Expanding EnforcementFrontiers for Increased ConsumerWelfare and Sustainable Economy

TABLE OF CONTENTS

LIST OF TABLES iiiLIST OF FIGURES iiiACRONYMS ivFOREWORD viPREFACE viiiDEFINITION OF KEY TERMS xiEXECUTIVE SUMMARY xii

CHAPTER 1: INTRODUCTION 11.1 Overview 21.2 Background 21.3 The Authority’s Mandate 21.4 Rationale for Strategic Planning 21.5 Authority’s Governance Structure 31.6 Role of the Board 41.7 Management Structure 4

CHAPTER 2: SITUATIONAL ANALYSIS 52.1 Overview 62.2 Implementation of the Act 62.3 Review of the Strategic Plan 2017/18 - 2020/21 62.4 Performance of the Strategic Plan 2017/18 - 2020/21 7 2.4.1 Supporting Factors 7 2.4.2 Impact of the Strategic Plan 2017/18 - 2020/21 8 2.4.3 Challenges in Implementing Strategic Plan 2017/18 - 2020/21 9 2.4.4 Opportunities for the 3rd Strategic Plan 2021/22 - 2024/25 102.5 Government Development Strategies 11 2.5.1 The Kenya Vision 2030 11 2.5.2 Big Four Agenda 11 2.5.3 Digital Economy Blue Print 2019 11 2.5.4 Post COVID-19 Economic Recovery Strategy, 2020 – 2022 11 2.5.5 Africa Agenda 2063 11 2.5.6 Sustainable Development Goals 122.6 External Environmental Review 12 2.6.1 PESTEL Analysis 12 2.6.2 Impact of COVID-19 on Competition Regulation 15 2.6.3 Stakeholder Analysis 15 2.7 Internal Environment 20

i

Strategic Plan 2021/2022-2024/2025

2.7.1 SWOT Analysis 20 2.7.2 Risk Analysis 21

CHAPTER 3: STRATEGIC DIRECTION 233.1 Overview 24 3.1.1 Vision 24 3.1.2 Mission 24 3.1.3 Core Values 24

3.1.5 Quality Policy 25 3.1.6 Quality Objectives 253.2 Strategy Overview and Focus Areas 253.3 Strategy Matrix: Strategic Goals, Strategic Objectives, Strategies and Activities 26

CHAPTER 4: IMPLEMENTATION AND CO-ORDINATION FRAMEWORK 374.1 Overview 384.2 Financial Resources 38 4.2.1 Projected Revenue Sources 39 4.2.2 Human Capital Requirement 39 4.2.3 Risk Analysis and Mitigation Strategies 414.3 Implementation Matrix 44

CHAPTER 5: MONITORING, EVALUATION AND REPORTING 575.1 Overview 585.2 Monitoring and Evaluation 58 5.2.1 Review of Strategic Plan 58 5.2.2 Performance Assessment and Reporting Structure 585.3 Critical Success Factors 595.4 Monitoring and Evaluation Matrix 60

ii

Strategic Plan 2021/2022-2024/2025

LIST OF TABLES

Table 1: Themes and Objectives of 2nd Strategic Plan 6Table 2: Impact of 2nd Strategic Plan 8Table 3: PESTEL Analysis 12Table 4: Stakeholder Analysis 16Table 5: SWOT Analysis 20Table 6: Risk Analysis 21Table 7: Strategy Matrix 27Table 8: Budget Estimates 38Table 9: Revenue Sources 39Table 10: Risk vs Strategic Objectives Matrix 41Table 11: Delivering effective enforcement 44Table 12: Research and Advocacy 50Table 13: Visibility and Sustainability 52Table 14: Reporting Structure 59

LIST OF FIGURES

Figure 1: Organization Structure 40

iii

Strategic Plan 2021/2022-2024/2025

ACRONYMS

ABP Abuse of Buyer PowerAfCFTA African Continental Free Trade AreaBCP Business Continuity PlanBP Buyer PowerCOMESA Common Market for Eastern and Southern AfricaC&ER Communications & External Relations CCSA Competition Commission South AfricaCMS Case Management SystemCSR Corporate Social ResponsibilityDRP Disaster Recovery PlanDOJ Department of Justice of the United States of AmericaEAC East Africa CommunityEACA East Africa Competition CommissionE&C Enforcement & ComplianceERP Enterprise Resource PlanningERS Economic Recovery StrategyFDI Foreign Direct InvestmentsFSD–K Financial Sector Deepening – KenyaFTC Federal Trade CommissionHR&A Human Resource & AdministrationIA Internal AuditICT Information & Communication TechnologyIPA Innovations for Poverty ActionIPSAS International Public Sector Accounting StandardsICPEN International Consumer Protection and Enforcement NetworkISO International Standardization OrganizationLSK Law Society of KenyaM&A Mergers and AcquisitionsM&E Monitoring and EvaluationMoU Memorandum of UnderstandingMTEF Medium Term Expenditure FrameworkMTP Medium Term PlanODPP Office of the Director of Public ProsecutionRECs Regional Economic CommunitiesRQA Risk and Quality AssuranceRTP Restrictive Trade PracticesPFM Public Financial ManagementPPR Planning, Policy & ResearchPESTEL Political, Economic, Social, Technological, Environment, and legalPMR Product Market Regulation

iv

Strategic Plan 2021/2022-2024/2025

QMS Quality Management SystemSADC Southern Africa Development Community

SDG Sustainable Development GoalsSMART Specific, Measurable, Achievable, Realistic and Time-boundSWOT Strengths, Weaknesses, Opportunities, and Threats

v

Strategic Plan 2021/2022-2024/2025

consumer welfare and create an environment conducive for local and foreign investments.

Indeed, effective competition law enforcement and advocacy play a key role in realizing sustainable and inclusive development. The Authority appreciates that skills and tools must constantly develop and adapt to keep up with the dynamism in markets.

This Strategic Plan has been developed at a time when the global economic growth decelerated by 2.9% in 2019 with the 2020 economic prospects down-scaled by the negative effects of the COVID-19 pandemic. According to the IMF Economic Outlook 2020, growth is projected to decline to 4.7% by 2025, well below the 5.6% recorded between 2000 and 2019. This is majorly due to the adverse economic effects caused by the COVID-19 pandemic.

Despite the challenging economic environment globally, a review of the implementation of the previous Strategic Plan indicates that the Authority achieved over 95% of its planned activities on competition enforcement, consumer protection and prevention of abuse of buyer power. This is a remarkable improvement compared to the 90% achievement that was realized at the same stage of evaluation of the 1st Strategic Plan in 2016. Notably, during the period under review the Authority enhanced enforcement against abuse of power as well as registering improved success in automating its processes to increase efficiency in service delivery.

This Plan is guided by the theme, “expanding enforcement frontiers for increased consumer welfare and Sustainable Economy” and has three key strategic priority areas; to deliver effective enforcement, research and advocacy and visibility and sustainability. Effective enforcement will entail increasing deterrence of anti-competitive practices and abuse of buyer power and enhancing consumer welfare. Research and advocacy will ensure that decisions are guided and informed by more advanced research particularly in the digital space and other emerging areas. Under visibility and sustainability, we shall

vi

Strategic Plan 2021/2022-2024/2025

It gives me a great pleasure to introduce to you the Authority’s 3 Strategic Plan (SP-III) covering the financial years 2021/22 to 2024/25. This Strategic Plan is an embodiment of the commitment of the Board in enhancing the welfare of Kenyans and promoting and safeguarding effective competition in markets, protecting consumers from unfair and misleading market conduct and deterring abuse of buyer power.

In developing this Strategic Plan, the Board’s key objective is to ensure that the Competition Act No. 12

increase efficiency in the production, distribution and supply of goods and services, promote innovation, maximize the efficient allocation of resources, improve

FOREWORD

purpose to ensure that Authority’s brand equity continues to grow with the aim of making us the first point of contact with regard to competition regulation in Kenya and Africa. Similarly, organizational sustainability will be assured through optimal resource utilization and implementation of the Enterprise Risk as well as Business Continuity Planning frameworks which provide assurance on the Authority`s preparedness to handle unforeseen risky circumstances. These priority areas will ensure that competition policy will contribute to sustainable and inclusive development aligned to the Vision 2030.

This Plan is alive to the potential theories of harm that may arise from the growing digital economy and will focus on ensuring that consumers benefit from the knock-on effects of digitalization and that advances in digital technology create opportunities for greater inclusion of diverse market participants. In its contribution to the implementation of the post-COVID-19 Economic Recovery Strategy (ERS), the Authority will engage and build strong relationships with stakeholders to carry out advocacy initiatives aimed at creating awareness on the adverse effects of anti-competitive practices, consumer protection and abuse of buyer power.

The Authority will collaborate with other competition agencies and networks regionally and globally to share best practices, build capacity, transfer knowledge and skills and deepen the competition culture. Some of the partners that the Authority will engage are: the Department of Justice of the United States of America (DoJ), Asian Competition Agencies, the COMESA Competition Commission (CCC), the International Competition Network (ICN), the International Consumer Protection and Enforcement Network (ICPEN), the African Competition Forum (ACF), the European Union (EU), the Competition Commission of South Africa (CCSA), the World Bank Group, and Education institutions, among others.

providing guidance in the implementation of this Plan by ensuring that the Authority has adequate resources to achieve its strategic objectives and make a positive contribution. Further, in collaboration with the National Treasury and Planning and other relevant stakeholders, we will ensure that requisite policies are drafted and regulatory regime reviewed in order to foster and deepen regulation of market structure and conduct.

On behalf of the board, I am confident that we will not only deliver on this Plan but also contribute positively to the growth and development of the national economy by ensuring efficient markets and enhanced consumer welfare for shared prosperity.

vii

Amb. Nelson Ndirangu, OGWBoard Chairman

Strategic Plan 2021/2022-2024/2025

foundation for a functional agency through capacity building, strategic partnerships, and soft enforcement. Specifically, the Authority, in executing its second Plan, which ended in June 2021, scaled up sanctioning of anti-competitive conduct and consumer rights violations through imposing financial penalties, increased the use of dawn raids to procure evidence, as well as scaled up issuance of cease and desist and compliance orders, among others.

During the second Plan, the Authority also took proactive measures to improve awareness about its mandate among our stakeholders, with the aim of deepening the competition culture in our economy and bolster compliance with the law. In order to

enforcement capacity, the Competition Act, was amended in 2016 and 2019. One of the key outcomes of these amendments was the enhanced enforcement against Abuse of Buyer Power which has ensured sustainability of the SMEs in the economy. So far, an estimated Ksh. 2 billion has been released to SMEs by buyers who had delayed payment.

As the competition policy regime in Kenya enters into its second decade of enforcement, the Authority will continue to implement the Competition Law. To this end, the Authority’s 3rd Strategic Plan is guided by the theme: Expanding enforcement frontiers for increased consumer welfare and sustainable economy. This Plan is informed by various Government’s development blueprints, including the Vision 2030 Plan, the COVID-19 Economic Recovery Strategy, Blue Economy Sector Plan and the Digital Economy Blueprint 2019, among others. The new Plan for FY 2021/22 - 2024/25 outlines strategies through which the Authority will expand its programs in order to enhance consumer welfare, foster competitive, efficient markets and innovation, and inclusive development/sustainability.

The Authority shall seek to further entrench research in its decision-making, enhance its cooperation with local and international partners and agencies, while paying special

viii

Strategic Plan 2021/2022-2024/2025

The Authority’s 3rd Strategic Plan highlights our priority enforcement areas for the next four years, while taking cognizance of past experiences, challenges, risks and opportunities.

aspirations and goals, allow me to give a concise background since incorporation in August 2011 as the successes and lessons from previous Plans greatly inform our future.

In our first Plan, which ran from 2012 to 2016, the Authority focused its efforts on laying the

PREFACE

continuity. Other areas of focus will be increased resource mobilization particularly from development partners, robust performance management system, leveraging ICT to

emerging issues.

We are also alive to the impact that bilateral and multilateral trade agreements such as the Tripartite Agreement and the Africa Continental Free Trade Area have on how business is conducted locally, regionally and internationally.

One of the challenges that the Authority will seek to address in the lifetime of this Plan is the impact that online platforms have on consumers, businesses and competition, with regard to choice, quality, innovation, and pricing of goods and services as well as user concerns, including data privacy. To address this, the Authority shall enhance its research

the aim of addressing any competition and consumer protection concerns.

We also intend to bolster our collaboration with international and local agencies with regard to information and knowledge sharing, joint investigations, capacity building and sharing of best practices.

The Strategic Plan is being developed in a period of significant socio-economic disruption occasioned by the global COVID-19 pandemic. The Authority takes cognizance of the fact that careful and temporary relaxation of competition laws is necessary to cushion certain economic priority sectors against the negative impact of the pandemic, with the sole objective of spurring economic recovery. These interventions, which should have clear sunset clauses, are also meant to ensure that markets continue to deliver to consumers while striking a balance between reviving the economy and the preservation of competition.

Additionally, the COVID-19 pandemic may occasion a shrinking of resources thereby requiring the Authority to increase its inter-agency collaboration and cooperation to ensure that we deliver on our mandate. From an operational perspective, automation of core services will ensure that we continue delivering efficient services to our stakeholders, even when business is disrupted as experienced during the pandemic.

Whereas the Authority’s service delivery during the pandemic continued uninterrupted, we shall leverage on the lessons and experiences from this disruptive period to enhance our business continuity planning as well as risk and information security management.

The biggest success determinant with respect to the actualization of the Plan is our human capital. Taking cognizance of the changing global and local economic and competition law dynamics, as well as the risks and opportunities outlined in this Plan, the Authority shall continue to ensure that its staff are adequately skilled and motivated.

ix

Strategic Plan 2021/2022-2024/2025

Reengineering of staff capabilities shall be achieved through training to equip them with the relevant knowledge and advanced skills to empower them achieve the objectives set out in this Plan. The Authority shall also lay emphasis on mentorship and coaching as well as enhancing our staff motivation and retention initiatives.

I wish to thank the Board for their steadfast guidance, and the staff for their efforts towards the development of this Strategic Plan. We also appreciate our stakeholders and partners for their invaluable input which has enriched this Plan. Further, I wish to thank our parent ministry, the National Treasury and Planning, for its policy guidance and resource support during the execution of our mandate.

We look forward to your continued support over the next four years towards actualizing this Strategic Plan.

x

Wang’ombe Kariuki, MBSDirector-General

Strategic Plan 2021/2022-2024/2025

Term

Core Values

Goal

Vision

Mission

Outputs

PerformanceIndicator

Service DeliveryTargets

SituationalAnalysis

StrategyMatrix

Strategic themes/goals

Description

The fundamental rules by which the Authority conducts business

High level statements of achievements of a strategic objective

The reason for the Authority’s existence

The product or service the Authority delivers

Specific outputs needed to achieve the Strategic Priorities

A vibrant, compelling image of the desired future of the Authority or the impact the Authority desires to create in competition regulation

A measure used to assess the performance of the Authority ordepartment in service delivery

The assessment of the Authority’s internal and external environment. It is from this analysis that strategic issues become apparent

Broad, long term targets designed to achieve the Authority’s mission.Strategic Initiative Actions for achieving the strategic priorities.

Sets out the parameters that lead to the fulfilment of the Authority’svision and goals. It contains three Strategic themes/goals, and theircorresponding objectives, strategies and activities.

DEFINITION OF KEY TERMS

xi

Strategic Plan 2021/2022-2024/2025

EXECUTIVE SUMMARYThis 3 Strategic Plan has been developed under the theme; Expanding Enforcement Frontiers for Increased Consumer Welfare and Sustainable Economy, has relied heavily on the lessons learned from the first two Plans. The Plan also comes at a time when innovation is key to deliver on the Authority’s mandate, occasioned by financial constraints due to the prevailing COVID-19 pandemic. Further, this Plan focuses on cooperation and collaboration as key strategies in delivering effective competition enforcement in the national economy. In addition, research will play a central role in the Authority’s activities in order to ensure optimal decisions.

The Authority’s 3 Strategic Plan is structured as follows: Chapter 1 describes the Authority’s mandate, the rationale for strategic planning and our governance structure, while Chapter 2 focuses on the environment under which the Authority operates and its impact on the mandate. Chapter 3 of the Plan elucidates the Authority’s strategic direction with regard to its goals, objectives and strategies. In the Plan, we have identified three goals which the Authority will focus on for the next four (4) years. The goals are; delivering effective enforcement; research and advocacy; and visibility and sustainability. Further, thirteen (13) strategic objectives have been identified to aid in delivery of the goals. Various activities will be implemented towards achievement of the objectives. In Chapter 4, we record the resources required to deliver this plan in terms of financial and human capital while Chapter 5 focuses on monitoring the performance of the Authority.

Furthermore, risks that could compromise successful implementation of the plan have been identified and corresponding mitigation strategies proposed. The total direct cost for implementing this Strategic Plan is estimated at about Ksh. 2,500 million over the next four (4) years.

xii

Strategic Plan 2021/2022-2024/2025

CHAPTER ONE: INTRODUCTION

1.1 OVERVIEWThis chapter describes the Authority’s mandate, the rationale for strategic planning and the governance structure

1.2 BACKGROUNDThe Competition Act No. 12 of 2010 (“the Act”) came into effect in 1 August 2011 and its objective is to promote competition, consumer protection and deter abuse of buyer power to foster economic development and enhance consumer welfare for shared prosperity. The Act implements Article 46 of the Constitution of Kenya, 2010 on consumer rights and Kenya’s Vision 2030 on economic development. The enforcement of the Act ensures that consumers enjoy competitive prices, quality goods and services, wider choices through sustained innovations.

The Competition Authority of Kenya (“the Authority”) is a government agency established under section 7 of the Act whose responsibility is to enforce compliance with the Act.

1.3 THE AUTHORITY’S MANDATEThe Authority is mandated to promote and safeguard competition in the national economy and to protect consumers from unfair and misleading market conduct 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 invest ment;

integration initiatives;vii. Bring national competition law, policy and practice in line with the best international practices; and,viii. Promote the competitiveness of national undertakings in world markets.

