ANTI-CORRUPTION POLICY
Table of Contents
Acronyms  11
FOREWORD  iv
EXECUTIVE SUMMARY  1
INTRODUCTION  2
Section 1: Policy Statement wi.'L.C;'.......  4
Section 2: Key Principles and Objectives ...4^.  6
Section 3: Legislative and Administrative Requirements/Context.... 8
Section 4: Scope .>/................. ............... 10
Section 5: Definitions............................................ -L...  10
Section 6: Preventive Measures 12
6.1: Internal Control Environment  14
6.2: Internal Control Systems  14
6.3: Corruption Risk Areas  15
6.3.1: Organisation culture  15
6.3.2: Administration Directorate  16
6.3.3: Human Resource Management  17
6.3.4: Human Resource Development  18
6.3.5: Information, Communication and Technology (ICT) Systems . 18
6.3.6: Records Management  19
6.3.7: Accounts  19
6.3.8: Finance  20
6.3.9: Internal Audit 20
6.3.10: Transport Unit  20
6.3.11: Planning and Management of Projects 21
6.3.12: Rural Planning Directorate  21
6.3.13: Sectoral Planning Directorate  22
6.3.14: Macro Planning Directorate  22
6.3.15: Infrastructure, Science, Technology and Innovation Directorate 23
6.3.16: Monitoring & Evaluation Directorate  23
Section 7: Composition of the Corruption Prevention Committee (CPC) 24
7.1: Mandates and operations of the CPC Committee 24
7.2: Responsibility Structures  25
7-3: Role of Integrity Assurance Committee 29
Section 8: Training and Disclosure Pr< 1
Section 9: Reporting Procedures
Section 10: Investigation Procedure ...
Section 11: Action Following Breaches
Section 12: Reviews of the Policy
Acronyms
ACECA -Anti-Corruption and Economic Crimes Act
AIE -Authority to Incur Expenditure
CEO -Chief Executive Officer
CFO -Chief Finance Officer
CPC -Corruption Prevention Committee
CPP -Corruption Prevention Plan
CRA -Corruption Risk Assessment
DAMER -District Annual Monitoring and
Evaluation Report
DDO -District Development Officer
DDP -District Development Plan
DPM -Directorate of Personnel Management
EACC -Ethics and Anti Corruption Commission
EFT -Electronic Funds Transfer
EPS -Economic Planning Secretary
HOD -Head of Department
IAC -Integrity Assurance Committee
IAO -Integrity Assurance Officer
lAOs -Integrity Assurance Officers
KACA -Kenya Anti-Corruption Authority
KACC -Kenya Anti-Corruption Commission
M&E -Monitoring and Evaluation
MSPND&V2030 -Ministry of State for Planning, National
Development and Vision 2030
MTC -Ministerial Training Committee
NEPAD -New Partnership African for African
Development
NIMES -National Integrated Monitoring and
Evaluation System
OP -Office of the President
PAC -Principal Accounts Controller
PEC -Poverty Eradication Commission
PIC -Public Investment Committee
PS -Permanent Secretary
PSIP -Public Service Integrity Programme
PSRP -Public Service Reform Programme
TAS -Technical Assistance Staff
TNA -Training Needs Assessment
FOREWORD
Corruption continues to be insidious around the globe and
Kenya in particular. It deepens poverty by distorting political,
economic and social life. Corruption means that decisions are
taken not for the benefit of the public but to serve private
interests. Democratic institutions are weakened, as public trust
in and support for politicians as well as public servants is lost.
Corruption also harms trade, deters investment, threatens
environment, leads to human rights abuses and makes it
impossible for thousands of Kenyans to earn an honest living.
Fraudulent and corrupt practices directly affect the viability of
our social contract by altering the nature of the relationship
between government and citizens, a relationship where the
public officials are not providing what is expected, and where
citizens no longer trust their authorities.
The Ministry recognizes the adverse effect that such practices
could have on its activities and operations, and is committed to
preventing them and taking decisive action where they are found
to occur. In this regard the Ministry of State for Planning
National Development &Vision 2030 has developed this policy
to enhance accountability, make service delivery contribute to
poverty reduction and raise ethical standards among Ministry
staff by enhancing the quality of performance and professional
leadership in planning services.
Dr. Edward Sambili, CBS
Permanent Secretary
Ministry of State for Planning, National Development and
Vision 2030
IV
EXECUTIVE SUMMARY
Fraudulent, corrupt and/or collusive practices are contraxy to
the core values of the Ministry of State for Planning, National
Development & Vision 2030. The Ministry recognizes the
adverse effect that such practices could have on its activities and
operations, and is committed to preventing them and taking
robust action where they are found to occur. In particular, the
Ministry of State for Planning, National Development & Vision
2030 is committed to preventing:
i) Fraud and corruption perpetrated by Ministry of State for
Planning, National Development & Vision 2030 staff
members and non-staff employees;
ii) I Taud perpetrated against Ministry of State for Planning,
National Development & Vision 2030 by cooperating
partners, suppliers or other third parties; and
iii) Any collusive practices among any such parties.
