KENYA NATIONAL BUREAU OF STATISTICS
TABLE OF CONTENTS
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Human Resource Management Information System .Headquarters .Information Technology -Appropriations in Aid .Human Resource .Integrity Committee
.Financial Management Information System .Kenya Anti Corruption Commission .Authority to Incur Expenditure .Kenya National Bureau of Statistics .Information Communication Technology .LIST OF ABBREVIATIONS
KNBS HQs HR KACC ICT FMIS HRMIS IT AIA AIE IC
It calls upon us to put in place strategies to prevent corruption from slowing down the march towards achievement of our objectives. ethical and results-oriented government institutions”. I urge all staff to read and internalize the policy and Management to ensure that all efforts are made to implement each aspect of the policy. This policy hence guides the organization in its fight against corruption by emphasizing ethical and value based behaviour which will ensure a conducive environment for achievement of set priorities. The Board will sign a code of conduct signifying their readiness to work in an ethical way to move the organization forward.
PETER N. Thank you. MWITA CHAIRMAN OF BOARD OF DIRECTORS
. The Staff of KNBS are expected to sign similar code of conduct as provided for in this policy. This will ensure that operations are consistent with best practices and uplifts efficient and effective management of Government resources. We as a Board acknowledge that we are operating in an environment where risk of corruption is real.FOREWARD By the year 2030 it is envisaged that Kenya will have “transparent. KNBS plays a key role in ensuring that Vision 2030 becomes a reality and has therefore to lead as institution of best practice in corporate governance. accountable. As a young institution KNBS is faced with various challenges.
M KILELE DIRECTOR GENERAL
. The Bureau has been in operation for two financial years.K. As a young institution which is semi-autonomous to central Government operations. the Bureau must put in place and implement many systems.PREFACE KNBS became a state corporation in line with Statistics Act 2006 which was officially operationalised through a legal notice in the year 2007.
A. It is my sincere believe that accurate and timely implementation of this policy will complement the efforts made in all directorates to ensure we achieve the vision and mission of the Bureau. It also provides for means to report and deal with any incidence of real and suspected corruption. The Bureau has hence put in place mechanisms to ensure that it operates efficiently and effectively in order to account properly for resources entrusted to it by the Government and Development partners. Anti-corruption policy was developed to ensure transparency and integrity and by its operationlisation the Bureau is able to meet requirements in the enterprise wide risk management framework in the public service. This policy document outlines KNBS policy on corruption and outlines strategies to prevent corruption. Besides the Bureau has to comply with requirements of the Public Sector Integrity Programme and ensure that staffs observe the public officers ethics Act and prevents economic crimes from being committed. The policy was developed by the Integrity Committee of the Bureau and applies to all staff as well as the Board.
These will include but not limited to The Anti-Corruption and Economic Crimes Act. 2004 Performance Contract Witness Protection Act 2006 Statistics Act 2006 KNBS finance and other operational manuals Code of Ethics and Conduct State Corporations Act Public Audit Act Official Secrets Act Cap 187
3. 2003 Public Officer Ethics Act. legal and institutional frameworks. accountable. 2003 Public Procurement and Disposal Act 2005 Public Procurement & Disposals Regulations. Management and staff have a primary responsibility of putting in place operating. reporting. SCOPE/APPLICABILITY This policy is applicable to KNBS Board. implementing and institutionalizing necessary policies. staff and partners/stakeholders. ethical and results oriented institution KNBS will observe zero tolerance to corruption through developing. 2006 Government Financial Management Act. investigation and deterrent mechanisms aimed at preventing corruption and punishing perpetrators and beneficiaries of corruption in the institution.1. management. 4. POLICY STATEMENT In order to ensure a transparent. 2. LEGISLATIVE AND ADMINISTRATIVE REQUIREMENTS In order to ensure a corruption free institution KNBS will work within the provisions of the Acts of parliament and other instruments designed to prevent corruption and ensure service delivery. DEFINITION OF CORRUPTION
either directly or indirectly. act of commission and omission in ones employment resulting in loss or disadvantage to KNBS and private gain to the above mentioned. any group or body of public officials. It is also any conduct of any person (whether or not a public official) that adversely affects or that could adversely affect. Management. foreign officials or any public authority and which could involve any of the following matters.Corruption in KNBS will entail misuse of office for personal gain or benefit by the Board. CORRUPTION RISK AREAS IN KNBS