1.4 RATIONALE FOR STRATEGIC PLANNINGThe process of strategic planning is aimed at identifying and selecting the most appropriate ways of utilising the organization’s resources to achieve specified objectives, while taking into account the internal and external environments in which the organization operates.

This 3 Strategic Plan covers the period between 1 July 2021 and 30 June 2025 and outlines the Authority’s focus in promoting efficient markets and enhancing consumer welfare in the Kenyan economy. It is preceded by the 1 and the 2 Strategic Plans that focused on laying the structures for a functional organization and flexing muscles in enforcement of the Competition Law, respectively.

2 of 60

Strategic Plan 2021/2022-2024/2025

3

The theme for this Plan is expanding enforcement frontiers for increased consumer welfare and Sustainable Economy. This theme ushers the Authority into the second decade of competition enforcement. It aims to expand the frontiers of enforcement to respond to emerging concerns such as the digital economy, including FinTech, big data and multi-sided markets, among others. The strategies and action plans under each strategic objective are linked to performance indicators and outputs to enable the Authority assess progress and impact in realizing its goals.

This Plan is aligned to the Constitution of Kenya 2010; the Competition Act No. 12 of 2010; Kenya Vision 2030 Blueprint; the Kenya Digital Economy Blueprint; post-COVID-19 Economic Recovery Strategy, Data Protection Act 2019, the Sustainable Development Goals (SDGs) and relevant regional regulatory instruments, including those of COMESA and EAC Competition Authority.

The Plan focuses on enhancing the following key broad areas:

Enforcement of the competition law by increasing deterrence of Restricted Trade Practices (RTPs) and abuse of Buyer Power in order to strengthen SMEs and other sectors;Regulation of Mergers and Acquisitions in order to promote ease of doing business

recovery;Increase Consumer welfare to the citizenry;Implementation of cooperation frameworks with local, regional and international agencies in order to complement the Authority’s efforts in delivering on its mandate with specific focus on emerging issues such as digital economy, buyer power regulation, Gender, Climate change, AfCFTA, and the post-COVID-19 Economic Recovery Strategy;Collaboration with education institutions in order to deepen the competition culture and protection of consumer rights;Use of research and best practice in the Authority’s activities to ensure optimal decisions;Implementation of the Risk Management framework, Quality Assurance and the Business Conti nuity Policy to reduce exposure to risk, ensure optimal sustainability and increased stakeholder confidence;Optimal resource utilization by ensuring planning, monitoring and evaluation of the Authority’s performance for continual improvement;Mobilize adequate resources to support the Authority’s programmes and operations for sustainability;Management of human capital to increase productivity;Enhancing Corporate Visibility and Awareness of the Authority’s mandate; Leveraging on ICT to increase efficiency and improve service delivery; andEnsuring that the legal framework remains dynamic and responsive to competition law enforcement on emerging issues and that decisions are made within the ambit of the law.

3 of 60

i.

ii.

iii.iv.

v.

vii.

vi.

viii.

ix.

x.xi.xii.xiii.

Strategic Plan 2021/2022-2024/2025

1.5 AUTHORITY’S GOVERNING STRUCTUREThe Authority is governed by a Board that is mandated to ensure that the obligations, roles and responsibilities to stakeholders are fulfilled through sound corporate governance practices. Section 10 of the Act provides that the Board shall comprise of; a Chairperson, five (5) independent members, Principal Secretaries to the National Treasury and Planning and the National Treasury and Planning and the Ministry of

The Board is accountable to the Government through the National Treasury and Planning, and adheres to the highest standards of corporate governance and ethics as well as ensuring compliance with all applicable laws. The Board members perform their duties with impartiality, honesty, transparency and accountability, professionalism, integrity, care and due diligence and act in good faith to the best interests of the public.

and Strategy, Human Resource, Audit and Finance.

1.6 ROLE OF THE BOARDThe Board is responsible for overall strategic direction and operational guidance of the Authority. In this regard, the responsibilities of the Board include:i. Establishing short and long-term goals of the Authority and development of strategies to achieve these goals;ii. Monitoring the Authority's performance against these set goals;iii. Overseeing the preparation of annual financial statements and reports;iv. Approving annual budgets and procurement plans; andv. Ensuring that the Authority has adequate systems of internal controls coupled with appropriate monitoring of compliance activities to mitigate risk and ensure business continuity.

1.7 MANAGEMENT STRUCTUREThe Authority’s Management comprises the Director-General’s Office (DG), three Directorates (Competition & Consumer Protection; Planning, Policy, Research and Risk & Quality Assurance; and Corporate Services) and thirteen (13) departments (Communications & External Relations, Supply Chain Management, Buyer Power, Legal, Internal Audit, Consumer Protection, Mergers & Acquisition, Enforcement & Compliance, Human Resource & Administration, ICT, Finance, Planning, Policy & Research and Risk & Quality Assurance). The Director General is responsible for the day-to-day management of the Authority and advises the Board.

4 of 60

Strategic Plan 2021/2022-2024/2025

CHAPTER TWO: SITUATIONAL ANALYSIS

2.1 OVERVIEWThis Chapter details the current status of implementation of the Competition Act No.12 of 2010 based on the evaluation of the Authority’s performance under its 2nd Strategic Plan. The strategic issues highlighted in this Chapter are the basis for the strategic priorities identified with a view to contributing to the Government’s development agenda.

2.2 IMPLEMENTATION OF THE ACTThe objective of the Act is to promote and safeguard competition in the national economy and to protect consumers from unfair and misleading market conduct. The Authority’s mandate was expanded by amendment of the Competition Act in 2019 to include provisions on Buyer Power and regulation of Professional services. These amendments are aimed at deepening the role of competition regulation in realization of the national goals as well as growth and sustainability of SMEs and access to professional services by all citizens. As a result, the Authority has enabled recovery of over Ksh. 2 billion owed to SMEs through the enforcement of Buyer Power provisions since 2018.

In a bid to protect consumers, the Authority, following the outbreak of the COVID-19 pandemic, investigated alleged price gouging and hoarding by manufacturers and retailers of essential products. It is also important to note that the Authority was able to

2.3 REVIEW OF THE STRATEGIC PLAN, 2017/18 - 2020/21The themes and objectives of the Strategic Plan 2017/18 - 2020/21 were as follows:

No. 1.

2.

3.

ThemeDeliver EffectiveEnforcement

Consumer Protection

Planning, Research and Quality Assurance

Objectives• To increase deterrence on anti-competitive practices• To enhance market surveillance• To enhance transparency, accountability and predictability of enforcement, compliance and merger issues• To increase deterrence on Abuse of Buyer Power• To increase deterrence on unfair and misleading market practices• To empower consumers to exercise choice through consumer awareness• To enhance transparency, accountability and predictability of

• To promote creation and strengthening of consumer bodies• To deepen integration regionally and internationally through expanding market Frontiers • To deepen the Authority's understanding of sectoral markets• To enhance Monitoring & Evaluation • To advance the Authority's Knowledge Management• To coordinate implementation of ISO standards• To enhance institutional risk management practices and compli- ance of quality Assurance • To coordinate implementation of the Business Continuity Management • To oversee Implementation of the Anti-Fraud and Corruption Strategy

6 of 60

Strategic Plan 2021/2022-2024/2025

2.4 PERFORMANCE OF THE STRATEGIC PLAN 2017/18 - 2020/21The performance of the second Strategic Plan has been evaluated against the five strategic themes highlighted above. The Authority executed 95 per cent of its planned activities, with only three activities not having been implemented. It is imperative in line with the authority’s mandate to look at the impact of these achievements on consumers.

markets for consumers. The next section, therefore, details the impact of the Authority’s activities over the last four years; challenges and opportunities.

2.4.1 Supporting FactorsThe successful implementation of the second Plan was supported by the following factors:

Automation – The Authority automated its processes through the Case Management System (CMS) and the Enterprise Resource Planner (ERP). This has increased efficiency through reduced turnaround time, which has enabled faster finalization of cases. In addition, the stakeholder are able to submit information to the Authority in a more expedient manner, thereby facilitating efficient analysis. As a result, the Authority’s case turnaround time has reduced and the need for storage of physical documents has been eliminated. Furthermore, costs incurred on stationery and printing have been reduced by over 70%;

Staff Capacity and Skills – The Authority has intentionally equipped staff with

capacity, more so with regard to emerging areas. This has not only improved productivity, but also increased efficiency and effectiveness, as demonstrated by the fact that 98% of all planned activities in this Plan were completed, up from 90% in the previous plan; investigation was completed in 70 days upon receipt of all information for consumer cases; 40 days for merger cases. In addition, new areas of enforcement are being explored as the knowledge base has widened. Staff have been able to participate in various fora to share the Authority’s experiences and exchange knowledge that has further aided in the delivery of its mandate;

Reliable Financing – The Authority has over the period of the Plan received 70% of its budget from the Exchequer, thus enabling it to execute its mandate. Additionally, Appropriation-in-Aid collected has supported 30% of the Authority’s activities. Development partners have continued to support the Authority’s programmes

No.

4.

5.

ThemeVisibility andCorporate Image

OrganizationalSustainability

Table 1: Themes and Objectives of the 2nd Strategic Plan

Objectives• To increase outreach and awareness • To enhance corporate visibility (locally, regionally, and internationally) • To strengthen media relations • To broaden revenue streams• To optimize use of resources• To improve productivity and efficiency• To enhance institutional capacity

7 of 60

Strategic Plan 2021/2022-2024/2025

a.

b.

c.

2.4.2 Impact of the Strategic Plan 2017/18 - 2020/21In order to illustrate the role of competition regulation in the economy, it is imperative to elucidate the impact from some of the activities implemented by the Authority over the last four years, as highlighted below;

and activities through technical assistance;Motivated Staff – The Authority has continually ensured that its staff are well remunerated and motivated which has enabled them to deliver on their roles. In furtherance of this, the Authority has in place comprehensive medical insurance cover as well as car loan and mortgage schemes, among others. An employee satisfaction survey conducted in 2019 recorded an index of 79.5%, representing a 6% increase in satisfaction levels compared to levels recorded during a similar survey conducted during execution of the first Strategic plan. Further, staff turnover has over the years remained below 4%; and

Support from Development Partnerspartners such as the World Bank Group, FSD-K, IPA, FTC, JFTC/JICA, CCSA, among others. This has been through technical assistance and financial support, which have enabled the Authority to conduct market inquiries and facilitated training of case officers.

ThemeDeliver EffectiveEnforcement

Objectives ImpactTo enhance transpar-ency, accountability and predictability of enforcement, compli-ance and merger issues

To increase deterrence on anti-competitive practices (selected cases)

The Authority has contributed to investments in the Kenyan economy through increased transparency, predictability and accountability among the business community in the merger process. The value of the mergers and acquisitions considered, contributed over Ksh. 100 billion to the Kenyan economyElimination of double notification of mergers with a COMESA dimension has also saved businesses resources. Pursuant to the Authority’s intervention in the cement sector in order to extinguish anti-competi-tive practices relating to collusion, Ksh. 3.1 billion in consumer savings were realized, from reduction of cement prices from Ksh. 850 – 650 per 50kg bagThe Authority’s intervention into the alcoholic beverages sector resulted in amendment of KBL’s Mainstream Distributor Agreement to remove problematic provisions. Further, KBL has devel-oped internal Competition Compliance Policy and created awareness to its staff. The overall impact of the above decision and compliance process has been that the inter-brand and intra-brand competi-tion of alcoholic beverages has been enhanced in the market.The Authority intervened in the mobile money sector, resulting in 90% reduction in cost of USSD to the consumer (Cost per session reduced from

8 of 60

Strategic Plan 2021/2022-2024/2025

•

•

•

•

•

d.

e.

9

2.4.3 Challenges in Implementing Strategic Plan, 2017/18 - 2020/21The Authority faced several challenges in the course of implementing this Strategic Plan including:

Lack of Regulations on the Digital Economy and Big data - The rise of digital giants is explained by technological breakthroughs providing ver advantages and consolidation opportunities due to network effects associated with high switching costs and strong lock-in Collecting, storing, analysing, and working with data

new challenges in terms of data privacy and protection of competition that need to be considered in various areas of law including Data Protection, Consumer Law, Privacy and Competition Law;

Abuse of Buyer Power - The conventional objective of protecting consumer welfare might not be sufficient to justify measures against the abuse of bu

ThemeDeliver EffectiveEnforcement

Consumer Protection

Planning, Research & Quality Assurance

Objectives Impact

To increase deterrence on Abuse of Buyer Power

To increase deterrence on unfair and mislead-ing market practices

To prepare position papers on various policies, bills and legis-lations

To develop and imple-ment Co-operation Frameworks

In its enforcement of the Buyer Power regulations the Authority’s interventions have resulted in the recovery of 2 billion owed to SMEs by buyFurther, the Authority has sensitized the business community on acts that result into abuse of buyer power, in order to enhance compliance with the Enhanced disclosure and transparency of fees and charges by providers of Digital Financial Services

has enabled consumers make informed choices, increasing demand driven competitionIncreased awareness by consumers on fees and charges for mobile phone financial transactions with

of consumers reporting correct fee amount as compared to before the intervention of the AOver advisories issued to the National and County Governments in various sectors resulting in alignment of legislation and Sectors covered in these advisories included: aviation, tea, sugar, retail sector, county Governments of Kericho and Kiambu, among The Authority also issued advisories to the National Assembly with regard to competitiveness of professional services, and dominance in the telecommunications

Over case officers were trained on Competition Law by FTC, JFTC/JICA, and CCSA saving the Authority (and the tax payer an estimated

Table 2: Impact of the 2nd Strategic Plan

Strategic Plan 2021/2022-2024/2025

•

•

•

•

•

a.

b.

However, the protection of small agricultural producers and other SMEs who are adversely affected by their lower bargaining position compared to the big buyers provides a justification for regulating abuse of buyer power. The abuse of buyer power is likely in highly concentrated upstream markets with fewer buyers and many sellers. Therefore, there is need to protect sellers from abuse;The COVID-19 Pandemic - The uncertainty surrounding the COVID-19 pandemic and the changes it brings, makes it difficult to forecast the long-term impact of the crisis on competition law and enforcement. The pandemic was characterized by several issues in our markets including panic buying and supply chain constraints, leading to concerns over shortages of essential commodities. As a result consumer complaints related to inflated pricing and quality of goods increased at the onset of the pandemic;Evolving Government Agenda – The introduction of the Big 4 Agenda necessitated a review of the Strategic Plan mid-way through its execution order to incorporate the National Government’s priority programs. The Authority will ensure that the next Plan is sturdy enough to accommodate amendments occasioned by changes in Government policy;Low awareness of the mandate of the Authority amongst some stakeholders and the general public – survey conducted by the Authority in June 2019 indicated that the level of awareness of the Authority’s mandate was 35%. The Authority has continually undertaken awareness creation activities meant to enhance its corporate image and visibility. In the new Plan, the Authority will enhance these interactions with stakeholders, physically and through traditional and social media, in order to enhance its brand awareness levels and visibility

2.4.4 Opportunities for the 3rd Strategic Plan 2021/22 - 2024/25The opportunities that the Authority can take advantage of for successful implementation of its 3rd Strategic Plan include;

Development of new business models - There are opportunities for innovation and increased productivity brought about by use of data and development on new digital business models

Regional competition environment – The National and Regional Competition Lawsand under AfCFTA, have been harmonized providing opportunity to develop engagement frameworks between the Authority and RECs Agencies. The Authority will take advantage of these collaborations to build capacity, carry out joint investigations and conduct research;

Increasing awareness of the Competition Act by the business community and consumers in Kenya;

Increasing potential for collaboration and cooperation with stakeholders on emerging issues;

Continued leveraging on ICT to increase efficiency and service delivery; and

Implementation of the Risk management and Business Continuity Management Frameworks;

10 of 60

Strategic Plan 2021/2022-2024/2025

c.

d.

e.

a.

b.

c.

d.

e.

f.

9 11 of 60

2.5 GOVERNMENT DEVELOPMENT STRATEGIESIn preparing the strategic plan, the Authority is guided by the Government’s key policy priorities as highlighted in the documents below;

2.5.1 The Kenya Vision 2030The Kenya Vision 2030 is the country’s development blueprint which aims to propel the country to Upper-Middle-Income Economy status by 2030. Realization of this ambitious targetis heavily dependent on the successful implementation of development projects outlined therein. The Authority, under the Third Medium Term Plan (MTP III), which runs from 2018 – 2022, delivered on the finance sector targets. Specifically, the Authority’s deliverables touched on Banking Competition and Consolidation which is aimed at increasing competition in the banking sector. The Authority will alight its 3rd Strategic Plan with the MTP IV, once published. 2.5.2 Big Four AgendaIn December 2017, the president launched the ‘Big Four’ agenda. This is an economic blueprint that has outlined four key focus areas: food security and nutrition, affordable housing, manufacturing, and universal healthcare.The Plan aims to foster economic development and providinga solution to the various socio-economic problems facing Kenyans. The Big Four Agenda is also aligned to the Kenya Vision 2030, asmainstreamed in the MTP III, 2018-2022. 2.5.3 Digital Economy Blue Print, 2019

will guide the Government in the effective regulation of the digital economy, while leveraging on its benefits. In particular, the digital business pillar aims at developing a robust digital market characterized by fair competition and advanced consumer protection among others.

In addition, the framework identifies the need to develop a regulatory framework that establishes a level playing field between providers and consumers. The Authority’s mandate plays a critical role in contributing to the achievements of the objectives set out in the business pillar through enforcement of its competition and consumer protection mandate.

2.5.4 Post COVID-19 Economic Recovery Strategy, 2020–2022The Covid-19 pandemic has had adverse effects on the Kenyan economy. To cushion the economy from the negative impact of the pandemic, the Government has developed an Economic Recovery Strategy which is being implemented between 2020 and 2022. The Strategy’s objective is to mitigate against the adverse socio-economic effects of the

higher sustainable economic growth. It further identifies the support tohealthcare, aviation, tourism, Micro, small and medium enterprises, manufacturing, domestic and external trade as areas of its focus. The Authority plays a key role in facilitating the ease of doing business in these focus areas. The Strategy is a building block for the MTP IV and the development blueprints beyond the current Vision 2030.