Ministry of State for Planning, National Development &
Vision 2030 is committed to transparency and
accountability in the management of its resources in
order to ensure the effective delivery of its Strategic
Objectives. To this end, this Policy seeks to prevent
fraudulent, corrupt and/or collusive practices through:
i) appropriate internal checks and balances;
ii) staff training and awareness;
iii) due diligence practices in the recruitment and promotion
of Ministry of State for Planning, National Development
& Vision 2030 staff members, non-staff employees and
the hiring of contractors;
iv) effective internal and external auditing controls; and
v) Reporting of investigation and prosecution of
perpetrators of corruption.
INTRODUCTION
Corruption as a problem in Kenya dates back to the colonial
times. In 1956, the Colonial authorities passed the Prevention of
Corruption Act, (Cap 65-laws of Kenya) in an effort to provide a
legal framework for combating public corruption. It provided
for the punishment of bribery involving holders of public office.
In 1991 the Act was amended by the government of Kenya to
provide stiffer penalties for those convicted of corruption.
The government of Kenya further established the Anti­
Corruption Squad in the Police Force in 1993 to spearhead the
fight against corruption. In 1997, the Prevention of Corruption
Act was amended to establish the Kenya Anti Corruption
Authority (KACA), which was later declared unconstitutional in
2000.
In 2001, the Anti Corruption Police Unit was formed
administratively to continue with the work of KACA. The unit
existed until the enactment of the Anti Corruption and
Economic Crimes Act (ACECA) in May 2003, which established
the Kenya Anti Corruption Commission. The ACECA replaced
the Prevention of Corruption Act, 1956.
The ACECA mandated the Kenya Anti-Corruption to among
other things issue guidelines on the preparation of Anti­
Corruption policies in Ministries and State Agencies.
The Ministry has therefore incorporated the guidelines
provided by the Kenya Anti-Corruption Commission, (now
known as Ethics and Anti-Corruption Commission after the
enactment of Ethics and Anti-corruption Act, 2011 following the
promulgation of the constitution in the year 2010) which
advocate using the eleven - point framework listed below.
I. Responsibility structures and mandate
ii. Employee awareness
iii. Customer and public awareness
iv. Information dissemination
v. Conduct and disciplinary systems
vi. Reporting systems
vii. Scope/applicability
viii. Definitions of corruption
i-. Corruption risk areas and practices in the Ministry
Internal Audit reviews
Effective date
Section i: Policy Statement
This Anti- Fraud and Anti-Corruption Policy of the Ministry of
State for Planning, National Development and Vision 2030
(MSPND&V2030) (hereby referred to as “the Policy”) sets out
the policy and procedures relating to fraud, corruption and/or
collusion. The objectives and procedures outlined in this
document are based on and reflect the principles set out in (i)
sections 73, 75(1) &(2), 76 and 77 (1) & (2) Chapter six of the
Constitution of Kenya on Leadership and Integrity (ii) Public
Service Commission Act Cap 185 (revised), (iii) Public Service
Code of Regulations, (iv) Financial Regulations and Rules, (v)
Code of Conduct and Ethics for the staff of the Ministry, (vi)
Resource Manual for Corruption Prevention in the Public
Service, (vii) Public Officer Ethics Act, 2003, (viii)Public
Procurement and Disposal Act 2005, (ix)Anti-corruption and
Economic Crimes Act 2003 and (x) Ethics and Anti Corruption
Act, 2011.
Fraudulent, corrupt and/or collusive practices are contrary to
the Ministry's core values. The Ministry recognizes the adverse
effect that such practices could have on its activities and
operations, and is committed to preventing them and taking
robust action where they are found to occur. In particular, the
Ministry is committed to preventing fraud and corruption
perpetrated by staff members and non-staff employees; fraud
perpetrated against the Ministry by collaborating Ministries
and State agencies, cooperating partners, suppliers or other
third parties; and any collusive practices among any such
parties.
Given that fraudulent, corrupt and/or collusive practices may
occur also in the field, the Ministry shall implement this policy in
all its offices, both at the county and Headquarters.
The Ministry of State for Planning, National Development & 
Vision 2030 is committed to transparency and accountability in
the management of its resources in order to ensure the effective
fulfillment of its strategic objectives. To this end, this Policy
seeks to prevent fraudulent, corrupt and/or collusive practices
through:
i. Management responsibility,
ii. Equitable allocation of resources
iii. Appropriate internal checks and balances;
iv. Staff training and awareness;
v. Due diligence practices in the recruitment,
deployment and promotion of staff members;
vi. Selection of non-staff employees and hiring of
contractors and consultants;
vii. Effective internal and external auditing controls;
viii. Objective recognition and reward of excellence
ix. Taking disciplinary action which shall include
prosecution of perpetrators in a court of law.
Statement of the Ministry Regarding Corruption
The Ministry of State for Planning, National Development &
Vision 2030 has zero tolerance for fraud, corruption and
collusive practices.