. the exercise of official functions by any public official. employees and stakeholders. Bribery Secret Inducements Deceiving a principal Conflict of interest Improper benefits for appointment Bid rigging Failure to protect public property Abuse of office Dealing with suspect property Nepotism/Favoritism/Tribalism Grabbing of public property Breach of trust Misappropriation/embezzlement of corporate funds Blackmail Extortion Forgery Tax evasion Dealing with suspect property Impact effects of corruption Damage of image/reputation of the Bureau Loss of jobs in the event the Service becomes bankrupt Loss of revenue Loss of key staff members as a result of intimidation Reduction of staff morale Loss of confidence in national statistics that can lead to wrong decisions
ii) Internal Control Systems
Internal controls are forms of controls put in place by KNBS to ensure that the Bureau safeguards its assets and functions effectively to achieve its goals in the strategic plan and ensure that it delivers on the objectives of the Vision 2030. In order to come up with Corruption prevention strategies. guidelines and instructions given in various forms from within the organization and from the Government. Procurement and Disposals Act. CORRUPTION PREVENTION STRATEGIES Policy Statement KNBS will implement preventive measures/strategies that ensure corruption loopholes are sealed. However corruption prevention is a responsibility of all staff in the organization. policies. Internal controls will include all laws. (See Appendix II for composition and Terms of reference of these committees). a corruption risk assessment in KNBS was conducted and the results are summarized in appendix I 6. These strategies will undergo review from time to time to ensure no loopholes go unnoticed. Audit Charters. Integrity Assurance Officers will be appointed at the Head quarters and regions to assist Integrity Committee members. HR Manuals and guidelines. Communication strategies among others. All directorates have a responsibility to identify the risk areas and inform the Integrity Committee appropriately. Board guidelines. The following will be done to address corruption:i) Setting up Integrity Committees at HQs and Regional offices
In order to operationalise corruption prevention the Bureau has formed Integrity Committees at Headquarter and will extend this to all regional offices. code of Conduct. The committees will spearhead corruption prevention. Finance Manuals.
. procedures. They will include but not limited to the Statistics Act 2006. Administration and Transport Guidelines.Kenya National Bureau of Statistics will conduct corruption risk assessment from time to time to enable identify corruption loopholes and consequently put in place prevention measures. Procurement Manual. rules.
Verifying identity via birth certificate or drivers licenses or passports. iii) Employment Conditions
Pre-employment Screening Many employees who commit fraud against their employer are found subsequently to have had a history of dishonesty with previous employers. An Index of all internal controls will be maintained and a separate a package containing all the internal control documents maintained at Human Resources office. internalize and operate in line with the internal controls to ensure that corruption is prevented and detected when it occurs. All staff will be required to read. which may include any or all of the following. After a period of three years an evaluation will be carried out on effectiveness of controls in fighting corruption and the information used to update this policy document. conflicts of interests.All Directorate and departmental heads will ensure that sufficient and effective internal controls are developed. publications and other certification or documentation Criminal background checks on employees where the position warrants it. depending on the requirements and responsibility of the position. Contacting referees Reference check with their most recent employers A consideration of gaps in employment and the reasons for those gaps Verifying transcripts. Avoiding entering into recruitment of individuals that could potentially lead to. qualifications. understood and will adhere to the controls. or be perceived as involving. All staff should support the human resource recruitment strategies. When new staff report they will be required to and sign to signify that they have read. documented and adequately shared with all staff. A well-developed recruitment policy underpins fraud and corruption prevention. Continuous corruption risk assessment will be carried out in order to isolate areas in which the organization is prone to loss through corruption. This will inform design of anti-corruption strategies and strengthening of internal controls.