2.5.5 Africa Agenda 2063The strategic framework for socio-economic transformation of Africa,

Strategic Plan 2021/2022-2024/2025

CategoryPolitical

Details Implication on Strategy Strategic ResponsePolitical Transitions

Devolution

Bilateral and Multilateral relationships

Global competitiveness of economy

Increased geographical markets in the countiesConsumer awareness

Decision-Making Sensitization on the Authority’s mandate

Strategic collaborationsHarmonization of enforce-ment Strategic collaborations at county levelAligning county and national government regulations

12 of 60

Agenda 2063, identifies the African Continental Free Trade Area (AfCFTA) as one of its flagship initiatives. The AfCFTA aims at boosting intra-African trade in goods and services. To achieve this, the member states agreed to a mutually beneficial trade agreement covering trade in goods, services, investment, intellectual property rights and competition policy. The Authority plays a vital role in advising the Government on the agreement on competition policy. Specifically the Authority will contribute towards realization of the first Aspiration on A Prosperous Africa, based on Inclusive Growth and Sustainable Development, Goal number four on transformed economies, and the priority area on sustainable and inclusive economic growth. Through its enforcement of the Buyer Power provisions of the Act, the Authority will seek to protect and support the growth of SMEs in Kenya while supporting the regional competition agencies in implementing their Laws.

2.5.6 Sustainable Development GoalsThe 2030 Sustainable Development Goals (SDGs) provide a framework for stakeholders to collaboratively advance various issues such as environmental sustainability, clean energy, education, food security, health (including sexual and reproductive health rights), poverty eradication, peaceful and inclusive societies, gender equity, and address inequalities within and between countries. The Authority continues to contribute to the realization of the SDGs in the following aspects; SDG 5: Gender Equality - the Authority

Mainstreaming Policy and actively monitors its implementation to ensure equality in all levels of the organization. Further, the Authority will work towards promoting a gender-inclusive competition policy; SDG 13: Climate Action – The Authority has allocat-ed 10 per cent of the annual Corporate Social Responsibility budget to planting trees in various parts of Kenya to contribute to improved forest cover in the country. Further, in collaboration with partners, the Authority will conduct research in order to understand how the competition policy can take into account climate change.

2.6 EXTERNAL ENVIRONMENTAL REVIEW2.6.1 PESTEL AnalysisThis section analyses the Authority’s existing operating environment (Political, Econom-ic, Social, Technological, Environmental and Legal) and how these would impact on the Authority’s performance in this Strategic Plan period. The environment creates both opportunities and threats. A brief description of these dimensions in relation to the Authority’s mandate are in the table below:

Strategic Plan 2021/2022-2024/2025

••

••

• •

CategoryEconomic

Socio-Cultural

Details Implication on Strategy Strategic ResponseBilateral and Multilateral trade agreements

Access to credit Sovereign debt e.g. Budget/ investmentsGlobal economic changes

Population growth

Awareness on Authority’s mandate

Education levels

Gender distributionAge distribution

Macro Policies (monetary and Fiscal )Employment levels and Per capita income / median household income

Provisions with an effect on competition and consumer protection

Effect on Investments Government priority areas

Consumer spending

Effect on Trade and Investments

Effect on Trade and Investments Regulatory framework Increase in demandMarket expansionIncrease in Small and Medium Enterprises

Compliance to Competi-tion LawReporting of violation of the Competition Act

Awareness of Competi-tion LawCompliance

Awareness levelEffect on InvestmentsEffect on business envi-ronment

Active participation in negoti-ationsAdvocacy with Key Govern-ment stakeholders

Prioritization of Research and Advisory

Consumer Awareness Advocacy

Regulatory Impact Assessment and AdvisoryAdvocacy

Review and adopt International best practices on green recovery and digitalization

Increase promotion of consum-er awareness;Awareness on fair competitive practices Enhance regulatory capacityMarkets screeningSensitization on the Authori-ty’s mandateReprioritization of the Authori-ty’s activities Enhance publicizing of impacts of policies/interven-tions with high and impact to enhance awareness and visibil-ityStrategic collaborationsStakeholder educationSimplify processes and guide-lines of enforcementAlign activities to constitution-al and other legal require-ments;Adopt other means of commu-nications/awareness raising targeting relevant age groups

9 13 of 60

Strategic Plan 2021/2022-2024/2025

•

•

•

•

••

•

•

•

•

•••

•

•

•••

•

•

•

••••

•

•

•

•

•••

14 of 60

CategoryTechnologi-cal

Environmen-tal

Legal

Details Implication on Strategy Strategic ResponseLifecycle of technology

Intellectual propertySkills and innovation Data analytics

Social Media

Regulatory framework

Global/National pandemics

Environmental sustainability Work place environmentRECs competition enforcement mandate Regulatory Agency mandate

Governance

Changes in the regulatory framework(s) in the SPs areas of focusConstitutional and statutory amendment(s)

Climate change

Information security & Management

Decision-making time-linesService delivery

Leakage and loss of dataSystems failureData management Data privacy

MakingEnforcement and Moni-toring

Quality of service deliv-eryStakeholder awarenessJurisdictionData and information management

working environment and available resources

Overlapping mandates

Overlapping jurisdiction

Changes in institutional dispensation

-ingSocial economic devel-opment

Respond and align to new technology

Appropriate Information Secu-rity Management (ISM) policies and regulatory frame-workKnowledge management systems Adaptive competition assess-ment tools ResearchGlobal collaborations Enhance regulatory frame-work

Collaboration and cooperation with key stakeholdersProvision of Advisories

Business continuity management

Strategic collaborations

Strategic collaborations

Strategic collaborations

Realign strategic plan

Development of appropriate policies and regulatory frame-work

Stakeholder engagement

Strategic Plan 2021/2022-2024/2025

••••

•

•

•

•••

•

•

•

•

•

•••

•

•

2.6.2 Impact of COVID-19 on Competition RegulationIn response to the COVID-19 pandemic, the Authority took the following measures with regard to implementation of the Act and continued execution of its mandate;

2.6.3 Stakeholder AnalysisStakeholder Analysis enables the Authority to examine and manage the expectations of its stakeholders to effectively execute its mandate. The Authority’s stakeholders play a critical role in facilitating the effective implementation of its activities. The table in the next page defines the role and type of interaction required with each stakeholder;

Prioritized enforcement and advocacy efforts primarily on sectors of the economy that may have suffered the greatest impact from the crisis (e.g. healthcare, aviation, tourism, MSMEs, manufacturing, domestic and external trade);

Monitored closely significant and rapid price increases and take immediate actions including enforcement actions against excessive price increases and use of interim measures or warning notices to stop the conduct quickly, when appropriate;

Monitored merger applications and in particular, rescue mergers. Firms in financial distress may seek to improve their condition by merging with healthier competitors. These transactions will be carefully scrutinized to ensure that the merger constitutes a “rescue merger”, to avoid risks of approving anticompetitive mergers with a long-lasting negative structural impact in the marketplace;

Provided guidance on lawful co-operation between competitors (“crisis cartels”). It is important to consider efficiencies in arrangements between competitors, more specifically for the development of key health products (e.g. vaccines or essential drugs) and adopt procedural flexibility to deal with containment measures limiting movement of people as well as the need to adjust to crisis-related priorities; and

The Authority has adopted flexible ways of operating through automation in order to increase efficiency and reduce business disruption through technology.

Category Details Implication on Strategy Strategic ResponseGlobal regulatory trends

Reciprocity in enforce-ment Conflicting laws

Global collaborations

9 15 of 60

Table 3: PESTEL Analysis

Strategic Plan 2021/2022-2024/2025

•

•

i.

ii.

iii.

iv.

v.

16 of 60

StakeholderNational Treasury and Planning

Parliament

Consumers

Competition Tribunal

Business Community/ Associations

Stakeholder Expectations CAK ExpectationsPrudent utilization of allocated resourcesCompliance with relevant Govern-ment policies and circularsInforming Policy issuesImplementation/Achievement of PC targetsStatutory complianceTimely advisory opinions on compe-tition and consumer protection

Implementation of Government policies

Enforcement of the Competition ActProvision of annual reports and audited financial StatementsAccurate and timely submission of information to the relevant house

To collaborate and cooperate in Com-petition Law enforcement

the tribunalTo participate in the development of rules and regulationsEnforcement of the Act Educate them on their rights and obligations Timely resolution of consumer complaints

Sensitization on the ActAdherence to the laws and regulationsSpeedy and timely decision making as per the Act

Timely approval of budgets and procurement plansTimely and Adequate disbursements of fundsPolicy guidance and support.Information sharing on policy issuesProvision of an enabling regu-latory environment

Timely enactment/ amend-ment of legislationsConsultation on laws and regulations regarding Compe-tition and Consumer Protec-tion

the Director GeneralApproving budgets

Impartial, transparent and timely decisionsMaking decisions informed by the tenets of competition and consumer protection

Filing of complaintsCooperate in investigationsComply with consumer obliga-tionsProvide feedback on consumer protection issues Cooperate during investiga-tionsComply with the Authority’s ordersEnhanced understanding of the Competition ActParticipate in consultations with the Authority

Strategic Plan 2021/2022-2024/2025

•

•

••

••

•

••

•

•

•

•

••

•

••

•

•

•

••

•

•

•

•

•

•

•

•••

•

•

•

•

•

9 17 of 60

StakeholderConsumer Bodies

Sector Regulators

Legal Fraternity

Office of Auditor General

Office of the Data Commissioner

Judiciary

Office of the

Stakeholder Expectations CAK ExpectationsInformation sharingRecognition as enforcement partnersCapacity building on Competition Law

Collaboration and cooperation in Competition Law enforcement and

Predictable and transparent legal proceduresInformation sharing Capacity building on the ActConsistent review of our laws and policies in line with International Best Practice (IBP)sTimely decision makingSubmission of the Financial statement as per the Public Finance Management (PFM) ActTimely, prompt facilitation of the statutory audit Compliance with the Data Protection Act

Accurate and timely submission of information pertaining to competition and consumer protectionWell researched proposals and drafts on legal amendments on competition

Encourage Alternative Dispute Reso-lution (ADR) on competition and consumer protection Sensitization on Competition Law and consumer protection

before the courtsCompliance with court decisions

Information sharingEscalating consumer complaints to the AuthorityComply with rules and standards for consumer bodiesCarry out consumer education and sensitizationCooperate with the Authority during investigationsCollaboration and cooperation in enforcement of the Act

Timely sharing of informationAdherence to provisions of the Act

Carry out timely audits and issue a Report

Granting approvals pursuant to the Data Protection ActCooperation on delivery of the Authority’s policy agenda for competition in the digital econ-omy and research/market studies informationEnhanced understanding of the ActTimely resolution of cases

regarding the ActTimely legal representationTimely advisories on the ActTimely approval of legal and

Strategic Plan 2021/2022-2024/2025

• ••

•

•

•

••

•

•

•

•

•

•

•••

•

••

•

•

•••

••

•

•

•

•

•

••

•

18 of 60

Stakeholder

Office of the Director of Public Prosecutions

National Police Service

Regional and International Competition and Consumer Protection Agencies

County Governments

Regional and International Networks

Media

Stakeholder Expectations CAK Expectations

Minimize risks and exposures related to Competition Law litigations

Collaboration in investigations of criminal contraventions under the Competition Act.

Collaboration in prosecution of crimi-nal contraventions under the Compe-tition Act.Give timely advise on whether to pursue Alternative Dispute Resolu-tion (ADR)Safeguard and promote competition in counties.Deter unfair and misleading business practices.Timely advisory opinions on competi-

Capacity building on competition and consumer welfare.

Collaboration and cooperation in policy, rules and guidelines develop-ment and implementationUndertaking joint research and inves-tigations

Information sharing on best practicesCooperation in capacity building on Competition Law enforcement

Accurate and timely informationCapacity building on Competition Law and consumer protection.Accurate and timely interpretation of the Competition Act.

Support on legislations, treaties and agreements on competition and consumer protectionCollaboration in criminal contraventions under the Com-petition Act.Collaboration in investigations of criminal contraventions under the Competition Act.Capacity building in investiga-tions.Timely approval of requests for waivers.Collaboration in capacity building on competition and

Collaboration on competition and consumer protection

Request advisory opinions on county legislations and policies to ensure compliance with the Act.Provision of an enabling regu-latory environment.

Collaboration and cooperation in policy, rules and guidelines development and implementa-tionUndertaking joint research and investigationsInformation sharing on best practicesCooperation in capacity build-ing on Competition Law enforcementAccurate reporting on compe-tition and consumer protection

Support the Authority in awareness creation

Strategic P

• •

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

••

••

•

9 19 of 60

StakeholderDevelopment Partners

Learning and Research Institutions

Suppliers / Service Providers

Staff

Table 4: Stakeholder Analysis

Stakeholder Expectations CAK ExpectationsAchievement of project objectivesDevelop policies that are supportive of competition and investment envi-ronmentAccurate and up to-date informationCollaboration on competition and consumer protection issues. Inform curriculum development.Prompt payment for goods, works and services as per the contract termsFair and transparent procurement processCompetitive terms and conditions of employmentConducive work environmentTimely decision making and commu-nicationStable and progressive organization Timely reporting Implementation of the Act and other Government policiesPrudence and accountability in utilization of resources Implementation of PlansGuidance and policy directionsProvide opportunities for profession-al development

Technical assistance and finan-cial supportTimely information sharing

Engaging in competition and consumer protection related education, training and researchPrompt delivery of goods, works and services as per the contract terms/terms of refer-enceHigh performance and produc-tivity Timely reporting Implementation of the Act and other Government policiesTimely decision makingPrudent and accountability in utilization of resources Implementation of PlansSupport and resources in the implementation of those Plans

2.7 INTERNAL ENVIRONMENT2.7.1 SWOT AnalysisThe Authority’s internal Strengths and Weaknesses and external Opportunities and Threats have been appraised as a predicate to developing the planning goals and developmental priorities and are presented in the table in the next page;

Strategic Plan 2021/2022-2024/2025

••

•

•

•

•

••

•

•

•

•••

•

•

•

•

•

•

•

••

••

••

20 of 60

Internal External

Table 5: SWOT Analysis

Comprehensive Competition Law in place that encompasses the tenets of a modern Competition LawSkilful and youthful workforce to execute Authority’s mandateCredibility of the Authority’s decisions on competition, consumer protection

Automated Authority’s processes which has ensured efficiency and business continuity Building staff capacity on emerging issuesStatutory IndependenceStrong work ethics and positive organi-zational cultureLow staff turnoverQuality Management System ISO 9001: 2015 certificationInstitutionalization of Knowledge Management policy to harness tacit and explicit knowledgeIntegration of the Authority’s automated systemsAdoption of Institutional Risk Manage-ment system and robust Business Conti-nuity Management (BCM)

Inadequate regulatory framework to handle emerging competition issuesInadequate specialized skills to handle emerging competition issuesOver reliance on the exchequer

Good working relationship with stakeholdersIncreased collaborative interest from development partnersContinuous advancements in technology to improve operational efficiency and effectivenessLeverage on synergies with other agen-cies with concurrent jurisdictionPartnerships with other Government bodies and private sectors

Competition Law and policy through enhanced partnership with international organizationsCollaborate with RECsCollaboration with county GovernmentsAvailable capacity-building opportunities for staff on emerging issuesStatutory changes to the Competition Act

systemsLow awareness of the Authority’s mandateDelays in appointment of Board membersDelays in appointment of Competition Tribunal membersTechnological advancementsPotential change in Government policyExpanding informal sectorChallenges in enforcement of standards and quality verification which may dampen execution of the Authority mandateStatutory changes to the Competition Act

Stre

ngth

sW

eakn

esse

s

Opp

ortu

nitie

sTh

reat

s

•

•

•

•

•

••

••

•

•

•

•

•

•

•

•

•

•

•

•

•••

•

•

•••

••••

•

Strategic Plan 2021/2022-2024/2025

Strategy implementation

Financial

Business Continuity Risk (Includes cyber risk)

9 21 of 60

2.7.2 Risk AnalysisThe Authority has developed an internal risk management policy in order to manage the risks that can affect the implementation of the Strategic Plan. Emanating from this policy, four risk categories have been identified with specific contributing factors and mitigating actions as indicated in the table below;

Key Risks Contributing Factors Mitigating Actions Expected OutcomeInadequate resources Inadequate policies and systems to implement the strategyInadequate monitoring and evaluation process-esInadequacies in the change management processUndefined accountabili-ty for the objectives pursuedPandemics/crisis

Over-reliance on the exchequerChange in funding priorities at the exche-quer levelDevelopment partners delaying/pulling out from potential funding

System challenges with the Disaster Recovery Site adoptionIncreasing cyber threatsInadequate succession planningInadequate emergency response proceduresPandemics

Sustained impact through strategic initiatives

Compliance with statutory and regu-latory requirements

Optimized finan-cial management

Enhanced opera-tional sustainability of people, systems and assets of the Authority

Adequate staff with relevant experienceStrategic Plan implementa-tion overseen by the board Defined policies and proce-dures for all processesContinuous engagement /involvement of staff to ensure end-user acceptance and ownershipStrategic objectives have been split among the various directorates and units Prioritization of the work plan activities Remote working encour-aged as a result of the pandemic

Enhanced internal and external funding Charging of merger filling fees, fines and penalties Engagement with the National Treasury and Planning for sustained fundingSustained relationships with development partnersPrioritization of the work plan activities Defined Succession Man-agement Policy in place Organization structure reviewed frequently for adequacy based on results of analysis conducted. Implementation of the Business Continuity Plan and Information security

1. 1.

2.

3.

4.

5.

6.

7.

2.

3.

4.

5.

6.

1.

2.

3.

1.

2.3.

4.

5.

1.

2.

3.

4.

5.

1.

2.

3.