It accordingly does not, shall not, tolerate any fraudulent,
corrupt and/or collusive practices in the course of its activities or
operations. Reports of any such practices, or any attempts
thereof, should be promptly reported to the Office of the
Permanent Secretaiy by telephone or fax or to the email address:
hotline@planning.go.ke
Section 2: Key Principles and Objectives
The Ministry of State for Planning, National Development &
Vision 2030 does not, shall not, tolerate any fraudulent, corrupt
and I or collusive practices in the course of its operations.
The key principles of this Policy are:
a) Culture: seek to create an anti-fraud, anti
corruption and zero tolerance culture.
b) Deterrence: work closely with the Lead
Authority, Police and other relevant external
agencies to combat fraud or corruption and
support national and local initiatives against
fraud and corruption affecting the Ministry.
c) Prevention: seek to ensure new policies,
systems and work practices are designed to aid the
prevention of fraud and corruption and to revise
existing ones to remove any identified
weaknesses.
d) Detection: provide secure mechanisms and
supporting policies for employees to voice their
genuine concerns and protect those who volunteer
information.
e) Investigation: adopt formal, clear procedures to
investigate fraud or corruption when it is
suspected.
f) Sanctions: deal with perpetrators of fraud or
corruption and have no hesitation in referring
cases to the Police and other enforcement
agencies as appropriate.
Redress: will take all reasonable measures in
relation to seeking redress in respect of money and
assets defrauded.
Section 3: Legislative and Administrative
Requirements/Context
The Ministry recognizes that fraud and corruption are costly,
both in terms of reputational risk and financial losses, including
the use of resources in dealing with and resolving any suspected
or identified cases. Therefore a key objective of the Policy is the
prevention of fraud and corruption and key element of
prevention is to have a range of interrelated strategies and
procedures that together create an anti-fraud / corruption
culture.
The legal instruments and institutional frameworks that will
guide the implementation of the policy include;
a) Legislative
The Constitution of Kenya
Witness Protection Act, 2007
Public Procurement and Disposal Act, 2005
Government Financial Management Act, 2004
Public Officer Ethics Act, 2003
Anti-Corruption and Economic Crimes Act, 2003
Official Secrets Act, Cap 187 Laws of Kenya
Kenya Public Service Commission Act Cap 185
(revised)
b) Administrative
The Permanent Secretary/Accounting Officer will:
Formulate targets in fulfillment of the performance
contract guidelines under the Public Service Reform
Programme (PSRP).
Enforce adherence to the provisions of:
I. Chapter 6 of the Constitution of Kenya on Leadership
and Integrity
ii. The Code of Regulations, 2006
iii. GOK Financial Regulations, 1989
iv. Code of Conduct & Ethics
Under the Public Service Integrity Programme
(PSIP),
i. Establish a Corruption Prevention Committee (CPC)
ii. Establish Integrity Assurance Committee (IAC)
iii. Appoint Integrity Assurance Officers (lAOs)
iv. Develop and Implement Corruption Prevention Plans
Undertake awareness creation/dissemination
vi. Set up Corruption reporting desk, hotline and e-mail
Section 4«’ Scope
This Policy applies to all activities and operations of Ministry of
State for Planning, National Development & Vision 2030
undertaken by all Directorates and Semi-Autonomous
Government Agencies in the Ministry including:
i) Any project funded by the Ministry; and
ii) Any project implemented by the Ministry and any
State Agency and/or cooperating partner.
The Policy applies to all the Ministry staff members and non­
staff employees (project management staff), including but not
limited to:
i) Consultants;
ii) Temporary Staff
iii) Technical Assistance Staff (TAS) nd
iv) Internsand Volunteers.
Contractual arrangements between the Ministry and
cooperating partners, suppliers or other parties shall prohibit
fraudulent, corrupt and/or collusive practices and refer to this
Policy.
Sections: Definitions
The following definitions shall apply to this Policy:
a) Corruption is derived from the Latin word
corruptus (spoiled) and corrumpere (to ruin; to
break into pieces). There is no universally accepted
definition of corruption, but for the purpose of this
policy corruption is perceived to include: improper use
of power/privileges/office for benefit to any person(s);
bribery, theft, embezzlement and fraud; evasion of
payment of Government revenues, taxes, rates, fees and
other dues; practicing of nepotism, tribalism, clanism;
practicing discrimination on the basis of religion,
gender or disability; inversion and distortion of social
values including soliciting for and giving sexual and
other favours; and negligence of professional ethics.
b) Corrupt practice is the offering, giving, receiving or
soliciting directly or indirectly, or attempt thereof, of
anything of value to influence improperly the actions of
another party.
c) Types of corruption
Grand corruption is an expression used to
describe corruption that pervades the highest
levels of government, engendering major
abuses of power and erosion of the rule of law,
economic stability and confidence in good
governance.
Petty corruption/administrative corruption
involve the exchange of very small amounts of
money, and granting of small favours which
can carry considerable publiclosses.
