C

o-o

per

atio

n

fram

ewo

rks/

MO

Us.

(PP

RA

, KM

A, K

LR

C&

ER

C,

amo

ng

oth

ers)

Nu

mb

er o

f M

OU

s si

gn

ed.

Per

cen

tag

eo

f w

ork

-pla

n

acti

vit

ies

imp

lem

ente

d.

6

2

100%

2 100%

2 100%

2P

PR

, E

&C

, L

egal

,

M&

A.

Co

llab

ora

te i

n t

he

esta

bli

shm

ent

of

Cen

tre

for

Co

mp

etit

ion

Law

an

d E

con

om

ic P

oli

cy (

CC

LE

P).

Cen

tre

esta

bli

shed

an

d

op

erat

ion

aliz

ed.

01

6.75

PP

R.

Dev

elo

p m

ark

et i

nq

uir

y g

uid

elin

es.

Mar

ket

in

qu

iry

gu

idel

ines

ado

pte

d.

01

0.5

PP

R, L

egal

.

Car

ry o

ut

pri

ori

tize

d m

ark

et i

nq

uir

es/

rese

arch

in

the

diff

eren

t se

cto

rs,e

.g. H

ealt

h, a

nd

Mar

itim

e,

Dig

ital

pla

tfo

rms

such

as

Fin

tech

an

d t

he

shar

ing

eco

no

my

.

Mar

ket

In

qu

iry

rep

ort

s.7

11

48P

PR

, M

&A

Leg

al.

En

gag

e w

ith

res

earc

h fi

rms

and

aca

dem

ia t

o

imp

rov

e ac

cess

to

res

earc

h m

ater

ial

for

pri

ori

tize

d

sect

ors

.

Ap

pro

ved

Pu

rch

ase

fram

ewo

rk.

Nu

mb

er o

f su

bsc

rip

tio

ns.

21

11

8P

PR

, M

&A

.

Key

Act

ivit

ies

O

utp

ut

Ind

icat

ors

Ba

seli

ne

A

nn

ual

Tar

get

B

ud

get

(Ksh

s.

Mil

lio

n)

Res

po

nsi

bil

ity

18/1

9

19/2

0

20/2

1

Str

ateg

ic O

bje

ctiv

e

Strategic Plan (2017/2018 – 2020/2021)

44 of 49

To

en

han

ce

Mo

nit

ori

ng

&

Ev

alu

atio

n.

Co

nd

uct

im

pac

t ass

essm

ent

on

th

e

Au

tho

rity

’s d

ecis

ion

s o

n s

elec

ted

sec

tors

.

Imp

act

Ass

essm

ent

Rep

ort

.

11

11

18.2

PP

R.

Ev

alu

ate

ach

iev

emen

ts o

f th

e A

uth

ori

ty’s

ann

ual

act

ivit

ies

, P

erfo

rman

ce C

on

trac

t

and

Str

ateg

ic P

lan

’s o

utc

om

es.

M

&E

rep

ort

s.

1

1

1

1

5

PP

R.

Mo

nit

or

leg

isla

tio

n (

Nat

ion

al

and

Co

un

ty)

and

pro

vid

e ad

vis

ory

op

inio

n o

n

com

pet

itio

n m

a�er

s.

M&

E r

epo

rts.

Nu

mb

er o

f ad

vis

ory

op

inio

ns

giv

en.

0

1

1

1

1

Leg

al,

PP

R.

To

ad

van

ce t

he

Au

tho

rity

’s I

nte

rnal

and

Ext

ern

al

Kn

ow

led

ge

Man

agem

ent.

Har

nes

s/C

aptu

re t

acit

an

d e

xp

lici

t

kn

ow

led

ge

fro

m s

taff

an

d o

ther

so

urc

es.

Nu

mb

er o

f in

terv

iew

s

con

du

cted

.

Nu

mb

er o

f v

ideo

clip

s.

Nu

mb

er o

f b

ack

to

offi

ce r

epo

rts.

N

um

ber

of

ple

nar

y

sess

ion

s h

eld

.

S

et u

p i

nfr

astr

uct

ure

to c

aptu

re t

acit

kn

ow

led

ge.

A

vai

l d

ata

and

info

rmat

ion

fo

r

shar

ing

.