Strategic Plan 2021/2022-2024/2025

22 of 60

Table 6: Risk Analysis

Key Risks

Reputational risk (Includes cyber risk, bribery, corruption and inefficient corporate image management process)

Contributing Factors Mitigating Actions Expected Outcome

Ineffective corporate governance structuresInadvertent non-com-pliance to defined laws and regulationsNon-adherence to the defined communication policyNon-adherence to policy on corruption and bribery (whistle blower policy) and code of conduct policy.Inaccurate determina-tion of cases under consumer protection, mergers and acquisi-tion, enforcement & compliance and buyer powerFailure to meet stake-holders' expectationsAdverse media publici-tyPoor financial manage-mentNegative evaluations or audit outcomes

Enhanced corpo-rate image

Efficient and reliable systems

Enhanced data security

management systemRegular systems auditMonitoring and reporting of the Disaster Recovery Site Knowledge Management Policy in place to strengthen retention of talent and skills

Effective governance prac-tices characterized by well-defined operational and reporting structures Dedicated legal depart-ment and officers that guides in the compliance process to laws and regula-tionsA defined Communication Policy established.Dedicated teams of experi-enced staff in the technical departments Mapping out of key stake-holders in the organiza-tions strategic plan docu-mentClose monitoring of media mentions by the Communi-cation and External Rela-tions DepartmentReview of processes within the Authority through risk-based QMS audits, internal audits and external audit by the Office of the Auditor GeneralA whistle blower policy is in place Quarterly meetings and reports on corruption

1.

2.

3.

4.

5.

6.

7.

8.

9.

4.5.

6.

1.

2.

3.

4.

5.

6.

7.

8.

9.

Strategic Plan 2021/2022-2024/2025

9

CHAPTER THREE: STRATEGIC DIRECTION

3.1 OVERVIEWThis Chapter presents the Authority’s strategic direction informed by the situational analysis. It further details the Authority’s core ideology (mission, vision and core values); Quality Policy and Quality Objectives; describes the Strategic Priorities in detail and spells out the key areas of focus and high-level initiatives that will drive the achievement of the Strategic Priorities.

24 of 60

A Kenyan economy with globally efficient markets and

enhanced consumer welfare for shared prosperity.

Creating efficient marketsfor Consumers

Strategic Plan 2021/2022-2024/2025

Customer focus Integrity Professionalism

highest standards in service delivery to all

stakeholders in line with ISO 9001:2015;

we commit to act in an honest, transparent and

responsible manner while implementing our

programmes;

we are guided by professional ethics aimed at building an appropriate

corporate culture and creating the right corporate image;

Provision of quality and effective regulation of both market conduct and structure;Protection of consumers from false and misleading representation;

Enhancement of customer satisfaction that exceeds expectations by providing quality services;Operations that comply with all applicable laws and regulations;Proactive engagement of stakeholders and prompt feedback on its services; and

the realization of its mandate.

3.1.5 Quality Policy

promoting and protecting effective competition in markets and preventing unfair and misleading market conduct.

Towards this, the Authority commits to comply with all applicable statutory and other applicable requirements and continual improvement of its Quality Management System based on ISO 9001:2015 Standard.

The 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.

3.1.6 Quality ObjectivesThe Authority shall be guided by the following quality objectives;

9 25 of 60

Strategic Plan 2021/2022-2024/2025

i.ii.iii.iv.

v.vi.vii.

Impartiality Teamwork Innovation and Creativity

we uphold the highest levels of equity by treating

all stakeholders without any discrimination

whatsoever;

we adopt a participatory approach and work

together at all levels in the conduct of business;

we are a learning organization that

embraces change and continuously enhances

creativity and innovation in our business processes.

3.2 Strategy Overview and Focus AreasThis 3rd Strategic Plan is guided by the overarching theme - Expanding Enforcement Frontiers for Increased Consumer Welfare and Sustainable Economy. The Authority will focus on new geographical areas, demographics, new and emerging sectors and partnerships. Furthermore, enforcement intervention will be prioritized in sectors that are more prone to anti-competitive practices and, therefore, likely to occasion consumer harm.

The Plan will focus on emerging issues in key sectors of the economy including abuse of buyer power, bid rigging, abuse of dominance, and the digital economy. Further, the Authority will explore new partnerships in areas of researchin order to inform new areas of enforcement for increased competition and improved consumer welfare. The Authority will also collaborate with regional and international bodies/agencies in order to support the development of regulations in the emerging enforcement areas. To effectively evaluate the outcome of our enforcement activities, the Authority will conduct impact assessment onits decisions which benefit a significant number of Kenyan consumers. In addition, the Authority will contribute to the implementation of the Economic Recovery Strategy, 2020 through various interventions in sectors of the economy that have been adversely affected by the COVID-19 pandemic. In light of the above, the Authority’s strategy is articulated through the following strategic objectives:i. Delivering Effective Enforcement - The Authority seeks to effectively implement the Act to regulate the market structure through mergers and acquisitions, regulate market conduct by deterring restrictive trade practices and abuse Buyer Power and enhancing consumer welfare to enable growth of an inclusive economy with competitive markets.

ii. Research and Advocacy - The Authority strives to adopt best practices by continuously conducting research on competition regulation, collaborating and co-operating with relevant stakeholders and driving an advocacy agenda that is responsive to evolving market conditions.

3.3 Strategy Matrix: Strategic Goals, Strategic Objectives, Strategies and ActivitiesThe matrix in the next page provides a snapshot of the strategic objectives, strategies and activities emanating from the three Strategic goals;

26 of 60

Strategic Plan 2021/2022-2024/2025

iii. Visibility and Organizational Sustainability - The Authority aims to deliver on its mandate through a cohesive, well-structured organization where people, processes and systems perform optimally. Sustainability will be enhanced through proper planning of resources, implementing the risk management framework and Business continuity policy, identifying alternative sources of funding and implementing cost control mea-sures to derive maximum benefit from available resources. Attracting, developing and retaining talent is essential to ensure a high performing organization. Further, the impact of the Authority’s decisions on the citizenry and performance management are key. Leveraging on ICT is imperative to optimizing business processes and improved service delivery.

9 27 of 60

THEM

E: E

XPA

ND

ING

EN

FOR

CEM

ENT

FRO

NTI

ERS

FOR

INC

REA

SED

CO

NSU

MER

WEL

FAR

E A

ND

SU

STA

INA

BLE

ECO

NO

MY

STR

ATE

GIC

GO

AL

1: D

ELIV

ERIN

G E

FFEC

TIV

E EN

FOR

CEM

ENT

Stra

tegy

1.1.

Reg

ulat

ion

of

mer

gers

and

si

mpl

ifica

tion

of

mer

ger n

otifi

catio

n

1.2.

Mer

ger a

naly

sis

thro

ugh

tech

nolo

gy

aide

d re

view

Act

ivity

Indi

cato

r

1.0.

O

bjec

tive:

To

Enha

nce

the

Mer

ger A

naly

sis

Proc

ess

in O

rder

to M

inim

ize

Fina

ncia

l Bur

den

on B

usin

esse

s

1.1.

1.

Ana

lysi

s of

all

mer

gers

not

ified

to th

e A

utho

rity

Ana

lysi

s of

mer

gers

iden

tified

to

have

bee

n im

plem

ente

d w

ithou

t the

app

rova

l of t

he A

utho

rity

Age

ncie

s fo

r not

ifica

tions

with

loca

l nex

us

1.1.

4.

Prov

idin

g ad

viso

ry o

pini

ons

1.1.

5.

Iden

tify

and

proc

ess

sect

ors

that

may

qua

lify

for e

xem

ptio

n

fr

om n

otifi

catio

n 1.

1.6.

O

verh

aul t

he M

erge

r Not

ifica

tion

form

due

to te

chno

logi

cal

ch

ange

s an

d em

ergi

ng m

arke

t tre

nds

Enha

nce

rese

arch

, us

e of

bus

ines

s in

telli

genc

e an

d d

ata

anal

ysis

tool

s in

the

econ

omic

ana

lysi

s of

mer

gers

1.1.

7.

Dev

elop

gui

delin

es o

n m

erge

r not

ifica

tion

1.1.

8.

Sens

itize

sta

keho

lder

s on

mer

ger n

otifi

catio

n

1.1.

1.1.

% o

f Com

plet

ion

1.1.

2.1.

% o

f Com

plet

ion

1.1.

3.1.

% o

f Com

plet

ion

%

of

advi

sory

op

inio

ns

requ

ests

co

mpl

eted

No.

of

Se

ctor

(s

) pr

oces

sed

for

exem

ptio

n1.

1.6.

1. R

evis

ed M

erge

r Not

ifica

tion

form

No.

of

m

erge

rs

anal

yzed

us

ing

rese

arch

, bu

sine

ss i

ntel

ligen

ce a

nd

data

ana

lysi

s to

ols

1.1.

7.1.

Pub

lishe

d gu

idel

ines

Expe

cted

Out

com

es

i. C

ompe

titi

ve m

arke

ts th

at p

rom

ote

inve

stm

ent a

nd g

row

th o

f SM

Es

ii.

Red

uced

cos

t of fi

ling

by b

usin

esse

s an

d im

prov

ed c

ompl

eten

ess

in fi

ling

iii

. R

educ

ed ti

mel

ines

in m

erge

r ana

lysi

s an

d so

und

deci

sion

mak

ing

Strategic Plan 2021/2022-2024/2025

1.1.

2.

1.1.

3.

1.2.

1.

1.1.

4.1.

1.1.

5.1.

1.2.

1.1.

Join

t as

sesm

ent

of m

erge

rs w

ith R

egio

nal

Com

petit

ion

28 of 60

2.1.

Eva

luat

e,

inve

stig

ate

and

conc

lude

co

mpl

aint

s/ca

ses

on

Abu

se o

f Buy

er

Pow

er in

trad

ition

al

mar

kets

and

dig

ital

plat

form

s2.

2. In

crea

se p

ublic

aw

aren

ess

of th

e ob

ligat

ions

, rig

hts

and

rem

edie

s on

ab

use

of b

uyer

pow

er

for e

ffec

tive

enfo

rcem

ent

2.3.

Enh

ance

mar

ket

surv

eilla

nce

2.4.

Fac

ilita

te

self

-reg

ulat

ion

by

mar

ket p

laye

rs to

en

hanc

e co

mpl

ianc

e w

ith th

e A

ct

2.1.

1.

Und

erta

ke in

vest

igat

ion

into

cas

es o

f Abu

se o

f Buy

er P

ower

2.3.

2.

Mon

itor i

mpl

emen

tatio

n of

pub

lishe

d C

odes

of P

ract

ice

2.3.

4.

Aud

it co

mpl

ianc

e w

ith P

rom

pt P

aym

ent R

egul

atio

ns

2.2.

1.

Und

erta

ke s

ensi

tizat

ion

initi

ativ

es o

n ab

use

of b

uyer

pow

er

in

diff

eren

t sec

tors

Mon

itor

sect

ors

and

unde

rtak

ings

and

impo

se pr

uden

tial

and

repo

rtin

g re

quir

emen

ts

for

sect

ors/

unde

rtak

ings

ex

peri

enci

ng o

r lik

ely

to e

xper

ienc

e in

cide

nces

of a

buse

of

buye

r pow

er

Ass

ess

the

adop

tion

of d

evel

oped

Tem

plat

e C

ontr

acts

by

sect

ors

Publ

ish

code

s of

pra

ctic

e fr

om s

ecto

rs a

nd i

ndus

trie

s ex

peri

enci

ng a

ctua

l or

likel

y in

cide

nces

of

abus

e of

buy

er

pow

erD

evel

op a

nd d

isse

min

ate

tem

plat

e co

ntra

cts

for

use

by

sect

or p

laye

rs

2.1.

1.1.

N

o. o

f cas

es in

vest

igat

ed

2.3.

2.1.

No.

of m

onito

ring

repo

rts

2.3.

3.1.

No.

of s

ecto

r ass

essm

ent r

epor

ts

2.3.

4.1.

No.

of C

ompl

ianc

e A

udit

repo

rts

2.4.

1.1.

No.

of c

odes

of p

ract

ice

publ

ishe

d

2.2.

1.1.

No.

of s

ecto

rs s

ensi

tized

No.

of

co

mpl

ianc

e in

itiat

ives

de

velo

ped

by s

ensi

tized

Bus

ines

s A

ssoc

iatio

ns

No.

of

se

ctor

s an

d un

dert

akin

gs

mon

itore

d

2.4.

2.1.

No.

of s

ecto

rs th

at h

ave

adop

ted

the

cont

ract

s di

ssem

inat

ed

Expe

cted

Out

com

es

i.

Red

ucti

on in

sec

tors

wit

h pr

open

sity

for A

buse

of B

uyer

Pow

er

ii.

Red

uced

am

ount

of d

elay

ed p

aym

ents

ow

ed b

y bu

yers

to s

uppl

iers

bey

ond

agre

ed ti

mel

ines

2.0.

O

bjec

tive:

To

Enha

nce

Det

erre

nce

on U

nfai

r Mar

ket C

ondu

ct to

Saf

egua

rd A

cces

s to

Mar

kets

and

Con

sum

ers

Strategic Plan 2021/2022-2024/2025

2.3.

1.

2.3.

3.

2.4.

1.

2.4.

2.

2.2.

1.2.

2.3.

1.1.

9 29 of 60

3.0.

O

bjec

tive:

To

Enha

nce

Prot

ectio

n of

Con

sum

ers

from

Unf

air a

nd M

isle

adin

g Bu

sine

ss P

ract

ices

2.5.

1.

Und

erta

ke re

view

of B

uyer

Pow

er G

uide

lines

Dev

elop

Pro

mpt

Pay

men

t Re

gula

tions

for

sec

tors

with

in

cide

nces

of a

buse

of b

uyer

pow

er

3.1.

1.

Inve

stig

ate

cons

umer

issu

es a

nd p

rovi

de re

med

ies;

Prov

ide

advi

sori

es t

o st

akeh

olde

rs o

n co

nsum

er r

elat

ed

Col

labo

rate

w

ith

loca

l an

d in

tern

atio

nal

agen

cies

on

Prov

ide

the

publ

ic w

ith k

now

ledg

e an

d to

ols

to p

reve

nt

cons

umer

har

m fr

om p

rodu

cts

and

serv

ices

. Pr

ovid

e bu

sine

sses

with

kno

wle

dge

and

tool

s to

com

ply

with

the

prov

isio

ns o

f the

Act

Mon

itor

the

mar

ketp

lace

and

tec

hnol

ogic

al d

evel

opm

ents

to

iden

tify

and

inve

stig

ate

emer

ging

con

sum

er is

sues

with

fo

cus

on

the

utili

ty

sect

or;

phar

mac

eutic

als;

bi

g da

ta;

tech

nolo

gica

l ad

vanc

emen

ts;

digi

tal

finan

cial

se

rvic

es;

e-co

mm

erce

; in

sura

nce;

avi

atio

n; a

nd c

hild

ren

prod

ucts

.

Expe

cted

Out

com

es

i.

Incr

ease

d co

nsum

er s

avin

gs

ii.

In

crea

sed

sati

sfac

tion

for t

he c

ompl

aina

nts

iii

. In

crea

sed

com

plia

nce

to th

e Act

by

busi

ness

es

iv.

Incr

ease

d aw

aren

ess

by th

e pu

blic

on

the A

utho

rity

’s c

onsu

mer

pro

tect

ion

man

date

2.5.

Enh

ance

tr

ansp

aren

cy,

acco

unta

bilit

y an

d pr

edic

tabi

lity

of

proc

esse

s an

d pr

oced

ures

of t

he

Aut

hori

ty

3.1.

Incr

ease

det

ectio

n an

d ta

ke m

easu

res

to

addr

ess

mis

lead

ing

and

unfa

ir p

ract

ices

th

at h

arm

con

sum

ers

3.2.

Pro

ffer

co

nsum

ers

and

busi

ness

es w

ith

know

ledg

e an

d gu

idan

ce to

pre

vent

co

nsum

er h

arm

2.5.

1.1.

Rev

iew

ed B

uyer

Pow

er G

uide

lines

3.1.

2.1.

No.

of c

ases

fina

lized

3.1.

2.2.

No.

of s

ecto

rs m

onito

red

3.1.

3.1.

No.

of a

dvis

orie

s pr

ovid

ed.

3.2.

1.1.

No.

of p

ublic

aw

aren

ess

activ

ities

3.2.

2.1.

Bus

ines

s fo

rum

aw

aren

ess

repo

rts

Publ

ishe

d Pr

ompt

Pay

men

t Re

gula

-tio

ns

No.

of

case

s w

here

oth

er a

genc

ies

shar

ed e

vide

nce

or in

form

atio

n th

at

cont

ribu

ted

to A

utho

rity

’s e

nfor

ce-

men

t act

ions

Strategic Plan 2021/2022-2024/2025

2.5.

2.

3.1.

2.

3.1.

3.

3.1.

4.

3.2.

1.

3.2.

2.

2.5.

2.1.

3.1.

4.1.

30 of 60

4.1.

To

prio

ritiz

e in

vest

igat

ion

of

susp

ecte

d ca

rtel

s an

d ab

use

of d

omin

ance

co

nduc

t in

the

trad

ition

al a

nd

digi

tal m

arke

ts.

3.3.

Pro

mot

e cr

eatio

n an

d st

reng

then

co

nsum

er b

odie

s

To id

entif

y, u

nder

take

scr

eeni

ngs

and

inv

sect

ors

to e

stab

lish

susp

ecte

d ca

rtel

s or

abu

se o

f dom

inan

ce

cond

ucts

suc

h as

exc

essi

ve p

rici

ng,

pric

e di

scri

min

atio

n,

pred

ator

y pr

icin

g an

d m

argi

n sq

ueez

e in

the

dig

ital

and

trad

ition

al m

arke

tsTo

in

vest

igat

e an

d co

nclu

de

com

plai

nts

on

susp

ecte

d ca

rtel

s or

abu

se o

f do

min

ance

con

duct

s su

ch a

s ex

cess

ive

pric

ing,

pri

ce d

iscr

imin

atio

n, p

reda

tory

pri

cing

and

mar

gin

sq

ueez

e in

the

digi

tal a

nd tr

aditi

onal

mar

kets

.