Active and passive corruption - “active
bribery” usually refers to the act of offering or
paying a bribe, while passive corruption
“bribery” refers to the requesting or receiving
of a bribe.
d) Bribery is the act of conferring a benefit in order to
improperly influence an action or decision. It can be
initiated by an official who asks for a bribe, or by a person
who offers to pay one.
e) Fraudulent practice is any act or omission, including
any misrepresentation, that knowingly misleads, or
attempts to mislead, a party to obtain any financial or
other benefit or to avoid any obligation.
(tT)
f) Collusive practice is an arrangement among two
or more parties designed to achieve an improper
purpose, including but not limited to, influencing
improperly the actions of another party or engaging in
price-fixing.
g) Embezzlement - essentially is the theft of property
by someone to whom it is entrusted.
h) Theft - is the stealing by an individual exploiting
his/her position of employment.
i) Extortion - is the coercion to induce cooperation
such, as strikes or violence or the exposure of sensitive
information.
j) Abuse of function - is exercising discretion to use
official position to benefit oneself or to purchase
goods or services which hold a personal interest or
undertaking real estate development that will
increase the value of one's property.
k) Favouritism and Nepotism - favoritism,
nepotism and clientelism all involve abuses of
discretion which does not involve a direct personal
benefit to an official but to promote the interests
of those linked to the officials.
1) Conflict of Interest - is a form of corruption
involving the creation or exploitation of some
conflict between the professional/official
responsibilities of an individual and his or her
private interests.
5:1. Indicators of Fraud or Corruption
i. Non-separation of duties
ii. Remote locations lacking supervision
iii. Untidy or immaculate record keeping
iv. High incidence of error
v. Individuals who have a very close/cosy relationship with
suppliers/contractors
vi. An individual who is generally dismissive of rules.
vii. Unexplained wealth and sudden change of lifestyle.
Rvieiil.uctance  to take leave.
ix. Supplier/Contractor who insist on dealing with one
particular member of staff.
x. Staff being first to arrive in the morning, last to leave at
night.
Section 6: Preventive Measures
6.1: Internal Control Environment
A most important aspect of the responsibilities of all levels of
management is the establishment and maintenance of a sound
internal control environment.
The ministrywill initiate internal processes designed to
provide reasonable assurance regarding the attainment of these
primary objectives: i) reliability and integrity of information, ii)
compliance with policies, plans, procedures, laws and
regulations, iii) safeguarding of assets, iv) the economical and
efficient use of resources, v) the accomplishmen' of established
goals and objectives for operations or programs and
prevent/reduce the opportunity for fraud and corruption to
occur.
Common examples of internal environment controls
include:
Segregation of duties;
Identification and declaration of conflict of interest;
Adherence to and promotion of Ministry's policy;
Effective leadership-setting tone at the top;
Security (physical and information systems);
Supervision (internal reviews);
Approvals within delegated authority;
Regular reconciliations;
Sound budget control including regular review;
Regular review of management reports;
Clear reporting lines;
Rotation of staff responsibilities; and
Use alternatives to cash (purchasing cards etc).
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6.2: Internal Control Systems
Consistent with existing systems in place under applicable
Government of Kenya Civil Service Regulations, Financial
Regulations and Procedures, Rules, Manuals and policies, all
officers of the Ministry shall prevent and detect fraudulent,
corrupt and/or collusive practices by:
a) Identifying areas of operations that are more vulnerable
to the risks of fraudulent, corrupt and/or collusive
practices;
b) Implementing and monitoring robust risk management
and internal control systems that are easily accessible by
internal and external auditors;
c) Monitoring risks on an ongoing basis and regularly
assessing the effectiveness of the internal controls;
d) Complying with requirements of ISO 9001:2008
Q ? S (Standards & Procedures)
e) Maintaining of file records on transactions in accordance
with Ministry procedures; and
f) Conducting staff and employee training on internal
control systems to prevent, detect and report fraudulent,
corrupt and/or collusive practices.
6.3: Corruption Risk Areas
The MSPND&V2030 guidelines on dealing with fraud and
corruption indicate some of commonly perceived high risk
areas:
I"7 f nriiriii
6-3-1: Oi’ganisation culture
Organisation culture plays a significant role in influencing /
members in an organisation in terms of commitment, loyalty ')
and satisfaction.
I
Organization Culture
i. Influences employee behaviour through already
existing patterns
ii. Influences behaviour through the standards set
iii. Influences organisation strategies, integration of
technologies, intergroup conflicts,
communication and socialization.
iv. Influences the degree of analysis and
understanding of organisation dynamics
v. Determines how the organisation solves their
problems
Risks
i) Non segregation of duties
ii) Conflict of interests t
iii) Lack of professionalism, and ne,
iv) Ineffective leadership \ d-o.
v) Insecure work environment^
(physical and information sysfe:
vi) Lax supervision --------
vii) Fi n a n r i a 1 i mnrnnripfv ’^^^£203.
