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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)
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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
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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
10 of 49
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
icat
or(
s)
Bas
elin
e
2017
/18
2018
/19
2019
/20
2020
/21
Ass
essm
ent
Met
ho
d
En
forc
emen
t
% o
f re
ceiv
ed c
ases
co
ncl
ud
ed.
90%
·
RT
P c
ases
-
77.7
%
·
Mer
ger
ap
pli
cati
on
s
-
98.9
%
Do
cum
ent
Rev
iew
, fiel
d
vis
it.
Dec
reas
e in
no
. of
day
s co
ncl
ud
ing
a
mer
ger
ap
pli
cati
on
.
45 d
ays
· N
oti
fiab
le m
erg
er –
40
· Ex
clu
sio
ns
-
8
D
ocu
men
t R
evie
w, fi
eld
vis
it.
% c
om
pli
ance
lev
el o
f ca
ses
surv
eyed
. 0
4
C
om
pli
ance
vis
its.
Op
erat
ion
al f
orm
s an
d g
uid
elin
es
ado
pte
d.
20 ·
Mer
ger
Th
resh
old
Ru
les
·
Blo
ck E
xem
pti
on
Gu
idel
ines
·
Sea
rch
an
d S
eizu
re
Gu
idel
ines
·
Co
nso
lid
ated
Gu
idel
ines
on
Su
bst
anti
ve
Ass
essm
ent
of
mer
ger
s
·
Co
mp
etit
ion
Bu
yer
Po
wer
Ru
les
·
Mer
ger
ap
pli
cati
on
form
rev
ised
·
Bu
yer
Po
wer
Gu
idel
ines
D
ocu
men
t R
evie
w.
Bu
yer
Po
wer
Gu
idel
ines
fo
rmu
late
d
and
ad
op
ted
0
1
Do
cum
ent
Rev
iew
.
% o
f B
uy
er P
ow
er c
ases
co
ncl
ud
ed0
3 ca
ses
on
-go
ing
, no
ne
com
ple
ted
Do
cum
ent
Rev
iew
.
AP
PE
ND
IX I
: RE
SU
LT
S M
AT
RIX
Th
eme
Del
iver
ing
Eff
ecti
ve
Strategic Plan (2017/2018 – 2020/2021)
32 of 49
Th
em
eO
utc
om
e I
nd
ica
tor(
s)B
ase
lin
e2
01
7/1
82
01
8/1
92
01
9/2
02
02
0/2
1A
sse
ssm
en
t M
eth
od
Co
nsu
mer
Pro
tect
ion
%o
f re
ceiv
ed c
ases
co
ncl
ud
ed
.60
%66
% o
f th
e ca
ses
con
clu
ded
Do
cum
ent
Rev
iew
,
Su
rvey
s
% i
ncr
ease
in
Bu
sin
ess
Co
mm
un
ity
awar
enes
s.
40
%
CS
S s
urv
ey i
n F
Y
2018
/19
Do
cum
ent
Rev
iew
,
Su
rvey
s
% i
ncr
ease
in
co
nsu
mer
aw
aren
ess
.
40%
CS
S s
urv
ey i
n F
Y
2018
/19
Su
rvey
s
Op
erat
ion
al f
orm
s
an
d g
uid
elin
es
ado
pte
d.
1
0
·
Co
nsu
mer
Pro
tect
ion
Gu
idel
ines
· G
uid
elin
es o
n
eng
agin
g w
ith
con
sum
er
org
aniz
atio
ns
·
Co
nsu
mer
com
pla
int
form
rev
ised
Do
cum
ent
Rev
iew
Sta
nd
ard
s an
d C
apac
ity
est
ab
lish
ed
for
crea
tio
n o
f co
nsu
mer
bo
die
s.
0 C
on
sum
er B
od
ies
En
gag
emen
t
Fra
mew
ork
dev
elo
ped
Do
cum
ent
Rev
iew
, fi
eld
vis
it
Pla
nn
ing
,
Res
earc
h
Qu
alit
y
Ass
ura
nce
Ad
vis
ory
op
inio
ns
sou
gh
t an
d g
iven
. %
of
adv
iso
ry o
pin
ion
s ad
op
ted
.
15
6
0%
6 ad
vis
ory
op
inio
ns
giv
en –
Ub
er,
Tea
,
Pro
fess
ion
al S
erv
ices
,
Ret
ail,
Tel
com
an
d
An
ti-c
ou
nte
rfei
t g
oo
ds
Do
Har
mo
niz
ed
RE
C
law
s.