Enga

ge

coun

ty

Gov

ernm

ents

in

cr

eatin

g an

en

ablin

g en

viro

nmen

t for

the

crea

tion

of c

onsu

mer

bod

ies

Prov

ide

cons

umer

bod

ies

with

kno

wle

dge

and

tool

s to

pr

even

t con

sum

er h

arm

and

cre

ate

awar

enes

s

Eval

uate

exe

mpt

ion

appl

icat

ions

to

ensu

re p

ublic

an

d pr

o-co

mpe

titiv

e ga

ins

4.1.

4.

To e

nhan

ce lo

cal,

regi

onal

and

inte

rnat

iona

l col

labo

ratio

ns

in

the

inve

stig

atio

ns o

f the

car

tels

and

abu

se o

f dom

inan

ce

To

incr

ease

aw

aren

ess

of

the

mar

ket

play

ers

on

the

rest

rict

ive

trad

e pr

actic

es.

4.1.

6.

Enha

nced

use

of t

echn

olog

y in

com

petit

ion

anal

ysis

.

4.1.

1.1.

No.

of c

ases

con

clud

ed4.

1.1.

2. N

o. o

f rem

edia

l mea

sure

s

4.1.

2.1.

No.

of c

ases

con

clud

ed4.

1.2.

2. N

o. o

f rem

edia

l mea

sure

s

4.1.

3.1.

No.

of d

ays

take

n af

ter r

ecei

ving

all

the

requ

ired

info

rmat

ion.

No.

of

aw

aren

ess

initi

ativ

es

cond

ucte

d.N

o. o

f ca

ses

inve

stig

ated

thr

ough

us

e of

tech

nolo

gy

No.

of c

ases

han

dled

thro

ugh

loca

l,

regi

onal

and

inte

rnat

iona

l col

labo

-ra

tions

.

3.3.

1.1.

No.

of c

ount

y G

over

nmen

ts

enga

ged

No.

of

foru

ms

on e

duca

tion

and

equi

ppin

g of

con

sum

er b

odie

sN

o.

of

com

plai

nts

rece

ived

by

co

nsum

ers

bodi

es

Expe

cted

Out

com

es

i.

Con

sum

er a

nd/o

r Gov

ernm

ent s

avin

gs

ii.

Incr

ease

d nu

mbe

r of n

ew e

ntra

nts

in th

e m

arke

t

iii.

Cos

t red

ucti

on to

the A

utho

rity

and

par

ties

4.0.

O

bjec

tive:

To

Enha

nce

Det

erre

nce

on A

ntic

ompe

titiv

e Pr

actic

es fo

r Sus

tain

ed C

onsu

mer

Wel

fare

Strategic Plan 2021/2022-2024/2025

4.1.

1.

3.3.

1.

3.3.

2.

4.1.

2.

4.1.

3.

4.1.

5.

3.3.

2.1.

3.3.

2.1.

4.1.

4.1.

4.1.

5.1.

4.1.

6.1.

9 31 of 60

5.0.

O

bjec

tive:

To

Entr

ench

the

Aut

hori

ty a

s a

Cen

tre

for C

ompe

titio

n an

d C

onsu

mer

Pro

tect

ion

Law

4.2.

1.

Con

duct

scr

eeni

ng a

nd in

vest

igat

e su

spec

ted

bid

rigg

ing

sche

mes

.

4.2.

2.

Enha

nce

the

colla

bora

tion

with

sec

tor r

egul

ator

s (s

uch

as

PP

RA)

4.3.

1.

Con

duct

mar

ket c

ompl

ianc

e ch

ecks

to e

nsur

e ad

here

nce

to

th

e A

utho

rity

’s d

ecis

ions

.

4.4.

1.

Revi

sed

proc

edur

es, g

uide

lines

and

form

s

Dev

elop

men

t an

d di

ssem

inat

ion

of t

he c

ompe

titio

n an

d co

nsum

er p

rote

ctio

n la

w d

iges

ts

Com

pila

tion

and

diss

emin

atio

n of

co

mpe

titio

n an

d co

nsum

er p

rote

ctio

n la

w p

ublic

atio

ns

4.4.

2.

Dev

elop

gui

delin

es o

n St

rate

gic

Mar

ket P

ositi

ons

4.4.

3.

Dev

elop

Gui

delin

e on

Em

ergi

ng C

ompe

titio

n is

sues

.

Expe

cted

Out

com

es

i.

Stra

tegi

c C

olla

bora

tion

s w

ith

Key

Sta

keho

lder

s

ii.

Dig

ests

of C

ompe

titi

on L

aw ju

risp

rude

nce

4.2.

To

prio

ritiz

e an

d in

vest

igat

e co

llusi

ve

tend

erin

g an

d bi

d ri

ggin

g sc

hem

es

4.3.

To

enha

nce

com

plia

nce

on

deci

sion

s of

the

Aut

hori

ty4.

4. T

o en

hanc

e tr

ansp

aren

cy,

acco

unta

bilit

y an

d pr

edic

tabi

lity

of

proc

esse

s an

d pr

oced

ures

of t

he

Aut

hori

ty

5.1.

Est

ablis

h a

repo

sito

ry o

f jur

is-

prud

ence

to g

uide

de

cisi

on m

akin

g in

C

ompe

titio

n La

w

5.2.

Dev

elop

men

t of

lear

ning

and

re

fere

nce

cont

ent f

or

key

stak

ehol

ders

4.2.

1.1.

No.

of c

ases

con

clud

edN

o.

of

case

s ha

ndle

d th

roug

h co

llabo

ratio

ns w

ith P

PRA

. N

o. o

f rem

edia

l mea

sure

s4.

2.2.

1. N

o. o

f cas

es c

oncl

uded

No.

of

ca

ses

hand

led

thro

ugh

colla

bora

tions

with

PPR

A.

No.

of r

emed

ial m

easu

res.

No.

of

com

plia

nce

chec

ks w

ith t

he

obje

ctiv

e of

th

e de

cisi

on

of

the

Aut

hori

ty.

Proc

edur

es a

nd g

uide

lines

dev

el-

oped

and

/or r

evie

wed

.4.

4.2.

1. G

uide

lines

dev

elop

ed.

Gui

delin

es

deve

lope

d an

d /o

r re

view

ed.

No.

of

com

petit

ion

and

cons

umer

pr

otec

tion

law

dig

ests

.

5.2.

1.1.

No.

of p

ublic

atio

ns

Strategic Plan 2021/2022-2024/2025

5.1.

1.

5.2.

1.

4.3.

1.1

4.4.

1.1

5.1.

1.1

4.4.

3.1

4.2.

1.2

4.2.

1.3

4.2.

2.2

4.2.

2.3

32 of 60

6.1.

Con

trib

ute

to th

e im

plem

enta

tion

of

the

Dig

ital E

cono

my

Blue

Pri

nt’s

Dig

ital

Busi

ness

Pill

ar b

y un

dert

akin

g R

esea

rch

in E

mer

ging

m

arke

ts

6.2.

Info

rmat

ion

and

data

man

agem

ent

polic

y to

enh

ance

co

mpe

titio

n re

gula

tion

6.3.

Impa

ct

Ass

essm

ent

7.1.

Pro

-act

ive

enga

gem

ent o

f st

akeh

olde

rs

5.3.

Nur

ture

str

ateg

ic

colla

bora

tions

with

ke

y st

akeh

olde

rs

Und

erta

king

re

sear

ch

and

impl

emen

ting

findi

ngs

in

prio

ritiz

ed e

mer

ging

mar

kets

Scre

enin

g an

d Pr

iori

tizat

ion

of e

mer

ging

mar

kets

Im

plem

enta

tion

of t

he r

ecom

men

datio

ns f

rom

the

Dig

ital

Cre

dit M

arke

t Inq

uiry

Impl

emen

tatio

n of

the

find

ings

fro

m t

he A

irlin

es s

ecto

r st

udy

in c

olla

bora

tion

with

the

Sect

or R

egul

ator

Mon

itor

the

avia

tion

sect

or t

o ch

eck

the

effec

ts o

f th

e im

plem

enta

tion

of th

e N

atio

nal A

viat

ion

Man

agem

ent B

ill,

2020

C

onso

lidat

ing

and

upda

ting

the

data

re

posi

tory

on

tr

aditi

onal

and

em

ergi

ng m

arke

ts

Dev

elop

new

col

labo

ratio

ns a

nd C

oope

ratio

n Fr

amew

orks

to

add

ress

eff

ectiv

e co

mpe

titio

n in

the

digi

tal

spac

e an

d ed

ucat

ion/

rese

arch

inst

itutio

ns7.

1.2.

Re

view

the

exis

ting

Coo

pera

tion

Fram

ewor

ks

6.2.

2.

Enha

nce

know

ledg

e sh

arin

g in

the

Aut

hori

ty

6.3.

1.

Prio

ritiz

atio

n of

sec

tors

for i

mpa

ct a

sses

smen

t6.

3.2.

C

ondu

ct im

pact

ass

essm

ent o

f Aut

hori

ty’s

dec

isio

ns

Esta

blis

h a

netw

ork

of

com

petit

ion

and

cons

umer

pr

otec

tion

law

sc

hola

rs,

rese

arch

ers,

ec

onom

ists

an

d pr

actit

ione

rs

6.1.

2.1.

Mar

ket I

nqui

ry re

port

s6.

1.2.

2. N

o. o

f scr

eeni

ng re

port

s

Impl

emen

tatio

n Pl

an6.

1.5.

1. I

mpl

emen

tatio

n re

port

s6.

1.5.

2. S

ecto

r sur

veill

ance

repo

rt

6.2.

1.1.

Res

earc

h da

taba

se c

reat

ed6.

2.1.

2. N

o. o

f sec

tors

cov

ered

6.2.

2.1.

No.

of p

lena

ries

6.2.

2.2.

No.

of e

-res

ourc

es c

atal

ogue

d

7.1.

2.1.

No.

of N

ew C

oope

ratio

n fr

amew

orks

7.1.

2.2.

Im

plem

enta

tion

repo

rts

6.3.

1.1.

No.

pri

oriti

zed

of s

ecto

rs

6.3.

2.1.

No.

of i

mpa

ct a

sses

smen

t rep

orts

Com

petit

ion

and

Con

sum

er

Prot

ectio

n N

etw

ork

Act

ion

Plan

N

o. o

f Par

ticip

ants

/ in

stitu

tions

Expe

cted

Out

com

e

i. Im

pact

ful k

now

ledg

e cr

eati

on a

nd m

anag

emen

t

Expe

cted

Out

com

e

i. D

eepe

ned

com

peti

tion

cul

ture

STR

ATE

GIC

GO

AL

2: R

ESEA

RC

H A

ND

AD

VO

CA

CY

6.0.

O

bjec

tive:

To

Adv

ance

Kno

wle

dge

of S

ecto

ral a

nd E

mer

ging

Mar

kets

7.0.

O

bjec

tive:

To

Enha

nce

Effec

tive

Adv

ocac

y on

Com

petit

ion

Law

Strategic Plan 2021/2022-2024/20255.

3.1.

6.1.

1.

6.1.

2.6.

1.3.

6.1.

4.

6.1.

5.

7.1.

1.

6.2.

1.

5.3.

1.1.

5.3.

1.2.

9 33 of 60

8.0.

O

bjec

tive:

To

Enha

nce

Opt

imal

Res

ourc

e U

se

Stak

ehol

der

capa

city

bui

ldin

g on

Com

petit

ion

Law

and

po

licy

Supp

ort

regi

onal

ag

enci

es

in

impl

emen

ting

thei

r C

ompe

titio

n La

ws

Hol

d an

d pa

rtic

ipat

e in

com

petit

ion

/con

sum

er p

rote

ctio

n co

nfer

ence

(s)

unde

r th

e co

mpe

titio

n/co

nsum

er p

rote

ctio

n ne

twor

k (s

)

Prep

arat

ion

of

rese

arch

ba

sed

Adv

isor

y op

inio

ns

to

Gov

ernm

ent a

genc

ies

Prep

arat

ion

of p

ositi

on p

aper

s to

int

erna

tiona

l fo

rum

s on

em

ergi

ng is

sues

8.1.

1.

Mon

itori

ng a

nd e

valu

atio

n of

the

Aut

hori

ty’s

per

form

ance

Impl

emen

t IS

O

2230

1:20

19

Busi

ness

C

ontin

uity

M

anag

emen

t Sta

ndar

d

to

ISO

90

01:2

015

Qua

lity

Man

agem

ent

Stan

dard

, im

plem

enta

tion

and

mon

itori

ng

of

the

requ

irem

ents

of t

he s

tand

ard

i.

O

bjec

tive

: To

Enha

nce

Opt

imal

Res

ourc

e U

se

Expe

cted

Out

com

es

i. R

educ

ed e

xpos

ure

to ri

sks

and

adeq

uate

mit

igat

ion

mea

sure

s

ii.

Red

uced

cos

ts w

hile

ens

urin

g op

tim

al s

usta

inab

ility

iii

. hi

le s

afeg

uard

ing

the A

utho

rity

’s re

puta

tion

9.0.

O

bjec

tive:

To

Enha

nce

Inst

itutio

nal R

isk

Man

agem

ent P

ract

ices

, Bus

ines

s C

ontin

uity

and

Impl

emen

tatio

n of

Sta

ndar

ds

STR

ATE

GIC

GO

AL

3: V

ISIB

ILIT

Y A

ND

OR

GA

NIZ

ATI

ON

AL

SUST

AIN

ABI

LITY

8.1.

Enh

ance

d Pl

an-

ning

, Mon

itori

ng a

nd

Eval

uatio

n of

the

Aut

hori

ty’s

per

for-

man

ce fo

r con

tinua

l im

prov

emen

t

7.2.

Pro

visi

on o

f re

sear

ch b

ased

ad

viso

ry o

pini

ons

on

legi

slat

ions

and

po

licie

s

9.1.

Enh

ance

ser

vice

de

liver

y an

d m

itiga

ting

agai

nst

likel

y di

srup

tions

th

roug

h ad

optio

n of

st

anda

rds

7.1.

4.1.

No.

of c

apac

ity b

uild

ing

initi

ativ

es

7.1.

4.2.

No.

of a

genc

ies

supp

orte

d

7.1.

5.1.

No.

of c

onfe

renc

es

8.1.

1.1.

No.

of r

epor

ts

7.2.

1.1.

No.

of A

dvis

ory

opin

ions

issu

ed

Doc

umen

ted

busi

ness

co

ntin

uity

pl

ans

9.1.

2.2.

No.

of

upda

ted

BIA

pla

ns

Com

preh

ensi

ve

risk

an

d m

itiga

tion

Strategic Plan 2021/2022-2024/2025

7.1.

3.

7.1.

4.

7.1.

5.

7.2.

1.

7.2.

2.

9.1.

1.

9.1.

2.

9.1.

2.1.

9.1.

2.2.

9.1.

2.3.

34 of 60

rete

ntio

n

10.3

. Im

prov

com

pete

ncie

s

10.4

. Enh

ance

the

perf

orm

ance

cul

ture

in

the

Aut

hori

ty

mot

ivat

ion

stra

tegi

es

10.2

. Ens

ure

an

-m

ent c

ompl

ying

with

th

e C

onst

itutio

nal

requ

irem

ents

10.1

.1.

Impl

emen

tatio

n of

the

Car

eer P

rogr

essi

on G

uide

lines

10.1

.2.

Build

ing

lead

ersh

ip c

apac

ity in

the

Aut

hori

ty10

.1.3

. C

orpo

rate

Suc

cess

ion

Man

agem

ent

10.3

.1.

Cap

acity

bui

ldin

g in

the

follo

win

g ar

eas

amon

g ot

hers

;

• Bi

g D

ata

and

Dig

ital e

cono

my;

•

•

Plat

form

mar

ketin

g; a

nd

• Bu

yer P

ower

. 10

.4.1

. Bu

ild L

eade

rshi

p ca

paci

ty o

n pe

rfor

man

ce m

anag

emen

t10

.4.2

. Re

vise

the

perf

orm

ance

man

agem

ent t

oolk

it

10.5

.1.

10.5

.2.

Prom

ote

a co

nduc

ive

wor

k en

viro

nmen

t.

10.2

.1.

Impl

emen

t the

Wor

kloa

d A

naly

sis

Surv

ey re

com

men

datio

ns

vels

No.

of v

No.

of

enr

olle

d in

the

lea

der-

ship

pro

gram

Dev

elop

ed

and

impl

emen

ted

succ

essi

on p

lan.

No.

of

re

com

men

datio

ns

impl

e-m

ente

d

10.3

.1.1

. Revi

sed

Perf

orm

ance

tool

kit

No.

of

m

anag

ers/

supe

rvis

ors

trai

ned

% o

f an

nual

per

form

ance

ach

ieve

-m

ents

% N

o. o

f m

embe

rs e

nrol

led

for t

he C

lub

mem

bers

hip

Empl

oyee

and

wor

k en

viro

nmen

t

No.

of

au

dits

an

d m

anag

emen

t re

view

s

Func

tiona

l Dis

aste

r Rec

over

y Si

te

Expe

cted

Out

com

e

i. Im

prov

10.0

. O

bjec

tivve

ness

Strategic Plan 2021/2022-2024/2025

9.1.

2.4.

9.1.

2.5.

9.1.

2.6.

9.1.

2.7.

10.1

.3.1

.10

.1.3

.2.

10.1

.3.3

.

10.1

.3.4

.

10.2

.1.1

.

10.4

.2.1

.10

.4.2

.2.

10.4

.2.3

.

10.5

.4.1

.

10.5

.4.2

.

9 35 of 60

12.2

.3.

Col

lect

, acc

ount

and

repo

rt p

roje

cted

A-I-

A re

venu

e.A

mou

nt

of

Proj

ecte

d A

-I-A

re

venu

e co

llect

ed

11.0

. O

bjec

tive:

To

Leve

rage

Tec

hnol

ogy

to E

nhan

ce S

ervi

ce D

eliv

ery

10.5

.3.

Enha

nce

empl

oyee

reco

gniti

on fo

r exc

elle

nt p

erfo

rman

ce.

10.5

.4.

Dev

elop

and

impl

emen

t the

rem

ote

wor

king

gui

delin

es

11.1

.1.