vUisiie)  of public office for personal gain
ix) Lack of commitment to work
x) Giving and receiving bribes and favors
xi) Lateness and absenteeism
xii) Nepotism and tribalism
xiii) Appointments based on other considerations
other than merit
xiv) Disregard or downplaying of formal structures 
16
and rules and regulations
xv) Emergence of powerful informal “know who” and
“godfather” networks and,
xvi) Myths of losing one's job if one doesn't succumb
to request and pressures to violate rules and
regulations
6.3.2: Administration Directorate^ \
II * 0 2 APR 2013 *}
Supply Chain Management \ RECEIVED^
Risks
i. Unverified information given by suppliers
ii. Committee members are compromised to short
list unqualified suppliers
iii. Unclear criteria for selection of Evaluation
Committee Members
iv. Collusion with bidders in issuance of quotations
v. Alteration of bid documents
vi. Failure to undertake market surveys
vii. Failure to adhere to procurement plan
viii. Receipt of sub-standard goods and services
ix. Vested interests in preparation of payments
x. Procurement of goods and services that are not
demand driven and lack user inputs leading to loss
of finances (urgent purchases)
xi. Overvalued goods and services
6.3.3: Human Res our ce M anagement
Risks
i. Unrestricted access to records
ii. Misplacement of files
iii. Misfiling/storage of files
iv. Deliberate delays in adjustment of salaries after
promotion/ upgrading
v. Falsification of records
vi. Vested interests - transfers and deployment for
personal/punitive purposes
vii. Lack of induction for newly employed officers
viii. Recruitment
ix. Promotion
x. Discipline
xi. Lack of succession management plans
6.3.4: Human Resource Development
Risks
i. Trainee(s) selection bias - denying opportunities
to deserving employees
ii. Unplanned trainings
iii. Discretion in announcement of courses
originating from DPM
iv. Ad hoc identification of persons to attend
training, not based on TNAs and in lie absence of
training plans
v. Failure to disclosure actual cost of a training
6.3.5: Information, Communication and Technology
(ICT) Systems
Risks
i. Procurement/receipt of sub-standard equipment
ii. Collusion with supplier(s) for tailor made
specifications
iii. Repair of ICT equipment at inflated costs
iv. Unnecessary repair of ICT equipment.
v. Use of cash in purchasing ICT spares
vi. Repeated and /or unexplained loss of assets
particularly portable and attractive assets such as
18
laptops, digital cameras
6.3.6: Records Management
Records are tools of administration and communication to
ensure business continuity and effective service delivery. The
Ministry has thus identified risks and mitigating measures for
the management of records. The General objective is to
understand the need for sound records management to enhance
the fight against corruption.
Risks
i. Failure to document action
ii. Capturing wrong information
iii. Misfiling
iv. Failure to file
v. Poor title of files
vi. Falsification or distortion of information content
vii. T heft of Records
vi , Purging of Records
ix. Peddling of information to persons for
i'inancial/personal gain.
x. Disposal of records without authority.
6.3.7: Accounts
Risks
i. Deliberate delay in processing of payments
ii. Discretion in expenditure commitment
iii. Discretion of charging of expenditure to vote
heads of other directorates
iv. Preferential treatment in voucher examination
v. Deliberate delays in invoicing
vi. Preference in voucher preparation
vii. Improper use of authority to sanction an officer to
apply and issuance of imprest for unofficial
purpose,
Cviaiis.hing  money on behalf of others
ix. Discretion in terms of officer Evading regulations
on surrender of imprests
x. Collusion with accounts staff not to reflect
outstanding imprest
6.3.8:Finance
Risks
i. Inadequate involvement of directorates in
preparation of ministerial budget
ii. Inadequate budget provisions
iii. Non adherence to budget allocations
iv. Inadequate staff.
6.3.9: Internal Audit
Risks
i. Delays in release of audit reports
ii. Inadequate capacity in Internaldit
iii. Compromised audit reporting
6.3.io:Transport Unit
Risks
i. Unplanned requisition of vehicles
ii. Biased allocation of duties to drivers
iii. Unscheduled servicing and repairs of vehicles
iv. Falsification of mileage
v. Fuel siphoning
vi. Seeking imprest for fuel while the vehicle is on fuel
card facility
vii. Misuse of safari contingency imprest
20
6.3.11: Planning and Management of Projects
Risks
i. Inconsistency of project objectives with the
organization's goals
ii. Discretion, lack of guidelines or non-adherence to
prefeasibility study
iii. Communication deficit
iv. Interference by interested groups and individuals
v. Failure to adequately liaise with all stakeholders,
users, project support personnel
vi. Lack of transparency resulting in undisclosed co­
financing and wastage
vii. Lack of accountability
Uviniir.ealistic  deadlines
ix. Resource competition
x. Falsified needs
6.3.12: Rural Planning Directorate
Risks
i. Vested interests in placement and transfers of
DDOs
ii. Collusion with field officers on the AIE amounts
allocated
iii. Utilization of AIE's for non-intended purposes by
field officers
iv. Deliberate delays in submitting project
expenditure returns
v. Vested interest in identification and selection of
Project planning areas within the project
Districts.