Incr

ease

d a

cces

sib

ilit

y

and

uti

liza

tio

n o

f

sto

red

dat

a/in

form

atio

n.

Set

up

a r

eser

vo

ir o

f

kn

ow

led

ge.

0

0

4

4

4

6

PP

R.

Key

Act

ivit

ies

O

utp

ut

Ind

icat

ors

Ba

seli

ne

A

nn

ual

Tar

get

B

ud

get

(Ksh

s.

Mil

lio

n)

Res

po

nsi

bil

ity

18/1

9

19/2

0

20/2

1

Str

ateg

ic O

bje

ctiv

e

Strategic Plan (2017/2018 – 2020/2021)

45 of 49

Dev

elo

p a

nd

im

ple

men

t a

fram

ewo

rk f

or

sto

rag

e, d

isse

min

atio

n, a

pp

lica

tio

n a

nd

re

ten

tio

n o

f h

arn

esse

d k

no

wle

dg

e.

Eas

e o

f A

cces

sib

ilit

y.

Usa

ge:

N

o. o

f lo

gs/

req

ues

ts.

0

1

11

6P

PR

R

evie

w a

nd

Im

ple

men

t th

e in

stit

uti

on

al r

isk

man

agem

ent

fram

ewo

rk/p

oli

cy b

ased

on

ISO

900

1:20

15 a

nd

IS

O

3100

0.

Up

dat

ed r

isk

reg

iste

r.

Ap

pro

ved

ris

k

fram

ewo

rk.

R

isk

ass

essm

ent

rep

ort

s.

1

1

1

1

8.7

RQ

A, I

A.

Co

nd

uct

per

iod

ic c

om

pre

hen

siv

e

asse

ssm

ents

of

inst

itu

tio

nal

ris

ks.

Ris

k r

epo

rts.

1

1

1

1

2.5

IA.

Pre

par

e p

oli

cies

an

d p

roce

du

res

to d

efin

e

the

min

imu

m l

evel

s o

f sa

fety

, av

aila

bil

ity

and

co

nti

nu

ity

of

the

Au

tho

rity

’s o

per

atio

ns

Rev

iew

ed a

nd

app

rov

ed p

oli

cies

an

d

pro

ced

ure

s.

1

1

1

1

2R

QA

Iden

tify

po

ten

tial

im

pac

ts (

risk

s an

d

thre

ats)

th

at e

xp

ose

th

e A

uth

ori

ty

Nu

mb

er o

f B

usi

nes

s

con

tin

uit

y p

lan

s

dev

elo

ped

9

13

7R

QA

Pro

vid

e a

fram

ewo

rk f

or

bu

ild

ing

eff

ecti

ve

resp

on

ses

to i

den

tifi

ed t

hre

ats

Fra

mew

ork

pre

par

ed

and

ad

op

ted

1

2.5

RQ

A

Sen

siti

ze s

taff

on

iss

ues

rel

ated

to

fra

ud

an

d

corr

up

tio

n

Nu

mb

er o

f st

aff

sen

siti

zed

62

99

3R

QA

, IA

.

Inv

esti

gat

e an

d r

epo

rt o

n m

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late

d t

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ases

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ated

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d

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ded

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rts

sub

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10

0%

3R

QA

, IA

.

Rev

iew

of

the

anti

-co

rru

pti

on

po

licy

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ed a

nd

ap

pro

ved

p

oli

cy1

3R

QA

, IA

.

Key

Act

ivit

ies

O

utp

ut

Ind

icato

rs

Ba

seli

ne

A

nn

ual

Targ

et

Bu

dg

et

(Ksh

s.

Mil

lio

n)

Resp

on

sib

ilit

y

18/1

9

19/2

0

20/2

1

inst

itu

tio

nal

ris

k

Str

ate

gic

Ob

ject

ive

To

en

han

ce

man

agem

ent

pra

ctic

es.

Strategic Plan (2017/2018 – 2020/2021)

46 of 49

To

in

cre

ase a

nd

im

pro

ve t

arg

ete

d

ou

treach

an

d

aw

are

ness.

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lem

en

t th

e

co

mm

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ica

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n

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ate

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dert

ak

e a

wa

ren

ess

acti

vit

ies,

gen

era

te I

EC

m

ate

ria

ls s

uch

as

blo

gs,

op

inio

n p

ieces,

Co

mm

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ica

tio

n r

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s

– b

log

s, p

ress r

ele

ases.