Staff will be protected under the Witness Protection Act 2006. Investigations will be carried out by Internal Audit as requested by Management and or the Board.
. It will also play an important role in assessing the nature and extent of any fraud and corruption risk. The following avenues will be used for reporting corrupt practices: a) KNBS Website .Annual Leave One of the indicators in an organization that fraud or corruption may be occurring is a reluctance to take regular and uninterrupted annual leave. KNBS hence encourages and invites all genuine information from staff and outsiders which can lead to averting corruption or which can lead to speedy investigation and conclusion of a corruption case. Regional and district offices d) Fax e) In person to appointed Integrity Assurance Officers vi) Whistle blowing and protection of whistle blowers
Through research on frauds and corruption. The Chairman in conjunction with the Secretary to the committee will review all cases and advice the Director General. Leave policy of KNBS takes this into account and encourages staff to take regular annual leave.click on the stop corruption now available on the website b) KNBS hotline c) Corruption Reporting boxes – at Herufi House. v) Procedures for Reporting cases of Corruption Cases of suspected corruption in KNBS will be reported to the Chairman Integrity Committee. it has been shown that whenever an act of fraud or corruption takes place staff usually have information which if shared can lead to prevention of losses. It will provide an institutionalized mechanism for objective. iv) Internal Audit Reviews Internal Audit Department will pay a crucial role in prevention and detection of corruption in KNBS. independent and systematic review of internal controls and operational systems within KNBS. Special audits will be conducted where particular areas of concern have been identified. Nyayo house.
vii) Investigation of corruption cases Corruption cases will be dealt with fairly. Whether any criminal prosecution is likely or desired and how the investigation should proceed such that this end is not compromised The recovery of losses incurred by KNBS and if taking action through the courts will be the best alternative. KNBS will do what is necessary to protect persons making corruption disclosures against any reprisals or detrimental action in relation to the disclosures. email. What action is to be taken to prevent reoccurrence of similar corruption case. Rewards will be considered for those who report cases that lead to successful apprehension of perpetrators of corruption and recovery of losses which could otherwise have been incurred. Generally an investigation should advice KNBS on the following four areas. Staff should be objective when reporting information and at all times disengage from malice as well as avoid settling scores.The whistle can be blown through telephone hotline. All information received from whistleblowers will be treated confidentially. The investigations will be carried out in line with recommendations of the committee. Sources of information cannot be disclosed unless the person reporting so requires his/her identity to be made public. Staff giving information in good faith but found not to be true will have no action taken against them. Staff perpetrating this will have a disciplinary action taken against them. If and how to dismiss employees in order to ensure all regulations are adhered to. When information on suspected fraud is received by the Integrity Committee investigations will be carried out within one week of receiving the information. website and suggestion boxes. expeditiously and within the law. viii) Code of conduct and ethics
This code of conduct will be enforced through Human Resources Manual provisions.Employees of the organization will sign a code of conduct which will guide them on ethical values and practices required of them.
. Any deviation or behaviour which is inconsistent with the code of ethics will be investigated and disciplinary action taken by Human Resources office.
Acts of fraud and corruption are considered gross misconduct.
. The organization can also request an employee to step aside in order to ensure thorough investigations are carried out. Training Trainings for the following will be carried out with assistance from KACC Integrity Assurance Officers Appointed Integrity committee members. Integrity Assurance Officers will sensitize and train all members of staff under their IC and spearhead Corruption Prevention activities in the regions and headquarters Awareness KNBS will use the media to sensitize public about corruption and encourage reporting of corruption. corruption. awareness training on integrity. Outcomes of investigations and disciplinary action against employees who perpetrate fraud or corruption will be shared with staff in KNBS newsletter Reports on investigations conducted will also be shared with staff in KNBS newsletter. Human Resources Department will take relevant action through KNBS disciplinary committees. x) Awareness creation and training
In order to ensure that employees are aware of issues of ethics and integrity. what causes it and means of detecting and preventing it will be shared with all staff. Acting on advice of Integrity Committee and following the results of an investigation. Induction of new staff will include sharing information on integrity and corruption prevention Posters will be provided in offices to supplement a main poster to be placed at the entrance.