vi. Remote locations lacking supervision
21
6.3-i3: Sectoral Planning Directorate
Risks
Leakage of prequalification information to
bidders
Tailor made Terms of Reference/specifications
Manipulation of M&E reports
Compromising the M&E guidelines
Selection of M&E team
Selective dissemination of M&E report
6-3.i4:Macro Planning Directorate
Risks
i. Non-representation to the regional and
international meetings that are relevant to
national goals;
ii. Attending regional and international meetings
that are not relevant to the national goals;
iii. Interference with the laid down criteria on
allocation of assignment to regional and
international meetings/forums.
iv. Lack of cooperation from line ministries and
agencies in the provision of appropriate
information and data for preparation of policy
documents;
v. Inadequate capacity in macroeconomic analysis,
reporting and management;
6-3-i5: Infrastructure, Science, Technology and
Innovation Directorate
Risks
i. Vested interest in awarding Best Service Delivery
Innovations without conforming to due
process/criteria and guidelines developed;
ii. Improper project feasibility studies;
iii. Cost increase due to design changes and policies;
6.3.16: Monitoring & Evaluation Directorate
Risks
i. Unsystematic revision of work plans
ii. Preparation of District Annual M&E Reports
iii. Conflict of interest in preparation of NIMES
Reports
iv. Preparation of M&E Reports
v. Funds for preparation of DAM ERs
vi. Non-involvement of stakeholders in preparation
ofDAMERs
vii. Inadequate capacity in monitoring and evaluation
of projects and programmes.
23
Section 7: Composition of the Corruption
Prevention Committee (CPC)
The composition of CPC shall be as indicated here below:
Chairman - Permanent Secretary/Accounting Officer
Members:
a) Senior Director, Administration(Co-Chair)
b) Economic Planning Secretaiy
c) Director, Rural Planning Directorate
d) Director, Monitoring and Evaluation Directorate
e) Director, Macro Directorate
f) Director, Sectoral Planning Directorate
g) Director, Infrastructure, Science technology &
Innovations Directorate
h) Secretary, Poverty Eradication Commission
i) Chief Executive Officer- NEPAD
j) Chief Finance Officer
k) Principal Accounts Controller
1) Internal Auditor
m) Head-Information Communication Technology
n) Head Millennium Development Goals
o) Head Human Resource Management
p) Head Supply Chain Management
q) Head Human Resources Development
r) Secretary - Integrity Assurance Officer
7.1: Mandates and operations of the CPC Committee
The mandate of Corruption Prevention Committee is to keep a
constant check on organizational operations and procedures
and ensure that there are no opportunities for corruption in the
Ministry.
24
Functions
a) Prioritize activities in the implementation of
corruption prevention programme;
b) Ensure that all corruption prevention initiatives
are integrated in the Ministry;
c) Receive and review reports on corruption
prevention initiatives and take and/or
recommend appropriate action;
d) Co-ordinate corruption prevention strategies in
the Ministry;
e) Consider and approve training on the Public
Service Integrity programme for staff;
f) Ensure that all decisions and guidelines on
corruption prevention are communicated
effectively to staff and all interested parties.
g) Prepare and submit to PSIP secretariat regular
progress reports on implementation of the
programme;
h) Receive complaints and information on alleged
corrupt activities within the Ministry
headquarters ,Regional as well as offices and
thereafter evaluate, analyze and recommend
appropriate action and
I) Monitor the impact of corruption prevention
initiatives and other recommended actions.
7.2: Responsibility Structures
All employees have an important role to play in the prevention
and control over fraud and corruption.
These roles/responsibilities are outlined as follows:
Management Responsibilities
The top management comprises the PS, EPS, Directors, CEOs 
and Secretary PEC.
The day to day responsibility for the prevention and detection of
fraud and corruption rests with top management whose
responsibilities are as indicated below:
Collective Responsibility
Identifying the risks to which systems,
operations and procedures are exposed ;
Developing and maintaining effective controls to
prevent and detect fraud and corruption;
Ensuring that controls are being complied
with.If significant risks are identified by
managers, then these should be included in
divisional risk registers with a view to ensuring
they are regularly monitored.
Individual Responsibility
The Permanent Secretary
The Permanent Secretary is resp msible for:
I. Providing leadership in actively displaying and
promoting ethical behavior within the Ministry.
ii. Ensuring that this strategy is actively
disseminated throughout the Ministry and to all
stakeholders.
iii. Ensuring that associated frameworks such as the
Code of Conduct are actively promoted and
disseminated to all employees throughout the
Ministry
iv. Ensuring promotion to the community of the
Ministry's commitment to fraud and corruption
prevention referring or notifying, any relevant
external agencies (i.e. the Kenya Anti-Corruption
Commission) of any allegations of fraudulent or
corrupt behavior that have been identified by the
Ministry.