In

terv

iew

op

po

rtu

nit

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n

ma

ss m

ed

ia, w

ith

a b

ias

for

loca

l T

V a

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cia

l m

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15

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%

0

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1

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90

50

%

20

1

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10

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50

P

PR

CP

D.

To

en

han

ce

co

rpo

rate

vis

ibil

ity

(l

ocall

y,

reg

ion

all

y,

an

d

inte

rnati

on

all

y).

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dert

ak

e A

nn

ua

l C

SR

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itia

tiv

es.

Nu

mb

er

of

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ort

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n C

SR

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cti

vit

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ssa

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ng

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ree p

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g

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3

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4

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ER

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rtic

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n w

ork

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op

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ther

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ustr

y,

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r,

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ion

al

an

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nte

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rksh

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nfe

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ce

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ort

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ld a

n I

nte

rna

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l C

om

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etw

ork

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ce i

n K

en

ya

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0

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10

PP

R

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du

ce a

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sem

ina

te I

EC

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ate

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ew

med

ia c

ha

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wit

h

targ

ete

d m

essa

ges a

bo

ut

the

Au

tho

rity

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an

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te.

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mb

er

of

op

inio

n

art

icle

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n k

ey

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tio

na

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ap

ers

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ub

lica

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sem

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f a

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ua

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mb

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vis

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dio

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5P

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str

en

gth

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med

ia r

ela

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ns.

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ild

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cit

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f jo

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mp

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sp

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them

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ER

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ing

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e

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nu

al T

arg

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9

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Str

ateg

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bje

ctiv

e

co

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n t

he A

uth

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ty.

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po

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EM

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: V

ISIB

ILIT

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ND

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RP

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MA

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: OR

GA

NIZ

AT

ION

AL

SU

ST

AIN

AB

ILIT

Y S

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egic

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ject

ive

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Act

ivit

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O

utp

ut

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icat

ors

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ase

lin

e

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nu

al T

arg

et

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dg

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s.

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lio

n)

Res

po

nsi

bil

ity

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9

19/2

0

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1

T

o b

road

en r

even

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En

han

ce c

oll

ecti

on

of

fees

an

d

pen

alti

es a

nd

co

nti

nu

ou

sly

iden

tify

po

ten

tial

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enu

e li

nes

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ncr

ease

in

am

ou

nt

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)

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wth

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0

F

inan

ce, M

&A

,

E&

C, C

PD

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dg

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atio

nal

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row

th

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10%

0

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ance

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gag

e w

ith

dev

elo

pm

ent

par

tner

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in

crea

se t

he

fun

din

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po

ol

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nd

ing

pro

po

sals

ap

pro

ved

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ou

nt

rece

ived

/ A

mo

un

t

1

2 add

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-

nal

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0

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ance

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R

M&

A, C

PD

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op

tim

ize

use

of

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lem

ent

cost

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uct

ion

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sure

s

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edu

ctio

n i

n a

nn

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erat

ion

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xp

ense

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du

ctiv

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d

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erag

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n I

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tech

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log

y t

o i

mp

rov

e effi

cien

cy

of

inte

rnal

pro

cess

es, o

per

atio

ns

and

pro

ced

ure

s

(ER

P, C

ase

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agem

ent,

Mo

bil

e

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pli

cati

on

s, G

ov

ern

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k

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mp

lian

ce –

(CA

AT

s an

d

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rk-p

aper

s), F

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c an

aly

sis,

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P, B

CP

am

on

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ther

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ated

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edu

ctio

n i

n L

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e

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0

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A,

PP

R, I

A, S

CM

,

Fin

ance

TH

EM

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stre

ams

,

reso

urc

es

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im

pro

ve

effici

ency

Strategic Plan (2017/2018 – 2020/2021)

47 of 49

Strategic Plan (2017/2018 – 2020/2021)