Incr
ease
d c
oll
abo
rati
on
act
ivit
ies.
Incr
ease
d r
egio
nal
& i
nte
rnati
on
al
coo
per
atio
n.
0
Har
mo
niz
ed o
ur
law
s
in l
ine
wit
h t
ho
se o
f
EA
C a
nd
CO
ME
SA
to
avo
id i
nci
den
ces
of
du
al
no
tifi
cati
on
of
mer
ger
s
amo
ng
st o
ther
pro
vis
ion
s
Do
cum
ent
Rev
iew
.
.
.
.
.
cum
ent
Rev
iew
.
.
Strategic Plan (2017/2018 – 2020/2021)
33 of 49
Strategic Plan (2017/2018 – 2020/2021)
34 of 49
Imp
rov
ed t
imel
ines
in
off
erin
g
info
rmed
ad
vis
ory
op
inio
ns.
14 d
ays
Off
ered
in
les
s th
an 1
0
day
s
D
ocu
men
t R
evie
w
Imp
rov
ed a
chie
vem
ent
of
pla
nn
ed
targ
ets.
6
0%
62.6
%
Do
cum
ent
Rev
iew
Fas
ter
dis
sem
inat
ion
of
info
rma
tio
n
wh
en
req
ues
ted
.
14
day
s
Dis
sem
inat
ion
of
US
SD
and
Ban
kin
g P
has
e II
stu
dy
do
ne
wit
hin
th
e
req
uis
ite
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
a�er
s re
late
d t
o
frau
d
%C
ases
in
ves
tig
ated
an
d
con
clu
ded
an
d r
epo
rts
sub
mi�
ed
100%
10
0%
10
0%
3R
QA
, IA
.
Rev
iew
of
the
anti
-co
rru
pti
on
po
licy
Rev
iew
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.
Imp
lem
en
t th
e
co
mm
un
ica
tio
n
str
ate
gy.
(Un
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
un
ica
tio
n r
ep
ort
s
– b
log
s, p
ress r
ele
ases.
In
terv
iew
op
po
rtu
nit
ies i
n
ma
ss m
ed
ia, w
ith
a b
ias
for
loca
l T
V a
nd
ra
dio
sta
tio
ns.
Nu
mb
er
of
co
un
ties
rea
ch
ed
.
Perc
en
tag
e c
usto
mer
sa
tisfa
cti
on
.
So
cia
l m
ed
ia o
utp
ut
gro
wth
.
15
0
14
71
.12
%
0
15
1
0
7
90
50
%
20
1
0
7
10
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20
1
0
7
10
0%
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).
Un
dert
ak
e A
nn
ua
l C
SR
in
itia
tiv
es.
Nu
mb
er
of
rep
ort
s o
n C
SR
a
cti
vit
ies, E
ssa
y w
riti
ng
, T
ree p
lan
tin
g
2
3
3
3
4
C&
ER
.
Pa
rtic
ipa
te i
n w
ork
sh
op
s &
o
ther
ind
ustr
y,
secto
r,
reg
ion
al
an
d i
nte
rna
tio
na
l
Wo
rksh
op
/Co
nfe
ren
ce
Rep
ort
.
Ho
ld a
n I
nte
rna
tio
na
l C
om
peti
tio
n N
etw
ork
co
nfe
ren
ce i
n K
en
ya
.
1
0
0
1
10
PP
R
Pro
du
ce a
nd
dis
sem
ina
te I
EC
m
ate
ria
l th
rou
gh
tra
dit
ion
al
& n
ew
med
ia c
ha
nn
els
wit
h
targ
ete
d m
essa
ges a
bo
ut
the
Au
tho
rity
’s m
an
da
te.
Nu
mb
er
of
op
inio
n
art
icle
s i
n k
ey
na
tio
na
l p
ap
ers
an
d i
nte
rna
tio
na
l p
ub
lica
tio
ns.
Dis
sem
ina
tio
n o
f a
nn
ua
l
rep
ort
.
Nu
mb
er
of
Tele
vis
ion
&
Ra
dio
Ad
vert
s
New
sle
�ers
0
1
3 2
5
1
5 2
6
1
5 2
6
1
5 2
19.9
5P
PR
,C
&E
R.
To
str
en
gth
en
med
ia r
ela
tio
ns.