EPS, CEO-NEPAD, Secretary PEC and Heads of
Directorates
They are responsible for:
i. Providing leadership in actively displaying and
promoting ethical behavior within the
Directorates/Agency;
ii. Ensuring the implementation and continued operation of
an adequate system of internal controls;
iAiis.sessing/identifying/implementing  new controls
where systems/structure has changed;
iv. Ensuring that employees within their area of
responsibility receive appropriate fraud and corruption
awareness training and understand the Ministry's Code
of Conduct;
v. Providing input/assistance to the identification and
minimization of fraud and corruption risk;
vi. Promotion of positive attitude towards compliance with
Ministry's policy and Legislative requirements; and
vEidi.ucation  of staff in all aspects of the strategy and
associated policies
All Staff
Staff members are responsible for:
i. Ensuring that they comply with any controls, policies and
procedures.
ii. Maintaining awareness of this strategy
iii. Complying with the principles espoused in the strategy
and in other associated documents such as the Code of
Conduct
iv. Ensuring that they do not take part in any activity that
could constitute Fraud and/or Corruption
v. Being vigilant to the risks of fraud and corruption
vi. Bringing to the attention of management any 
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inadequacies in the Internal Control Environment (see
below for description of the Internal Control
environment)
vii. Promptly reporting any practice contrary, or reasonably
suspected of being contrary, to this Policy, or any
attempts thereof, to the Office of the Director/Chief
Executive Kenya Anti-Corruption Commission, by
telephone or fax or to the Permanent Secretaiy; Ministry
of State for Planning, National Development & Vision
2030 Confidential Hotline at hotline@planning.go.ke
Eviniis.uring  that when contacted by the media with respect
to an audit investigation shall refer the media to the
Deputy Director Communications who will brief the
Permanent Secretary accordingly. The alleged fraud or
investigation shall not be discussed with the media by any
person other than by the Permanent Secretaiy.
The Audit Committee
The Audit Committee will undertake Fraud id Corruption
prevention and control activities through ■ erseeing and
reviewing the outcomes of the Internal Audit Re , rts conducted
at least once every quarter, in order to conduct Corruption Risk
Assessment (CRA). The outcome of the Corruption Risk
Assessment will inform the Ministerial Corruption Prevention
Committee as well as the Departmental Corruption Prevention
Committees in their discussions on corruption prevention and
detection.
The Chairman Ministerial Audit Committee will, on quarterly
basis, table before the Corruption Prevention Committee the
Audit Report for discussion and recommendation to the
Permanent secretary for appropriate action. Similarly, the head
Supply Chain Management will every quarter present to the CPC
meeting detailed report on the deliberations and
recommendations of the Ministerial Tender Committee,
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Procurement Committee, Disposal Committee, Quotations
Opening Committee, Receiving and Acceptance Committee and
Technical and Evaluation Committee. He/she also will table a
report on the overall management of stores indicating points of
weakness. Upon detection of fraud and corrupt practices,
appropriate deterrence measures must be put in place.
7.3: Role of Integrity Assurance Committee (IAC)
The Integrity Assurance Committee will comprise all Integrity
Assurance Officers (lAOs) duly appointed by the Permanent
Secretary.
The committee is responsible for:
i. Ensuring that internal controls are operating in a sound
and effective manner;
ii. Educating staff in all aspects of the strategy and
associated policies;
iii. Actively promoting the awareness of Fraud and
Corruption throughout the Ministry;
iv. Actively promoting the ethical principles/objectives of
the Ministry;
v. Sensitizing staff on their roles in Fraud and Corruption
prevention and detection;
vi. Promoting a positive attitude towards compliance with
Ministry policies and legislative requirements;
vii. Providing input to the Fraud and Corruption prevention
Risk Assessment;
Mviioi.nitoring  and evaluating of the implementation of
Corruption Prevention Programmes;
ix. Compiling progress reports and presenting the reports to
the PS/ CEO, CPC, and copies to the Kenya Anti­
Corruption Commission.Integrity Assurance Officers
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(IAOs) will assist Management through;
i. Conducting a Corruption Risk Assessment ( CRA) and
developing and implementing a Corruption Prevention
Plan(CPP)
ii. Developing and implementing organizational codes of
conduct and ethics, service charters and other
governance instruments
iii. The IAO together with a member of the CPC will open,
record and present to CPC reported cases of corruption
for analysis.
iv. Serving as a secretary to the CPC/Integrity Committees.
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Section 8: Training and Disclosure
Programme
The Ministry of State for Planning, National Development &
Vision 2030 shall, in conjunction with Kenya Anti-Corruption
Commission develop and conduct a training and disclosure
programme aimed at: i) increasing awareness of the risks of
fraudulent, corrupt and/or collusive practices; and ii)
developing skills for understanding, detecting, preventing and
reporting such practices. Participation in such programme
shall be mandatory for all staff members and non-staff
employees. In addition, Ministry shall implement ongoing
employee training tailored to specific positions within Ministry,
with the aim of enabling such employees to detect, prevent and
promptly report any practices that are contrary to this Policy.
Section 9: Reporting Procedures
As stated above, all persons to whom this Policy applies shall
report promptly any action or practice that is or may be in
breach of this Policy, or any attempts thereof, in accordance
with the procedures outlined in this Policy.