and recruitment. The KNBS recognizes that potential conflicts of interest can arise from personal. the procurement process. 8. A gift accepted by an employee in official capacity shall be deemed as gifts to KNBS and such shall be declared to Director General. To this end KNBS staff should avoid any financial or other interest or undertaking that could directly or indirectly compromise the performance of their duties. KNBs employees shall not accept or request gifts or favors from i) Suppliers and potential suppliers to KNBS ii) Organizations that are regulated by KNBS on statistics and survey as outlined in Statistics Act 2006 iii) Contractors and consultants iv) Potential employees Employees shall not use information acquired in the course of employment for personal benefit. or might
. whether financial or other. The conflict in question is between official duties and obligations. Dealing with conflict of interest is an integral part of establishing an ethical culture at the KNBS. CONFLICT OF INTEREST A conflict of interest is a situation in which the impartiality of an officer in discharging his/her duties could be called into question because of the potential. An employee may however receive gifts from friends and relatives given on a special occasion but this should not be received in KNBS offices. ACCEPTANCE OF GIFTS/BENEFITS Gift Policy Statement Public officers working in KNBS shall not use the office to improperly enrich themselves. professional and social associations of staff both inside and outside the KNBS. engaging consultants. perceived or actual influence of personal considerations. These associations can create conflicts of interest in contracting for services. Conflicts of interest should be assessed in terms of the likelihood that staff members possessing a particular interest could be influenced.7. on the one hand and private interests on the other.
11. IMPLEMENTATION AUTHORIY Implementation of the strategies on corruption prevention lies with all staff.REVIEW This policy will be subjected to review every three years after an organization wide fraud risk assessment. The management must sensitize staff under them to embrace internal controls and ethics in their day to day operations and to continuously strive to improve the available internal controls to ensure a corruption free organization. 9.appear to be influenced.EFFECTIVE DATE Issued this day of 2009
Signed by the Director General KNBS
. in the performance of their duties on a particular matter. The KNBS will not routinely involve itself in the private lives of its staff. a conflict of interest may arise where a staff member engages in activities or advances personal interests at the expense of the KNBS’s interests or the interests of other staff members or clients. The Integrity Committee will review and coordinate actions in this policy 10. However.
Favouritism in hiring of casuals Misuse of compassionate and sick leave Favouritism. Administration and Human Resources a) Finance Misappropriation of funds False accounting documents used to account Manipulation of accounting documents to state less revenue Unequal distribution of resources meant to induce others to bribery Payments for goods not received Embezzlement of funds Double payments for one transaction Invoices processed more than once Forged signatures to account for money Organizational cheques cashed by individuals Payment for persons who never worked False financial statements Unauthorized advances for personal benefit Overstated expenses Deliberate delay in making gratuity payments in pursuit of favours Counterfeiting original documents b) Human Resources Ghost employees paid for example dead persons on payroll. nepotism and tribalism in distribution of opportunities including training & overseas trips Illegal gratuities Conflict of interest in hiring Introducing unauthorized changes on the payroll system to favor self or staff Sexual harassment/Asking for sexual favours Deployment of staff Placing employees in inappropriate scale upon hiring Tampering with the payroll
.APPENDIX 1 CORRUPTION RISK AREAS AND PRACTICES IN KNBS i) Directorate of Finance. promotions and transfers Favouritism. nepotism and tribalism in recruitment.