Bu
ild
ing
ca
pa
cit
y o
f jo
urn
ali
sts
in
co
mp
eti
tio
n l
aw
an
d p
oli
cy
by
sp
on
so
rin
g
them
to
pa
rtic
ipa
te i
n t
he
An
nu
al
Ca
pa
cit
y B
uil
din
g
Wo
rksh
op
Nu
mb
er
of
jou
rna
lists
’ tr
ain
ed
Nu
mb
er
of
art
icle
s o
n
co
mp
eti
tio
n l
aw
an
d
po
licy
pu
bli
sh
ed
0 0
3 30
3 40
3 50
10
C&
ER
.
Jou
rna
lists
’ tr
ain
ing
w
ork
sh
op
on
co
mp
eti
tio
n
law
an
d p
oli
cy
Nu
mb
er
of
jou
rna
lists
a
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din
g t
he w
ork
sh
op
00
11
10
C&
ER
.
Sp
on
so
r jo
urn
ali
sts
to
a�
en
d
CA
K a
nn
ua
l sy
mp
osiu
m.
Nu
mb
er
of
jou
rna
lists
sp
on
so
red
.0
22
23
C&
ER
.P
PR
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)
18/1
9
19/2
0
20/2
1
Str
ateg
ic O
bje
ctiv
e
co
nfe
ren
ces a
nd
en
tren
ch
lea
rnin
gs i
n t
he A
uth
ori
ty.
, C
&E
R,
, C
&E
R.
Res
po
nsi
bil
ity
TH
EM
E 4
: V
ISIB
ILIT
Y A
ND
CO
RP
OR
AT
E I
MA
GE
: OR
GA
NIZ
AT
ION
AL
SU
ST
AIN
AB
ILIT
Y S
trat
egic
Ob
ject
ive
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
T
o b
road
en r
even
ue
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
rev
enu
e li
nes
% i
ncr
ease
in
am
ou
nt
coll
ecte
d
130M
(201
7/1
8 –
160M
)
10%
Gro
wth
20%
2
0%
0
F
inan
ce, M
&A
,
E&
C, C
PD
.
Bu
dg
et a
nd
lo
bb
y f
or
incr
ease
d
fun
din
g f
rom
th
e N
atio
nal
Tre
asu
ry
% i
ncr
ease
in
fu
nd
ing
340M
(201
7/1
8 –
380M
)
10%
G
row
th
10%
10%
0
Fin
ance
En
gag
e w
ith
dev
elo
pm
ent
par
tner
s to
in
crea
se t
he
fun
din
g
po
ol
Fu
nd
ing
pro
po
sals
ap
pro
ved
Am
ou
nt
rece
ived
/ A
mo
un
t
1
2 add
itio
-
nal
DP
2
2
0
Fin
ance
, PP
R
M&
A, C
PD
To
op
tim
ize
use
of
Imp
lem
ent
cost
red
uct
ion
mea
sure
s
% r
edu
ctio
n i
n a
nn
ual
op
erat
ion
al e
xp
ense
s
0
5%
5%
5%
0
All
pro
du
ctiv
ity
an
d
Lev
erag
e o
n I
CT
-
Har
nes
s
tech
no
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
Man
agem
ent,
Mo
bil
e
Ap
pli
cati
on
s, G
ov
ern
ance
Ris
k
Co
mp
lian
ce –
(CA
AT
s an
d
Wo
rk-p
aper
s), F
ore
nsi
c an
aly
sis,
DR
P, B
CP
am
on
g o
ther
s)
% o
f au
tom
ated
pro
cess
es
% r
edu
ctio
n i
n L
ead
tim
e
70%
0
80%
10%
85%
10%
90%
10%
80
ICT
, M&
A,
PP
R, I
A, S
CM
,
Fin
ance
TH
EM
E 5
stre
ams
,
reso
urc
es
To
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
epar
tmen
ts a
nd
un
its
wit
hin
the
Au
tho
rity
Au
dit
rep
ort
s
% l
evel
of
com
pli
ance
E
xte
rnal
au
dit
rep
ort
9
9
100%
9
100%
1
9
100%
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,
In
tern
al
Au
dit
)
Ex
tern
al A
ud
it C
erti
fica
te
0
1
1
1
1
4
Fin
ance
, P
roc.
Dev
elo
p, r
evie
w a
nd
im
ple
men
t
org
aniz
atio
nal
po
lici
es
Ap
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