Each Ministry of State for Planning, National Development &
Vision 2030 staff member and non-staff employee is required to
report promptly any reasonably suspected case of any
fraudulent, corrupt and/or collusive practices, or any related
attempts of such practices, to his/her Director or to the Office of
the Permanent Secretary/Accounting Officer if confidentiality
is desired. All Directors shall report any such cases promptly to
the Permanent Secretary/Accounting Officer. Reports to the
Office Permanent Secretary/Accounting Officer shall be made
by telephone or fax, or verbally or to the Ministry of State for
Planning, National Development & Vision 2030 confidential
Hotline at hotline@planning.go.kc
In the event of uncertainty as to whether any act or omission
constitutes a fraudulent, corrupt and/or collusive practice, the
Office of the Permanent Secretaiy/Accounting Officer (the
PS/AO) should be contacted for guidance.
Rights of staff and members involved in an investigation
Any person reporting in good faith pursuant to this
Policy shall be protected from retaliation, in
accordance with the Witness Protection Act No.16 of
2006.
In addition, the Permanent Secretaiy/Accounting Officer shall
maintain confidentiality for any staff member or the non-staff
employee who reports in good faith pursuant to this Policy. The
Permanent Secretary will also work within the Public Service
Human Resource Management policy and comply with
employment law and the Public Service Commission Act and
related Acts.
External notification systems
There are certain requirements for the Ministry staff and non­
staff employees to report matters involving fraudulent and
corrupt activity to relevant authorities. The relevant authorities
and their roles are briefly outlined below:
Ethics and Anti-Corruption Commission (EACC)
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The objectives of the Ethics and Anti-Corruption Commission
are to promote the integrity and accountability of public
administration through the following:
Investigate, expose and prevent corruption involving or
affecting public authorities or public officials, and
Educate public authorities, public officials and members
of the public about corruption and its detrimental effects
on public administration and on the community.
The contact details of the EACC are:
Secretary
Ethics and Anti-Corruption Commission
Integrity Centre
P.O. Box 61130-00200,
Nairobi
Tel.0202717318/310722/2100312/3
E-mail: report@integrity.go.ke
Further information on the reporting process may be found at:
http/www.eacc.go.ke
The Public Complaints Standing Committee/Kenya
Ombudsman's Office
The role of the Ombudsman is to promote fairness and integrity
in public administration in Kenya including the entire public
service. The Ombudsman's office is an independent
organization that investigates conduct that maybe:
Illegal,
Unreasonable, unjust or oppressive,
Improperly discriminatory,
Based on a mistake of law or fact.
The Ombudsman maybe contacted at:
The Public Complaints Standing Committee
P.O. Box 20414 - 00200
Nairobi
Tel. 0202303000
Mobile: 0710936000 & 0735350888
E-mail info@ombudsman.go.ke
http/www.ombudsman.go.ke
Section 10: Investigation Procedure
The Permanent Secretary/Accounting Officer shall formally
request the Internal Auditor to review, analyze all related
records and prepare a preliminary report of allegations reported
pursuant to this Policy to ascertain whether they are sufficiently
founded to warrant a full investigation into the report. If they
are, EACC shall open an official investigation, ensuring
confidentiality for the parties concerned affording protection to
any witnesses where required.
Any investigation pursuant to this Policy shall be conducted
impartially, fairly and thoroughly, in accordance with the
provisions of the Public Service Commission Act Cap.185 Laws
of Kenya and Anti-Corruption and Economic Crimes Act
2003.AH staff will be required to cooperate fully with the
investigation authority.
In accordance with due process requirements, the EACC shall
report its findings including recommendations to the Attorney
General (with a copy to the Permanent Secretary/Accounting
Officer) for the prosecution of staff for corruption or economic
crime.
Section 11: Action Following Breaches of this
Policy
The Permanent Secretary/Accounting Officer may recommend
that appropriate administrative, legal and/or disciplinary
action be taken against any person or entity that is found to have
violated this Policy. Any such recommendation shall be
included in a report issued to the Secretary Public Service
Commission of Kenya or the competent authorities, in
accordance with the Public Service Code of Regulations, the
Public Service Commission Act and the Anti-Corruption and
Economic Crimes Act 2003 •
In addition, any reported cases pursuant to this Policy involving
criminal activity maybe referred to law enforcement authorities.
Any such referral shall be made following consultation with the
Attorney General and, if necessary, after appropriate
disciplinary measures have been taken to ensure that
information is not tampered with.
MSPND & Vision 2030 may seek recovery of its funds and/or
property using all means at its disposal, including through legal
action.
Section 12: Reviews of the Policy
This policy will be reviewed at least annually or after any major
event, by a team of Integrity Assurance Officers to ensure that all
procedures are in place. Any proposed changes will be referred
to the Ministerial Corruption Prevention Committee for
consideration.
Signed dated this io,b day of May 2011
EDWARD SAMBILI, CBS
PERMANENT SECRETARY
MINISTRY OF STATE FOR PLANNING, NATIONAL
DEVELOPMENT & VISION 2030
P.O BOX3OOO5-OOIOO
NAIROBI, KENYA
TELEPHONE: 020 2252299
TEL: 373,5533/
www,k|pp/e.org