False/ fictitious insurance claims c) Administration Approving payment for vehicle repairs which are not done Disposal of old items to self Assets used for personal gain for example cars for personal use False mileage returns Falsification of work ticket entries
ii) Directorate of Information. Communication and Technology (ICT) Misuse of internet Use of Computer for personal gain Vandalism of computer equipments Use of fake software licences Manipulation of software to steal for example payroll Sabotage of the IT system for personal gain Purchase of software not needed for purposes of commissions Use of dormant and default accounts to perpetrate fraud. Issuing a computer to officers who don’t need Vandalism of computer spares Not following the specifications
iii) Director General’s Directorate a) Procurement Bid rigging to favour one supplier Favouritism in selection of service providers Conflict of interest in procurement of goods and consultancies Accepting substandard goods Theft of items in stores Overpricing of goods Allowing processing of payment for goods not received Allowing full payment for less goods received Collusion with suppliers to inflate (exaggerate) prices Extortion of money and bribes from suppliers Excessive delays in processing of procurement Awarding contracts to non performing suppliers Single sourcing Receiving of bribes. kickbacks/commissions
Change of evaluation members during evaluation process Unnecessary vendor intermediaries and Interference due to vested interests Award of tenders to companies set up by staff or relatives b) Public relations
Bribing media for favourable coverage Favouritism Unauthorized release of sensitive information c) Legal Department Collusion with external lawyers to defraud the corporation in legal fees Deficient legal documentation in loans made d) Internal Audit Selective audit of some periods / past transactions Bribes Selective auditing of some areas iv) Donor Funded projects Substandard goods accepted and paid for Inflated and exaggerated prices Double funding of items already accounted for under recurrent expenditure Under delivery of items bought
. Selling confidential/insider information to suppliers on tender/quotation details Specifications designed to favor a particular provider or vague specification Bids submitted and accepted after the deadline Frequent use of quotation method rather than open tendering Restricted advertising or insufficient notice Advance release of bid documentation or relevant information to particular supplier Failure to respond to requests from suppliers/ contractors for clarifications in time Unreasonable delays in evaluation Bid evaluation committee members not having the “technical expertise necessary” to properly evaluate bids.
Non competitive selection of suppliers Favouritism in tender and procurement arrangements v) • • • • • • • • • All technical Directorates including Unauthorised release of data Deliberate delay in responding to data requests Influence of statistical results Discriminatory award of international travel and training to staff Staff engaging in personal work using organizational resources Absenteeism Use of office supplies/equipment for personal gain Bribes. Gender discrimination and bias
vi) Directorate of strategy and Development • Giving data without approval • Approve substandard work from research vii) General Misuse of office equipment Theft of office equipment Use of organizational information for personal purposes Lateness to work and misuse of office hours Bribery Blackmail. extortion/threats Conflict of interest Receiving personal benefits in exchange for assisting consultants or any other service provider to get a job in KNBS
. bias and conflict of interest in hiring of survey enumerators.
APPENDIX II COMPOSITION OF KNBS INTEGRITY COMMITTES a) b) Membership Integrity Committee Director General (Chair) Director Production statistics – (Deputy Chair) Director Macroeconomics (Member) Director population statistics ( Member) Director Finance Admin and Human Resources (Member) Director ICT (Member) Manager Legal Services (Member) Manager Internal Audit (Secretary) Membership of Regional Integrity Committee The Regional Manager (Chair) The Integrity Assurance Officer (Secretary) At least two District statistics Officers (Member) In charge of Finance in the region (Member)
c) Mandate of IC and RIC Setting priorities in the prevention of corruption within KNBS Developing. Monitoring and evaluating the impact of corruption prevention initiatives Preparing and submitting quarterly progress reports to the Director and board and KACC
. Integrating all corruption prevention initiatives Spearheading anti-corruption campaigns including integrity training at all levels in KNBS Receiving and reviewing reports on corruption prevention initiatives and recommending appropriate action Receiving and taking action on corruption reports made by staff and other stakeholders. planning and coordinating corruption prevention strategies.