Upg

rade

of t

he A

utho

rity

’s D

ata

Cen

tre,

enh

ance

d ba

ckup

stor

age

and

repl

icat

ion

syst

ems

and

cond

uct D

R te

sts

11.1

.2.

Dev

elop

and

impl

emen

t IC

T st

rate

gy 2

021-

2024

12.1

.1.

Out

sour

cing

of n

on-c

ore

serv

ices

12.1

.2.

Iden

tifica

tion

and

disp

osal

of u

nser

vice

able

fixe

d as

sets

12.2

.1.

Enga

ge w

ith d

evel

opm

ent p

artn

ers

to in

crea

se th

e fu

ndin

g

po

ol

12.2

.2.

Enga

ge w

ith th

e N

atio

nal G

over

nmen

t for

incr

ease

d

fund

ing

11.2

.1.

Iden

tify,

acq

uire

and

mai

ntai

n ne

w te

chno

logi

es to

incr

ease

effici

ency

in s

ervi

ce d

eliv

ery

11.2

.2.

Aut

omat

e th

e Ri

sk a

nd In

tern

al A

udit

func

tion

11.2

.3.

Proc

ure

data

min

ing

and

data

ana

lytic

s to

ols

11.3

.1.

Purs

ue c

ertifi

catio

n on

ISO

/IEC

270

01:2

013

stan

dard

s to

ensu

re C

onfid

entia

lity,

Inte

grity

and

Ava

ilabi

lity

Expe

cted

Out

com

es

i. R

obus

t IC

T in

fras

truc

ture

and

hig

h av

aila

bilit

y sy

stem

s

ii.

Syst

ems

secu

rity

iii

. D

ata

driv

en d

ecis

ion

mak

ing

Expe

cted

Out

com

e i.

Del

iver

y of

the A

utho

rity

’s m

anda

te

12.0

. O

bjec

tive:

To

Impr

ove

Effici

ency

and

Eff

ectiv

enes

s in

Fin

anci

al M

anag

emen

t

11.1

. Enh

ance

ICT

infr

astr

uctu

re,

busi

ness

con

tinui

ty

& d

isas

ter r

ecov

ery

plan

11.2

. Lev

erag

e on

Te

chno

logy

to

incr

ease

ser

vice

de

liver

y

11.3

. Enh

ance

info

r-m

atio

n se

curi

ty

syst

ems

12.1

. Ado

pt c

ost

redu

ctio

n in

itiat

ives

.

12.2

.Mob

ilize

ad

equa

te re

sour

ces

to

supp

ort A

utho

rity

’s

activ

ities

Cor

pora

te c

ultu

re s

urve

y Fr

eque

ncy

in p

erfo

rman

ce re

cogn

i-tio

nRe

mot

e w

orki

ng

guid

elin

es

deve

lope

d an

d im

plem

ente

d

% u

ptim

e of

ICT

infr

astr

uctu

reN

o. o

f su

cces

sful

DR

test

s un

der-

take

n%

im

plem

enta

tion

of

the

ICT

stra

tegy

11.2

.3.1

. % u

ptim

e of

ICT

infr

astr

uctu

re

11.2

.3.2

. % le

vel o

f Aut

omat

ion

%

impl

emen

tatio

n of

IS

MS

stan

dard

s

%

Redu

ctio

n in

th

e co

st

of

oper

atin

g ou

tsou

rced

ser

vice

s%

Red

uctio

n in

the

fixe

d as

sets

m

aint

enan

ce c

osts

% i

ncre

ases

in

reso

urce

allo

catio

n fr

om d

evel

opm

ent p

artn

ers

% i

ncre

ases

in

reso

urce

allo

catio

n fr

om E

xche

quer

Strategic Plan 2021/2022-2024/202510

.5.4

.3.

10.5

.4.4

.

10.5

.4.5

.

11.1

.2.1

.11

.1.2

.2.

11.1

.2.3

.

11.3

.1.1

.

12.1

.2.1

.

12.1

.2.2

.

12.1

.3.1

.

12.1

.3.2

.

12.1

.3.2

.

36 of 60

12.3

. Pru

dent

ly u

tiliz

e al

loca

ted

reso

urce

s

13.1

. Enh

ance

pu

blic

ity a

nd

awar

enes

s cr

eatio

n ac

tiviti

es

13.2

. Cor

pora

te S

ocia

l R

espo

nsib

ility

(CSR

) in

itiat

ives

13.3

. Lev

erag

e M

edia

as

a s

trat

egic

par

tner

13.3

. Lev

erag

e M

edia

as

a s

trat

egic

par

tner

Dep

loy

reso

urce

s co

st

vely

th

at

Car

ry o

ut q

uart

erly

to

the

v

of

reso

urce

s t

o th

e ve

ry

13.1

.1.

o

S13

.1.2

.

13.2

.1.

ves

13

.3.1

. 13

.3.2

.

13.4

.1.

vv

Cus

tom

er

Su

rvey

at

th

e

Dev

elop

a

to

crea

te a

sch

ools

%

of

%

rat

e of

the

No.

of A

No.

of A

13.2

.1.1

. Cus

tom

er

P

13.4

.1.1

. No.

of

vel-

No.

of

No.

of

v

No.

of

v

No.

AV

the

ers

Expe

cted

Out

com

e

i. En

hanc

ed s

take

hold

er e

ngag

emen

t

Tabl

e 7:

Str

ateg

y M

atri

x

13.0

. O

bjec

tive:

To

Enha

nce

Stak

ehol

der E

ngag

emen

t for

Impr

oved

Cor

pora

te V

isib

ility

Strategic Plan 2021/2022-2024/202512

.3.1

.

12.3

.2.

12.3

.3.

12.3

.4.

12.3

.5.

13.1

.3.

13.1

.4.

13.4

.2.

12.3

.5.1

.

12.3

.5.2

.

12.3

.5.3

.12

.3.5

.4.

12.3

.5.5

.

13.1

.2.1

.

13.1

.2.2

.

13.1

.2.3

.13

.1.4

.1.

13.1

.4.2

.

13.1

.4.3

.13

.1.4

.4.

13.3

.2.1

.13

.3.2

.2.

13.3

.2.3

.

13.4

.2.1

.

CHAPTER FOUR: IMPLEMENTATION AND CO-ORDINATION FRAMEWORK

4.1 OVERVIEW The implementation of this Strategic Plan is dependent on the measures taken to ensure alignment between the strategy and resources. In the pursuit of effectiveness and efficiency during execution, the most critical step will be to monitor performance by breaking down the goals into smaller manageable blocks, a pragmatic and critical approach to successfully implement the strategy. This will involve the development of annual work plans, which is cascaded from the corporate to departmental level.

4.2 FINANCIAL RESOURCESTo achieve the Authority’s strategic objectives, various key activities have been identified in the Strategic Plan period (2021/22 – 2024/25). The budget estimates for each objective and related activities are detailed in the implementation matrix. The total amount projected for the period is about Ksh. 2,500 million financed mainly through forecasted exchequer revenues from the National Government and limited Appropriation-in-Aid (A-I-A) from internal sources. The table below shows the estimated budget for each strategic objective.

38 of 60

Strategic Goal Strategic Objectives Projected Amount (Millions Ksh.)2021/22 2022/23 2023/24 2024/25 Total

To enhance the merger analysis process in order to minimize financial burden on businesses

11.5 10.5 12 6.5 40.5

To enhance deterrence on unfair market conduct to safeguard access to markets and consumersIncrease detection and take measures to address misleading and unfair practices that harm consumers

10 10 21.6 17.5 59.1

10.5 12.5 9.5 9.5 42.0

To enhance deterrence on anticompetitive practices for sustained consumer welfare

15.0 21.0 30.0 23.3 89.3

To entrench the Authority as a Centre for Competition and Consumer Protection Law

3.5 3.0 0.5 3.5 10.5

To advance knowledge of sectoral and emerging markets

28.0 15.0 15.0 20.0 78.0

To Enhance Effective Advocacy

15.5 10.0 13.0 5.5 44.0

To enhance optimal use of resourcesTo enhance institutional risk management practices, business continuity and implementation of ISO standards (Quality

1.2 1.2 3 1.6 7.0

5.0 7.0 8 10 30.0

Delivering Effective Enforcement

Research and Advocacy

Visibilityand

Strategic Plan 2021/2022-2024/2025

OrganizationalSustainability

9 39 of 60

Table 8: Budget Estimates

Table 9: Revenue Sources

4.2.1 Projected Revenue SourcesImplementation of the Strategic Plan will be funded through sources as indicated in the table below;

The Authority does not expect a increase in the revenue from both the Exchequer and A-I-A over the life of this Plan owing to the of the current COVID-19 pandemic. The impacts of the pandemic are expected to the Government’s ability to meet its revenue target and thus reduce revenue allocations to agencies dependent on the Exchequer. In exactly the same way, the Authority’s projected collection from A-I-A is expected to reduce or remain relatively low due to the of the pandemic on the general business environment.

4.2.2 Human Capital Requirement The Authority will maintain optimal levels through the Strategic Plan period to ensure achievement of the planned activities. This will be achieved through proactively

ensure productivity. In addition, the Authority will continue to enhance institutional capacity in emerging issues.

Strategic Goal Strategic Objectives Projected Amount (Millions Ksh.)2021/22 2022/23 2023/24 2024/25 Total

Management System, Risk Management, Business Continuity Management and Information Security Management)

To ensure optimal institutional veness

442.0 447.5 456.6 454.0 1,800.1

To Leverage on technology to enhance service delivery

18.5 39.5 30.5 37.5 126.0

To improve and veness in

management

5.50 5.50 5.50 5.50 22.00

To enhance stakeholder engagement for improved corporate visibility

20.0 19.0 19.3 17.2 75.5

609.0 614.0 634.00 643.0 2,500.0Total

2021/22Source 2022/23 2023/24 2024/25 Total

370Exchequer - Recurrent 345 355 365 1,435

30Exchequer - Development

Appropriation in Aid (A-I-A)

55 55 55 195

185 190 200 200 775

Development Partners 24 24 24 23 95

Total 609 614 634 643 2,500

Strategic Plan 2021/2022-2024/2025

Figu

re 1

: Org

aniz

atio

n St

ruct

ure

4.2.

2.1

Org

anog

ram

The

orga

nogr

am b

elow

repr

esen

ts th

e st

ruct

ure

requ

ired

to d

eliv

er th

e st

rate

gic

plan

202

1/22

– 2

024/

25.

40 of 60

CAK

BO

AR

D

DIR

ECTO

R

GEN

ERA

L

DIR

ECTO

RAT

E O

F PL

AN

NIN

G, P

OLI

CY,

RES

EAR

CH, R

ISK

AN

D

QU

ALI

TY A

SSU

AR

AN

CE

DIR

ECTO

RAT

E O

F CO

RPO

RAT

E SE

RV

ICES

DIR

ECTO

RAT

E O

F CO

MPE

TITI

ON

AN

D

CON

SUM

ER P

RO

TECT

ION

Plan

ning

, Pol

icy

and

Res

earc

hH

R &

Adm

in

Fina

nce

ICT

Enfo

rcem

ent

and

Com

plia

nce

Mer

gers

and

A

cqui

siti

on

Cons

umer

Pr

otec

tion

Ris

k an

d Q

ualit

y A

ssua

ranc

e

Inte

rnal

Aud

it

Corp

orat

ion

Secr

etar

y &

Lega

l Ser

vice

s

Com

mun

icat

ion

and

Exte

rnal

Rel

atio

ns

Supp

ly C

hain

M

anag

emen

t

Buy

er P

ower

Strategic Plan 2021/2022-2024/2025

9 41 of 60

4.2.3 Risk Analysis and Mitigation StrategiesThe Authority appreciates risks that may impact on the execution of this strategy. The Authority has developed an internal risk management policy that is used to manage the risks that can the implementation of the Strategic Plan. The table below maps these risks against the strategic objectives and the mitigation strategies that will counter their impact on the successful implementation of this strategy.

Strategic Objectives

Risks

1.

2.

Mitigation Strategy

Goal 1: Deliv ve Enforcement To advance knowledge of emerging markets

Inaccurate decision making and delays in completion of cases and investiga-tions

Delays in Investigation

Leakage of Information

Dedicated teams of experienced in the techni-cal departmentsConduct sector/market studies and use of econom-ic data analytical toolsContinuous enhancement of the technical skillsReview of processes within CAK through risk based QMS audits, internal audits and external

Auditor GeneralParticipating in international competition and consumer protection conferences and workshops to benchmark and adopt best practicesEstablishing information databases for sectors with regular issues as per the current market conditions through research, market inquiries and studies.Cooperation Frameworks with appropriate institu-tions/sector regulators and regional agenciesAdopting new technologies to keep applicants informed.

Strengthening the litigation capacity of the Authority

Inadequate legal representation

Dedicated legal department that guides in the compliance process to laws and regulationsEnhancing trial advocacy and litigation capacity of the Legal teamHarnessing the litigation capacity of all legal practitioners within the Authority

Continuous sensitization of consumers on lodging complaints .Review of the investigation plans and ensure adherenceEnhanced capacity building on planning for investigations

ve governance practices characterized by the right tone at the top, operational and reporting structures

•

•

••

•

•

•

•

•

•

•

•

••

•

•

•

Strategic Plan 2021/2022-2024/2025

42 of 60

Strategic Objectives

Risks Mitigation Strategy

Strategic Goal 2: Research and Advocacy

Delay in develop-ment of legislation and or internal guidelines and rules

Proactive engagement with relevant stakeholders

3. To enhance deterrence on unfair market conduct to safeguard access to markets and consumers

Incorrect determina-tion of cases

Proactive acquisition of adequate information from relevant stakeholdersImplementing Cooperation Frameworks with appropriate institutions/sector regulators to facilitate information exchangeProper utilization of information gathered/ obtained from market inquiriesContinuous review of guidelines

vels of approvals.

Continuous engagement /involvement of to ensure end-user acceptance and ownership

4. Enhance ve

advocacy

engage-ment of stakeholders

of new stakeholders on a continuous basis Increased stakeholder management Capacity building and continuous engagement with consumer bodies.Regular updates on the Authority’s website

5. Entrench the Authority as a Centre for Competition and Consumer

Non-compliance to the Competition Act

Adherence to the provisions of statutes when making decisionsCompilation and dissemination of the Authority's, the Tribunal’s and Court’s decisions on

Inaccurate decision making

Established of an information reporsitory and database used in case analysisAccurate data collection and analysis through strict adherence to research practices. Validation workshops with stakeholders

Research and advocacy specialist reviews.Due diligence conducted on prospective third parties/consultants before contractingAdherence to the provisions of the Data Protection Act 2019 Adoption of best practices with other competition agencies on cases that are similar in nature

Delays in dissemina-tion of information

Coordinate ve stakeholder consultation and participationStrict adherence to timelines

•

•

•

•

••••

•

••

•

•

•

•

••

•

•

•

••

•

Strategic Plan 2021/2022-2024/2025

9 43 of 60

Table 10: Risk vs Objectives

Strategic Objectives

Risks

6.

7.

Mitigation Strategy

Strategic Goal 3: Visibility and Sustainability

Protection Law

Capacity buiding for the Judiciary, legal fraternity and the private sector on the applicable competition and consumer protection law

Enhance Optimal Resource Utilization

Inadequate Funding Enhanced internal and external funding through

Engagement with the National Treasury for sustained and increased fundingSustained relationships with development partners on a continuous basisQuarterly monitoring and reporting of the budget absorption Prioritization of the work plan activities in order to undertake the critical activities that have more impact

Ensure optimal Institutional

veness

Low Productivity vationPromoting conducive work environmentInstilling a performance management culture in the AuthorityBuilding capacity on emerging issues

8. Leverage on technology to enhance service delivery

Cyber securityContinuous update of anti virus software and

wallsRegular sensitization on possible harmful sites and linksProcurement of genuine licensed softwareEnhanced vRegular incident monitoring, analysis and reporting

Business Interruption Use of Uninterruptable Power Supply and generatorImplementation of Business Continuity Plan and disaster recovery planRegular system updatesWell maintained and tested Disaster Recovery site

Missalocation of Funds

Approval of resource allocations and budget revisionsQuarterly expenditure reports reviewed and approved by the boardDevelopment of annual work plans and preparation of supplementary budgets Enforcement and adherence to the PFM Act. Regular sensitization of members on the PFM Act.

•

•

•

•

•

•

•

•

•

••

•••

••

•

•••

•

•

••

Strategic Plan 2021/2022-2024/2025

44 of 60

Stra

tegi

c O

bjec

tives

Base

line

Out

put I

ndic

ator

sA

ctiv

ities

Ann

ual T

arge

t21

/22

22/2

323

/24

24/2

510

010

010

010

0

Budg

et (K

sh.