48 of 49

Imp

rov

e o

n R

esea

rch

in

fras

tru

ctu

res

for

Dat

a A

nal

ysi

s an

d s

har

ing

% c

om

ple

tio

n o

f R

esea

rch

an

d

An

aly

sis

of

case

s

010

0%10

0%10

0%5

PP

R, IC

T

Rev

iew

an

d i

mp

lem

ent

inte

rnal

as

wel

l

as

statu

tory

p

erfo

rman

ce m

anag

emen

t

an

d q

ual

ity

man

ag

emen

t sy

stem

s

% o

f ta

rget

s ac

hie

ved

ag

ain

st

pla

nn

ed

% o

f p

erfo

rman

ce a

chie

ved

Inte

rnal

an

d e

xte

rnal

au

dit

rep

ort

s

60%

80%

3

70%

100%

3

80%

100%

3

80%

100%

3

2

HR

A, P

PR

, IA

Incu

lcat

e a c

ult

ure

of

self

-ass

essm

ent

an

d c

on

tin

uo

us

imp

rov

emen

t o

f th

e

var

iou

s d

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tmen

ts a

nd

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its

wit

hin

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Au

tho

rity

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dit

rep

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s

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evel

of

com

pli

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xte

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9

100%

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100%

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9

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1

DG

, IA

Dev

elo

p a

nd

rev

iew

op

erat

ion

al a

nd

pro

ced

ure

man

ual

s in

li

ne

the

rele

van

t

ISO

sta

nd

ard

Ap

pro

ved

man

ual

s

(F

inan

ce, P

rocu

rem

ent,

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tern

al

Au

dit

)

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tern

al A

ud

it C

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fica

te

0

1

1

1

1

4

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ance

, P

roc.

Dev

elo

p, r

evie

w a

nd

im

ple

men

t

org

aniz

atio

nal

po

lici

es

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pro

ved

an

d i

mp

lem

ente

d

po

lici

es

26

20

HR

&A

Imp

lem

ent

init

iati

ves

th

at c

reat

e

a co

nd

uci

ve

wo

rk e

nv

iro

nm

ent

(Em

plo

yee

en

gag

emen

ts,

wel

lnes

s, s

atis

fact

ion

su

rvey

s,

Ph

ysi

cal

env

iro

nm

ent)

En

gag

emen

t ac

tiv

itie

s

con

du

cted

/rep

ort

s

Sat

isfa

ctio

n l

evel

s

Ow

n o

ffice

acc

om

mo

dat

ion

2

73.7

%

0

3

3

1

3

689

HR

&A

Rev

iew

th

e A

uth

ori

ty’s

Org

aniz

atio

n S

tru

ctu

re &

dev

elo

p c

om

pet

ency

bas

ed J

ob

s

des

crip

tio

ns

alig

ned

to

th

e

stru

ctu

rean

d e

nsu

re m

erit

bas

ed

recr

uit

men

t

Ap

pro

ved

Org

aniz

atio

n

Str

uct

ure

wit

h c

lear

rep

ort

ing

lin

es

1

1

7.90

HR

&A

Dev

elo

p, r

evie

w a

nd

im

ple

men

t

hu

man

res

ou

rce

inte

rven

tio

ns

aim

ed a

t a�

ract

ing

, dev

elo

pin

g

and

ret

ain

ing

tal

ent

Tra

inin

gs

imp

lem

ente

d

Cap

acit

y d

evel

op

men

t re

po

rts

Sch

emes

an

d b

enefi

ts

11

1

1,18

0H

R&

A

To

en

han

ce

inst

itu

tio

nal

cap

acit

y

Str

ateg

ic O

bje

ctiv

eK

ey A

ctiv

itie

s

Ou

tpu

t In

dic

ato

rs

Ba

seli

ne

A

nn

ual

Tar

get

B

ud

get

(Ksh

s.

Mil

lio

n)

Res

po

nsi

bil

ity

18/1

9

19/2

0

20/2

1

AP

PE

ND

IX I

II: M

ON

ITO

RIN

G &

EV

AL

UA

TIO

N

RE

PO

RT

ING

TE

MP

LA

TE

ST

RA

TE

GIC

TH

EM

E:

Imp

lem

enta

tio

n Y

ear:

N

o.

Act

ivit

y

Ou

tpu

t

Ind

icat

or(

s)

An

nu

al Ta

rget

Ach

iev

emen

ts

%

var

ian

ce

Mil

esto

nes

C

hal

len

ges

R

emar

ks

Q1

Q

2

Q

3 Q

4

T

ota

l

S

tra

teg

ic O

bje

ctiv

e 1

:

Strategic Plan (2017/2018 – 2020/2021)

49 of 49