Mill

ion

Res

pon-

sibl

eTo

enh

ance

the

mer

ger a

naly

sis

proc

ess

in o

rder

to

min

imiz

e fin

anci

al

burd

en o

n bu

sine

sses

4.3

Impl

emen

tatio

n M

atri

xSt

rate

gic

Goa

l 1: D

eliv

erin

g Eff

ectiv

e En

forc

emen

t

100

% o

f com

plet

ion

Ana

lysi

s of

all

mer

gers

not

ified

to

the

Aut

hori

ty14

.5M

&A

2530

3335

To e

nhan

ce

dete

rren

ce o

n un

fair

mar

ket

cond

uct t

o sa

fegu

ard

acce

ss

to m

arke

ts a

nd

cons

umer

s

60N

o. o

f cas

es in

vest

igat

edU

nder

take

inve

stig

atio

ns in

to

case

s of

Abu

se o

f Buy

er P

ower

12 23.3

BP

33

33

5

01

11

10

• N

o. o

f sec

tors

sen

sitiz

ed•

No.

of c

ompl

ianc

e in

itiat

ives

dev

elop

ed b

y se

nsiti

zed

Busi

ness

A

ssoc

iatio

ns

Und

erta

ke

sens

itiza

tion

initi

a-tiv

es o

n ab

use

of b

uyer

pow

er in

va

riou

s se

ctor

s

BP

8085

9095

75%

of c

ompl

etio

nA

naly

sis

of m

erge

rs id

entifi

ed to

ha

ve b

een

impl

emen

ted

with

out

the

appr

oval

of t

he A

utho

rity

5.5

M&

A

100

100

100

100

100

% o

f com

plet

ion

Join

t ass

essm

ent o

f mer

gers

with

Regi

onal

Com

petio

n A

genc

ies

for

notifi

catio

ns w

ith lo

cal n

exus

-2

M&

A

8590

9510

080

% o

f adv

isor

y op

inio

n re

ques

ts p

rovi

ded

Prov

idin

g ad

viso

ry o

pini

ons

0M

&A

--

11

N/A

No.

of S

ecto

r (s)

pr

oces

sed

/exe

mpt

edId

entif

y an

d pr

oces

s se

ctor

s th

at

may

qua

lify

for e

xem

ptio

n fr

om

notifi

catio

n

1.5

M&

A

--

1-

N/A

Publ

ishe

d gu

idel

ines

Dev

elop

gui

delin

es o

n m

erge

r no

tifica

tion

1M

&A

-1

--

1Re

vise

d M

erge

r Not

ifica

-tio

n fo

rmO

verh

aul

the

Mer

ger

Not

ifica

-tio

n fo

rm d

ue t

o te

chno

logi

cal

chan

ges

and

emer

ging

m

arke

t tr

ends

3.5

M&

A

11

22

1Se

nsiti

ze s

take

hold

ers

on m

erge

r no

tifica

tion

2M

&A

12

34

N/A

No.

of m

erge

rs a

naly

zed

usin

g re

sear

ch, b

usin

ess

inte

llige

nce

and

Dat

a A

naly

sis

Tool

s

Enha

nce

use

of re

sear

ch, b

usin

ess

inte

llige

nce

and

data

an

alys

is

tool

s in

the

eco

nom

ic a

naly

sis

of

mer

gers

10.5

M&

A

Strategic Plan 2021/2022-2024/2025

9 45 of 60

Incr

ease

det

ec-

tion

and

take

m

easu

res

to

addr

ess

mis

lead

ing

and

unfa

ir p

ract

ices

th

at h

arm

co

nsum

ers

Stra

tegi

c O

bjec

tives

Base

line

Out

put I

ndic

ator

sA

ctiv

ities

Ann

ual T

arge

t21

/22

22/2

323

/24

24/2

5-

1-

1

Budg

et (K

sh.

Mill

ion

Res

pon-

sibl

e0

No.

of s

ecto

rs a

nd u

nder

-ta

king

s m

onito

red

Mon

itor

sect

ors

and

unde

rtak

-in

gs

expe

rien

cing

or

lik

ely

to

expe

rien

ce in

cide

nces

of a

buse

of

buye

r pow

er

3BP

-1

-1

1N

o. o

f cod

es o

f pra

ctic

e pu

blis

hed

Publ

ish

code

s of

pra

ctic

e fr

om

sect

ors

and

indu

stri

es f

ound

to

have

act

ual

or l

ikel

y in

cide

nces

of

abu

se o

f buy

er p

ower

2.6

BP

-1

11

1N

o. o

f sec

tors

that

hav

e ad

opte

d th

e co

ntra

cts

diss

emin

ated

Dev

elop

an

d di

ssem

inat

e te

mpl

ate

cont

ract

s fo

r us

e by

se

ctor

pla

yers

4.4

BP

--

1-

1Re

view

ed B

uyer

Pow

er

Gui

delin

esU

nder

take

re

view

of

Bu

yer

Pow

er G

uide

lines

2.2

BP

--

1-

0Pu

blis

hed

Prom

pt

Paym

ent R

egul

atio

nsD

evel

op P

rom

pt P

aym

ent

Regu

-la

tions

for

sect

ors

with

inci

denc

-es

of a

buse

of b

uyer

pow

er

6BP

-1

-1

0N

o.

of

mon

itori

ng

repo

rts

Mon

itor

impl

emen

tatio

n of

Pu

blis

hed

Cod

es o

f Pra

ctic

e2

BP

--

11

0N

o. o

f sec

tor a

sses

smen

t re

port

sA

sses

s th

e ad

optio

n of

Dev

el-

oped

Te

mpl

ate

Con

trac

ts

by

sect

ors

2BP

--

-1

0N

o. o

f Com

plia

nce

Aud

it re

port

sA

udit

com

plia

nce

with

Pro

mpt

Pa

ymen

t Reg

ulat

ions

1BP

7075

8085

65In

vest

igat

e co

nsum

er is

sues

and

pr

ovid

e re

med

ies;

5

CPD

22

23

6N

o. o

f sec

tors

mon

itore

dM

onito

r th

e m

arke

tpla

ce

and

tech

nolo

gica

l de

velo

pmen

ts

to

iden

tify

and

inve

stig

ate

emer

g-in

g co

nsum

er i

ssue

s w

ith f

ocus

on

the

utili

ty s

ecto

r;

1C

PD

Strategic Plan 2021/2022-2024/2025

46 of 60

Stra

tegi

c O

bjec

tives

Base

line

Out

put I

ndic

ator

sA

ctiv

ities

Ann

ual T

arge

t21

/22

22/2

323

/24

24/2

5Bu

dget

(Ksh

. M

illio

nR

espo

n-si

ble

phar

mac

eutic

als;

bi

g da

ta;

tech

nolo

gica

l ad

vanc

emen

ts;

digi

tal

ser

vice

s, E

-Com

-m

erce

; in

sura

nce;

avi

atio

n; a

nd

child

ren

prod

ucts

.10

1015

1520

No.

of a

dvis

orie

s pr

ovid

-ed

Prov

ide

advi

sori

es t

o st

akeh

old-

0C

PD

5050

5050

46N

o. o

f cas

esC

olla

bora

te w

ith lo

cal a

nd in

ter-

natio

nal

agen

cies

on

cons

umer

0

CPD

1010

1010

8N

o. o

f pub

lic a

war

enes

s ac

tiviti

es s

No.

of

m

obile

cl

inic

s he

ldN

o.

of

coun

ty

fair

s,

show

s &

ex

hibi

tions

pa

rtic

ipat

ed in

Prov

ide

the

publ

ic w

ith k

now

l-ed

ge

and

tool

s to

pr

even

t co

nsum

er h

arm

fro

m p

rodu

cts

and

serv

ices

.

30C

PD

1010

1010

12 N

o. o

f rep

orts

Pr

ovid

e bu

sine

sses

with

kno

wl-

edge

and

too

ls t

o co

mpl

y w

ith

the

prov

isio

ns o

f the

Act

2.0

CPD

33

33

8N

o. o

f for

ums

No.

of

co

mpl

aint

s re

ceiv

ed fr

om c

onsu

m-

er b

odie

s

Prov

ide

cons

umer

bod

ies

with

kn

owle

dge

and

tool

s to

pre

vent

co

nsum

er

harm

an

d cr

eate

aw

aren

ess

6.0

CPD

55

55

-N

o. o

f cou

nty

gove

rn-

men

ts e

ngag

edEn

gage

cou

nty

gove

rnm

ents

in

crea

ting

an

enab

ling

envi

ron-

men

t for

the

crea

tion

of c

onsu

m-

er b

odie

s

2.0

CPD

Strategic Plan 2021/2022-2024/2025

9 47 of 60

To e

nhan

ce

dete

rren

ce o

n an

ticom

petit

ive

prac

tices

for

sust

aine

d co

nsum

er

wel

fare

Stra

tegi

c O

bjec

tives

Base

line

Out

put I

ndic

ator

sA

ctiv

ities

Ann

ual T

arge

t21

/22

22/2

323

/24

24/2

54

44

4

Budg

et (K

sh.

Mill

ion

Res

pon-

sibl

e4

No.

of c

ases

con

clud

ed

No.

of

re

med

ial

mea

sure

s

To id

entif

y, u

nder

take

scre

enin

gs

and

inve

stig

ate

sec

tors

to

est

ablis

h su

spec

ted

cart

els

or

abus

e of

do

min

ance

co

nduc

ts

such

as

exce

ssiv

e pr

icin

g, p

rice

di

scri

min

atio

n, p

reda

tory

pri

cing

an

d m

argi

n sq

ueez

e in

the

digi

tal

and

trad

ition

al m

arke

ts

18.6

E&C

810

1012

4N

o. o

f cas

es c

oncl

uded

No.

of

re

med

ial

mea

sure

s

To

inve

stig

ate

and

conc

lude

co

mpl

aint

s on

sus

pect

ed c

arte

ls

or a

buse

of

dom

inan

ce c

ondu

cts

such

as

exce

ssiv

e pr

icin

g, p

rice

di

scri

min

atio

n,

pred

ator

y pr

icin

g an

d m

argi

n sq

ueez

e in

th

e di

gita

l an

d tr

aditi

onal

m

arke

ts

30.8

E&C

3434

3434 1 1

34N

o. o

f day

s ta

ken

(afte

r re

ceip

t of a

ll in

form

atio

n to

the

time

of th

e bo

ard

dete

rmin

atio

n)

Eval

uate

exe

mpt

ion

appl

icat

ions

to

en

sure

pu

blic

and

pro-

com

petit

ive

gain

s

5.4

E&C

11

11

No.

of c

ases

To

enh

ance

loca

l, re

gion

al a

nd

inte

rnat

iona

l col

labo

ratio

ns in

th

e in

vest

igat

ions

of t

he c

arte

ls

and

abus

e of

dom

inan

ce

2.7

E&C

11

11

No.

of a

war

enes

s in

itiat

ives

con

duct

edTo

in

crea

se

awar

enes

s of

th

e m

arke

t pla

yers

on

the

rest

rict

ive

trad

e pr

actic

es

0.09

E&C

22

22

1N

o. o

f cas

es in

vest

igat

ed

thro

ugh

use

of te

chno

lo-

gy

Enha

nced

use

of

tech

nolo

gy i

n co

mpe

titio

n an

alys

is.(p

urch

ase

of f

oren

sic

4 la

ptop

s an

d 2

FTK

to

olki

t)

97.7

E&C

Strategic Plan 2021/2022-2024/2025

48 of 60

Stra

tegi

c O

bjec

tives

Base

line

Out

put I

ndic

ator

sA

ctiv

ities

Ann

ual T

arge

t21

/22

22/2

323

/24

24/2

5Bu

dget

(Ksh

. M

illio

nR

espo

n-si

ble

22

22

1•

No.

of c

ases

con

clud

ed•

No.

of c

ases

han

dled

join

tly w

ith P

PRA

• N

o. o

f rem

edia

l m

easu

res

Con

duct

scr

eeni

ng a

nd i

nves

ti-ga

te

susp

ecte

d bi

d ri

ggin

g sc

hem

es.

5.4

E&C

22

22

1•

No.

of c

ases

con

clud

ed•

No.

of c

ases

han

dled

jo

intly

with

PPR

A (c

osts

ac

com

mod

ated

und

er

inve

stig

atio

ns o

f bid

ri

ggin

g)•

No.

of r

emed

ial

mea

sure

s

Enha

nce

the

colla

bora

tion

with

se

ctor

regu

lato

rs (s

uch

as P

PRA

)0

E&C

1212

1212

12N

o. o

f com

plia

nce

chec

ks w

ith th

e ob

ject

ive

of th

e de

cisi

on o

f the

A

utho

rity

(2 c

ases

for

field

wor

k pe

r yea

r)

Con

duct

m

arke

t co

mpl

ianc

e ch

ecks

to e

nsur

e ad

here

nce

to th

e A

utho

rity

’s d

ecis

ions

5.4

E&C

1-

--

n/a

Gui

delin

es d

evel

oped

Dev

elop

gui

delin

es o

n St

rate

gic

Mar

ket P

ositi

ons

1.2

E&C

--

11

n/a

Gui

delin

es/to

ols

deve

l-op

ed a

nd /o

r rev

iew

edD

evel

op

Gui

delin

es/to

ols

on

Emer

ging

Com

petit

ion

issu

es

18E&

C

-1

-1

1Pr

oced

ures

and

gui

de-

lines

dev

elop

ed a

nd /o

r re

view

ed

Revi

sed

proc

edur

es,

guid

elin

es

and

form

s2.

4E&

C

Strategic Plan 2021/2022-2024/2025

9 49 of 60

Stra

tegi

c O

bjec

tives

Base

line

Out

put I

ndic

ator

sA

ctiv

ities

Ann

ual T

arge

t21

/22

22/2

323

/24

24/2

50

10

1

Budg

et (K

sh.

Mill

ion

Res

pon-

sibl

eN/A

No.

co

mpe

titio

n an

d co

nsum

er

prot

ectio

n la

w d

iges

ts.

No.

of p

ublic

atio

ns.

Com

petit

ion

and

Con

sum

er

Prot

ectio

n A

ctio

n N

etw

ork

Plan

No.

of

Part

icip

ants

/

inst

itutio

ns

10.5

Lega

lD

evel

opm

ent a

nd d

isse

min

atio

n of

the

com

petit

ion

and

cons

um-

er p

rote

ctio

n la

w d

iges

t

Dev

elop

men

t an

d co

mpi

latio

n of

co

mpe

titio

n an

d co

nsum

er

prot

ectio

n la

w p

ublic

atio

ns

Esta

blis

h a

netw

ork

of c

ompe

ti-tio

n an

d co

nsum

er p

rote

ctio

n la

w s

chol

ars,

res

earc

hers

, Eco

n-om

ists

and

pra

ctiti

oner

s

To e

ntre

nch

the

Aut

hori

ty a

s a

Cen

tre

for

Com

petit

ion

and

Con

sum

er

Prot

ectio

n La

w

Strategic Plan 2021/2022-2024/2025

•

• • • •

• •

50 of 60

Stra

tegi

c O

bjec

tives

Stra

tegi

c G

oal 2

: Res

earc

h an

d A

dvoc

acy

Base

line

Out

put I

ndic

ator

sA

ctiv

ities

Ann

ual T

arge

t21

/22

22/2

323

/24

24/2

51

11

1

Budg

et (K

sh.

Mill

ion

Res

pon-

sibl

eTo

adv

ance

kn

owle

dge

of

sect

oral

and

em

ergi

ng

mar

kets

n/a

• N

o. o

f rep

orts

Scre

enin

g an

d Pr

iori

tizat

ion

of

emer

ging

mar

kets

7.

0PP

R

11

11

To E

nhan

ce

Effec

tive

Adv

ocac

y

0•

No.

of N

ew C

oope

ra-

Dev

elop

new

col

labo

ratio

ns a

nd

Coo

pera

tion

Fram

ewor

ks to

add

- rr

ess

effec

tive

com

petit

ion

in th

e di

gita

l sp

ace

an

d ed

ucat

ion/

re

sear

ch in

stitu

tions

2.0

PPR

Lega

l

-1

-1

n/a

• N

o. o

f rep

orts

Und

erta

king

res

earc

h in

pri

ori-

tized

em

ergi

ng m

arke

ts39

.0PP

R

1-

--

n/a

• Im

plem

enta

tion

plan

• Im

plem

enta

tion

repo

rt

Impl

emen

tatio

n of

th

e re

com

-m

enda

tions

fr

om

the

Dig

ital

Cre

dit M

arke

t Inq

uiry

1.0

PPR

-1

--

n/a

• Im

plem

enta

tion

plan

• Im

plem

enta

tion

repo

rt

Impl

emen

tatio

n of

the

find

ings

fr

om t

he A

irlin

es s

ecto

r st

udy

in

colla

bora

tion

with

th

e Se

ctor

Re

gula

tor

1.0

PPR

-1

--

0•

Rese

arch

dat

abas

e

• N

o. o

f sec

tors

cov

ered

Dev

elop

men

t an

d co

nsol

idat

ion

of a

res

earc

h da

taba

se o

n tr

adi-

tiona

l and

em

ergi

ng m

arke

ts

0PP

R

66

66

6•

No

of p

lena

ries

33

33

3•

No.

of e

-res

ourc

es `

Enha

nce

know

ledg

e sh

arin

g in

th

e A

utho

rity

10

.0PP

R

100

100

100

100

100

% o

f:•

Inde

xed

reco

rds

• D

igiti

zed

reco

rds

• Re

cord

s ar

chiv

ed

Enha

nce

effici

ent

regi

stry

ope

ra-

tions

4.

0PP

R

11

11

1•

No.

of s

ecto

rs

Prio

ritiz

atio

n of

se

ctor

s fo

r im

pact

ass

essm

ent

2.0

PPR

11

11

1•

No.

of i

mpa

ct a

sses

s-C

ondu

ct i

mpa

ct a

sses

smen

t of

th

e A

utho

rity

’s d

ecis

ions

12.0

PPR

Strategic Plan 2021/2022-2024/2025

deve

lope

d

deve

lope

d

crea

ted

cata

logu

ed

men

t rep

orts

tion

fram

ewor

ks

9 51 of 60

Stra

tegi

c O

bjec

tives

Base

line

Out

put I

ndic

ator

sA

ctiv

ities

Ann

ual T

arge

t21

/22

22/2

323

/24

24/2

52

22

2

Budg

et (K

sh.

Mill

ion

Res

pon-

sibl

e0 3

• Re

view

repo

rt2.

0PP

RRe

view

the

exis

ting

Coo

pera

tion

Fram

ewor

ks3

44

5N

o. o

f cap

acity

bui

ldin

g in

itiat

ives

20.0

PPR

Stak

ehol

der c

apac

ity b

uild

ing

on

Com

petit

ion

law

and

pol

icy

42

22

2N

o. A

dvis

ory

opin

ions

is

sued

and

ado

pted

0PP

RPr

epar

atio

n of

re

sear

ch

base

d

Adv

isor

y op

inio

ns

to

Gov

ern-

men

t age

ncie

s3

33

33

No.

of P

ositi

on p

aper

s 0

PPR

Prep

arat

ion

of p

ositi

on p

aper

s to

in

tern

atio

nal

foru

ms

on e

mer

g-in

g is

sues

1

1-

1-

No.

of c

onfe

renc

es20

.0PP

RC

&ER

Hol

d co

mpe

titio

n/co

nsum

er

prot

ectio

n co

nfer

ence

(s)

und

er

the

com

petit

ion/

cons

umer

pr

otec

tion

netw

ork

(s)

Strategic Plan 2021/2022-2024/2025

52 of 60

Stra

tegi

c O

bjec

tives

Stra

tegi

c G

oal 3

: Vis

ibili

ty a

nd S

usta

inab

ility

Base

line

Out

put I

ndic

ator

sA

ctiv

ities

Ann

ual T

arge

t21

/22

22/2

323

/24

24/2

511

1111

11

Budg

et (K

sh.

Mill

ion

Res

pon-

sibl

eTo

Enh

ance

O

ptim

al

Res

ourc

e U

tiliz

atio

n

11N

o.

of

mon

itori

ng

repo

rts

No.

of

Ev

alua

tion

repo

rts

Mon

itori

ng a

nd E

valu

atio

n of

th

e A

utho

rity

’s p

erfo

rman

ce7.

0PP

R

2550

7510

00

%/N

o.

of

reco

mm

en-

datio

ns im

plem

ente

d Im

plem

ent

reco

mm

enda

tions

of

th

e W

orkl

oad

Ana

lysi

s Su

rvey

in

com

plia

nce

with

the

C

onst

itutio

nal r

equi

rem

ents

10H

RA

3020

10To

enh

ance

in

stitu

tiona

l ri

sk m

anag

e-m

ent p

ract

ices

, bu

sine

ss

cont

inui

ty a

nd

impl

emen

tatio

n of

sta

ndar

ds

40D

ocum

ente

d bu

sine

ss

cont

inui

ty p

lans

No.

of

up

date

d BI

A

plan

sC

ompr

ehen

sive

ri

sk

an

d m

itiga

tion

No.

of

au

dits

an

d m

anag

emen

t rev

iew

sC

ritic

al

proc

esse

s

Dis

aste

r Rec

over

y Si

te

Impl

emen

t IS

O

2230

1:20

19

Busi

ness

C

ontin

uity

M

anag

e-m

ent S

tand

ard

to IS

O 9

001:

2015

Q

ualit

y M

anag

emen

t Sta

ndar

d,

impl

emen

tatio

n an

d m

onito

r-in

g of

the

req

uire

men

ts o

f th

e st

anda

rd

30RQ

A,

ICT,

HRA

9810

010

010

0To

ens

ure

optim

al In

stitu

-

ve-

ness

96 11 0 0

vels

No.

of

vaca

ncie

s in

tern

ally

No.

of

enr

olle

d in

th

e le

ader

ship

pr

ogra

m

Dev

elop

ed

Cor

pora

te

Succ

essi

on P

lan

Impl

emen

tatio

n of

the

Car

eer

Prog

ress

ion

Gui

delin

es

Intr

oduc

tion

of

the

Perf

or-

man

ce- b

ased

Pay

Build

ing

lead

ersh

ip c

apac

ity in

th

e A

utho

rity

Cor

pora

te S

ucce

ssio

n M

anag

e-m

ent

811

16-

20

17-

-17

12

11

11

12

HRA

Strategic Plan 2021/2022-2024/2025

• • • • • • •

• • • • • • • • • • • • •

9 53 of 60

Stra

tegi

c O

bjec

tives

Base

line

Out

put I

ndic

ator

sA

ctiv

ities

Ann

ual T

arge

t21

/22

22/2

323

/24

24/2

580

8590

95

Budg

et (K

sh.

Mill

ion

Res

pon-

sibl

e75

• %

/No.

of s

taff

trai

ned

Revi

sed

Perf

orm

ance

to

olki

tN

o.

of

man

ager

s/su

-pe

rvis

ors

trai

ned

%

of

annu

al

perf

or-

man

ce a

chie

vem

ents

190

HRA

Cap

acity

bui

ldin

g in

the

follo

win

g ar

eas

amon

g ot

hers

;i.

Big

Dat

a an

d D

igita

l

ec

onom

yii.

A

rtifi

cial

Inte

llige

nce

iii.

Plat

form

mar

ketin

giv

. Bu

yer P

ower

1

100

5

017

17

9095

100

12H

RABu

ild L

eade

rshi

p ca

paci

ty o

n pe

rfor

man

ce m

anag

emen

tRe

vise

the

per

form

ance

man

-ag

emen

t too

lkit

To L

ever

age

tech

nolo

gy to

en

hanc

e se

rvic

e de

liver

y

1778

8892

99N

o. o

f st

aff m

embe

rs

enro

lled

for

the

Clu

b m

embe

rshi

p%

of

Empl

oyee

, w

ork

envi

ronm

ent

Satis

fac-

tion

Inde

x0

11

Cor

pora

te C

ultu

re

Surv

ey

19.1

15

79.5

8385

12

HRA

DC

S, IC

TH

OD

S

Enha

nce

staff

C

lub

mem

ber-

ship

and

ext

end

the

bene

fit t

o al

l sta

ff.Pr

omot

e a

cond

uciv

e w

ork

envi

ronm

ent.

12

01

22

2Fr

eque

ncy

of

perf

or-

man

ce re

cogn

ition

Rem

ote

wor

king

gu

idel

ines

de

velo

ped

and

impl

emen

ted

2.0

Enha

nce

empl

oyee

rec

ogni

tion

for e

xcel

lent

per

form

ance

. D

evel

op

and

impl

emen

t th

e re

mot

e w

orki

ng g

uide

lines

9010

010

010

010

0%

upt

ime

of IC

T in

fra-

stru

ctur

eN

o. o

f su

cces

sful

DR

test

s un

dert

aken

%

impl

emen

tatio

n of

th

e IC

T st

rate

gy

20

12

22

2

100

100

100

100

100

0

Upg

rade

of

th

e A

utho

rity

’s

Dat

a C

entr

e, e

nhan

ced

back

up

stor

age

and

repl

icat

ion

syst

ems

and

cond

uct D

R te

sts

Dev

elop

and

im

plem

ent

ICT

stra

tegy

202

1-20

24

Strategic Plan 2021/2022-2024/2025

• • • • • • • •

• • • • • • • • • • •

54 of 60

Stra

tegi

c O

bjec

tives

Base

line

Out

put I

ndic

ator

sA

ctiv

ities

Ann

ual T

arge

t21

/22

22/2

323

/24

24/2

590

9510

010

0

Budg

et (K

sh.

Mill

ion

Res

pon-

sibl

e85

% u

ptim

e of

ICT

infr

a-st

ruct

ure

and

syst

ems

% le

vel o

f Aut

omat

ion

%

usag

e of

da

ta

anal

ytic

s to

ol

Acq

uire

and

mai

ntai

n ne

w/e

x-is

ting

tech

nolo

gies

to

incr

ease

ve

ry

Aut

omat

e th

e Ri

sk a

nd I

nter

-na

l Aud

it fu

nctio

nPr

ocur

e da

ta m

inin

g an

d da

ta

anal

ytic

s to

ols

124

DC

S,

ICT,

IA,

RQA

, M

&A

, E&

C,

CPD

, PP

R

8085

9010

075

10

% i

mpl

emen

tatio

n of

IS

MS

stan

dard

sIS

O/IE

C

2700

1:20

13

No.

of

Pe

netr

atio

n te

stin

g re

port

Impl

emen

t an

d en

sure

-

catio

n on

ISO

/IEC

270

01:2

013

stan

dard

s to

ens

ure

-tia

lity,

Inte

grity

and

Ava

ilabi

li-ty

.Pe

rfor

m

info

rmat

ion

syst

em

audi

ts a

nd p

enet

ratio

n te

stin

g. o

f o

n in

for-

mat

ion

secu

rity

3

11

11

02

100

100

100

100

750

DC

S, IC

T

2530

3540

20%

red

uctio

n in

cos

t of

oper

atin

g ou

tsou

rced

se

rvic

es%

re

duct

ion

in

the

as

sets

m

aint

e-na

nce

cost

s

Out

sour

cing

of

no

n-co

re

serv

ices

and

dis

posa

l of

0.00

SCM

2020

2020

14To

tal

amou

nt

of

reso

urce

s fr

om

deve

lopm

ent

part

ners

Tota

l am

ount

of

re

sour

ces

thro

ugh

Exch

eque

r su

ppor

t

Enga

ge

with

de

velo

pmen

t pa

rtne

rs t

o in

crea

se t

he f

und-

ing

pool

Enga

ge

with

th

e N

atio

nal

Gov

ernm

ent

for

incr

ease

d fu

ndin

g

2.00

PPR

400

395

410

420

381

8.00

Fina

nce

22

22

00.

00SC

M

8590

1110

080

10

2050

7510

00

5

To im

prov

e

vene

ss in

man

agem

ent

Strategic Plan 2021/2022-2024/2025

• • • • • • • • • •

• • • • • • • • • • •

9 55 of 60

Stra

tegi

c O

bjec

tives

Base

line

Out

put I

ndic

ator

sA

ctiv

ities

Ann

ual T

arge

t21

/22

22/2

323

/24

24/2

510

010

010

010

0

Budg

et (K

sh.

Mill

ion

Res

pon-

sibl

e98

% Im

plem

enta

tion

of

plan

ned

activ

ities

as

per t

he S

trat

egic

Pla

n

% a

bsor

ptio

n ra

te o

f

reso

urce

s

No.

of A

udit

repo

rts

Num

ber o

f day

s ta

ken

to s

ubm

it an

nual

the

OA

G

No.

of A

udit

repo

rts

Am

ount

of p

roje

cted

A

-I-A

Rev

enue

co

llect

ed

0.00

PPR

100

100

100

100

850.

00

22

22

22

22

22

21.

0

185

190

200

200

175M

8.0

Fina

nce

IA

3030

3030

361.

0IA

Dep

loy

reso

urce

s co

st

-tiv

ely

in

prov

idin

g se

rvic

es

that

bes

t m

eets

the

nee

ds o

f ou

r sta

keho

lder

s/cl

ient

sC

onsi

deri

ng

com

petin

g de

man

ds

and

prio

ritis

ing

activ

ities

in

re

sour

ce

allo

ca-

tion.

Car

ry o

ut B

i-ann

ual

expe

ndi-

ture

rev

iew

s to

exa

min

e th

e ve

ness

of

reso

urce

s co

ntri

butin

g to

the

deliv

ery

of

plan

ned

prog

ram

mes

Faci

litat

e st

atut

ory

repo

rtin

g an

d au

dit

Com

plia

nce

audi

t of t

he in

ter-

nal c

ontr

ols

syst

em

Col

lect

ion,

ac

coun

ting

and

repo

rtin

g of

pr

ojec

ted

AIA

re

venu

e16

.1K

19.1

K19

.1K

19.1

K15,100

No.

of

IE

C

mat

eria

l pr

oduc

ed

and

diss

emin

ated

.N

o.

of

Aud

io/V

isua

l co

nten

t in

the

data

base

No

of

soci

al

med

ia

follo

wer

s

19.5

9K10

K11

K12

K8,000

55

55

10

C&

ER

HO

Ds

• Pr

oduc

tion

and

diss

emin

atio

n of

IEC

mat

eria

ls in

Sw

ahili

and

En

glis

h •

Enga

ging

sta

keho

lder

s th

roug

h ne

w m

edia

30

12

0

20

11

7

No.

of

mob

ile c

linic

s he

ldN

o.

of

com

petit

ion

fair

s, sh

ows,

and

exhi

bi-

tions

par

ticip

ated

in

31.0

MC

ER &

H

OD

s•

Und

erta

ke p

ublic

ity a

nd

sens

itiza

tion

cam

paig

ns a

t gr

assr

oots

, inc

ludi

ng H

udum

a C

ente

rs a

nd h

oldi

ng

Com

petit

ion

Fair

s

To e

nhan

ce

stak

ehol

der

enga

gem

ent f

or

impr

oved

co

rpor

ate

visi

bilit

y

Strategic Plan 2021/2022-2024/2025

• • • • • •

• • • • • • • • • • •

56 of 60

Stra

tegi

c O

bjec

tives

Base

line

Out

put I

ndic

ator

sA

ctiv

ities

Ann

ual T

arge

t21

/22

22/2

323

/24

24/2

52

21

3

Budg

et (K

sh.

Mill

ion

Res

pon-

sibl

e1

No.

of c

onsu

mer

clu

bs

set u

pN

o.

of

curr

icul

um

deve

lope

d

Dev

elop

a c

urri

culu

m to

cre

ate

awar

enes

s on

co

nsum

er

prot

ectio

n is

sues

in

pu

blic

pr

imar

y &

sec

onda

ry s

choo

ls

MC

ER &

H

OD

s0

10

00

22

22

7.0

3N

o. o

f C

SR a

ctiv

ities

co

nduc

ted

Und

erta

ke

Cor

pora

te

Soci

al

Resp

onsi

bilit

y (C

SR) i

nitia

tives

in

the

edu

catio

n, h

ealth

and

en

viro

nmen

t sec

tors

MC

ER &

H

OD

s

11

01

7.0

1

10

01

0

No.

of W

orks

hops

hel

d

No.

of

M

anag

emen

t tr

aini

ngs

sess

ions

hel

d

Sens

itize

Med

ia o

n C

ompe

ti-tio

n La

w

&

Polic

y,

Buye

r Po

wer

& C

onsu

mer

Pro

tect

ion

Trai

n M

anag

emen

t on

Med

ia

Rela

tions

MC

ER &

H

OD

s

00

10

9.0

0IV

R C

all C

entr

e se

t up

Leve

rage

tec

hnol

ogy

to s

et u

p an

Int

erac

tive

Voi

ce R

espo

nse

(IVR)

Cal

l Cen

tre

MC

ER &

H

OD

s

075

%1

02.

067.8%

Cus

tom

er

Satis

fac-

tion/

Perc

eptio

n In

dex

Con

duct

Cus

tom

er S

atis

fact

ion

Surv

ey &

Im

plem

ent

reco

m-

men

datio

ns

MC

ER

Strategic Plan 2021/2022-2024/2025

• • • • • •

• • • • •

CHAPTER FIVE: MONITORING, EVALUATION AND REPORTING

58 of 60

5.1 Overview This section details the Authority’s monitoring and evaluation framework; performance assessment and reporting structure; critical success factors as well as the process of carrying out periodic reviews

5.2 Monitoring and EvaluationThe Authority considers Monitoring and Evaluation (M&E) as an important process to assist in implementation of the Strategic Plan. The M&E framework has clear objectives, targets and initiatives for the duration of Strategic Plan is imperative in implementation. The routine M&E which involves data collection, analysis and reporting is to be carried

continuously monitor, evaluate and report on all strategies, indicators and activities with a view to advising the Board on the implementation status as well as offer any remedial or alternative strategies. The key activities that will be undertaken during the implementation of this Strategic Plan will be reviewed as follows;

5.2.1 Review of Strategic PlanThe Authority will undertake annual, mid-term and end term reviews on the status of implementation of the Strategic Plan in order to identify gaps and devise remedial measures. The Authority will conduct a mid-term review of the Strategic Plan at all functional levels. The report generated will be used to review the programs to ensure set goals are achieved or to revise targets due to factors external to it. A review may be in response to: i. Changes in Government policy;ii. Changes in the macro-economic environment;iii. Organizational performance and progress of the Strategic Plan.

At the end of the four-year Strategic Plan period, an end term evaluation will be conducted to ascertain the level of achievement of goals, lessons learnt and challenges encountered, which may inform the next Strategic Plan.

5.2.2 Performance Assessment and Reporting Structure The Planning, Policy and Research function will be responsible for monitoring and evaluation of the implementation of the Strategic Plan. To ensure that there is continuous monitoring and reporting, departments will be expected to prepare periodic reports on the activities and key performance indicators.

Strategic Plan 2021/2022-2024/2025

9 59 of 60

Roles and ResponsibilitiesThe Board Oversee the implementation of the Strategic PlanThe Director General

Directors

Departmental Heads

All Employees

5.3 Critical Success Factors The successful implementation of this Strategic Plan is dependent on the following key factors: i. Policy direction from the National Treasury and Planning; ii. iii. Skilled human capital; iv. An enabling work environment characterised by teamwork; and v. Cooperation and support of stakeholders.

Strategic Plan 2021/2022-2024/2025

Table 14: Reporting Structure

9 60 of 60

Key

Res

ult

Are

as

5.4

Mon

itori

ng a

nd E

valu

atio

n M

atri

x

a. M

onito

ring

the

Act

iviti

esO

utpu

t In

dica

tors

Mea

ns o

f V

Ann

ual

Targ

etA

chie

vem

ent

Qua

rter

1A

chie

vem

ent

Qua

rter

2A

chie

vem

ent

Qua

rter

3A

chie

vem

ent

Qua

rter

4R

emar

ks

Obj

ectiv

e:

Act

ivity

1.1

Key

Res

ult

Are

as

b.

Ann

ual S

trat

egic

Pla

n M

onito

ring

Out

put

Indi

cato

rsM

eans

of

VA

chie

vem

ent

Year

1A

chie

vem

ent

Year

2A

chie

vem

ent

Year

3A

chie

vem

ent

Year

4R

emar

ks

Act

ivity

Stra

tegi

c O

bjec

tive

c.

Per

form

ance

Eva

luat

ion

Plan

- (M

id-te

rm a

nd e

nd-te

rm)

Out

com

eO

pera

tiona

l

Out

com

e

Dat

a So

urce

Dat

a C

olle

ctio

n M

etho

dolo

gy

Freq

uenc

y of

Dat

a C

olle

ctio

n

Base

line

Val

ueTa

rget

Cal

cula

tion

of

Perf

orm

ance

Cos

t

Obj

ectiv

e 1:

Obj

ectiv

e 2:

Strategic Plan 2021/2022-2024/2025

Kenya Railways HQs Block 'D', Ground Floor,Workshop Road Off Haile Selassie Avenue,

P.O Box 36265 – 00200, NAIROBI, KenyaTel: +254-20-2628233 or +254-20-2779000

Website: www.cak.go.ke Email: info@cak.go.ke/complain@cak.go.ke Facebook: Competition Authority of KenyaTwi er: @CAK_Kenya