GAZETTE NOTICE NO. 4311

IN EXERCISE of the powers conferred by section 33 (1) of the Public Officer Ethics Act, 2003, Office of the Controller of Budget establishes the following Administrative Procedures: PART I--PRELIMINARY 1. Citation These Procedures may be cited as the Office of the Controller of Budget Procedures for Administration of Part IV of the Act. 2. Interpretation In these Procedures, unless the context otherwise requires — "Act" means the Public Officer Ethics Act, 2003; "Committee" means the Committee established to oversee the management, verification and access to declarations pursuant to clause 10 of the Regulations "Declarant" means a person who has made a declaration under the Act; "Declaration form" means the form set out in the Schedule to the Act in accordance with section 26(2) of the Act; "Declaration year" means the year when the two-year declaration under the Act falls due; "Final declaration" means a declaration made in accordance with section 27(5) of the Act; "Initial declaration" means a declaration made in accordance with section 27(3) of the Act; "Public Officer" has the meaning assigned to it under Article 260 of the Constitution of Kenya, 2010 and includes a State Officer; "Regulations" means the Public Officer Ethics Act (Management, Verification and Access to Financial Declarations) Regulations, 2011, Legal Notice No. 179. "Controller of Budget" means the Controller of Budget appointed under Article 228 of the Constitution of Kenya, 2010. "Two-Year declaration" means a declaration made in accordance with section 26(1) of the Act. 3. Scope of Application These Procedures shall apply to the administration of Part IV of the Public Officers Ethics Act, 2003. The procedures apply to public officers under the Office of the Controller of Budget. 4. Commencement These procedures shall come into force upon publication in the Kenya Gazette. PART II — PROCEDURE IN RELATION TO DECLARATIONS 5. Administration of the Procedures The Controller of Budget shall administer these Procedures on behalf of the Office of the Controller of Budget 6. Establishment of Committee (1) The Controller of Budget shall within thirty (30) days of commencement of these procedures establish a Committee to oversee the management, verification and access to declarations as contemplated under clause 10 of the Regulations. (2) The Committee under sub-paragraph 1 shall consist of public officers drawn from various directorates. (3) The membership and size shall be determined by the Controller of Budget. (4) The Committee shall have power to co-opt additional members to support its operations. (5) The Controller of Budget shall determine the term of the Committee. (6) In the discharge of its functions, the Committee shall be responsible to the Controller of Budget pursuant to clause 10 of the Regulations; (7) In administering these procedures, the Committee established under this part may designate sub-committees from its membership to undertake specific functions (8) Nothing under this part shall be construed as prohibiting the Controller of Budget from designating an officer who is not a member of the Committee to undertake specified tasks in relation to any function under these Procedures provided that in the performance such tasks, the officer so designated shall be responsible to the Committee 7. Procedure in Submitting Declarations (1) A Public Officer shall submit a declaration in the Form set out in the Schedule to the Act. (2) The Office of the Controller of Budget may use such measures as may be appropriate to facilitate a Public Officer to acquire the form referred to in sub-paragraph (1). (3) The Office of the Controller of Budget may publish the declaration form in a format that may permit the declaration form— 26th June, 2020 THE KENYA GAZETTE 2689 (a) to be rendered in digital format; or (b) to be downloaded from a website and printed out in paper format. (4) Where a Public Officer is required to make an initial, two—year or final declaration, the Controller of Budget may issue a notification to the Public Officer not less than thirty (30) days before the due date for the declaration. (5) Failure to provide a declaration form or to issue a notification under this paragraph shall not be construed as a waiver of the responsibility of the public officer to submit a declaration under the Act. 8. Completion and Submission of Declarations A Public Officer shall complete and submit the declaration form to the Controller of Budget in the form prescribed in the Schedule to the Act. 9. Register of Declarations (1) The Office of the Controller of Budget shall maintain a register containing details of each Public Officer who is required to make a declaration under the Act. The register shall include — (a) name, personal number, designation, directorate, department or unit; (b) date the Public Officer submitted the declaration form; (c) type of declaration (initial, two-year or fmal); (d) total number of Public Officers who have submitted declarations as at the due date; (e) total number of Public Officers required to submit declarations; and U) name and signature of officer receiving the declarations; and (g) any remarks relating to the declarations. (2) The Controller of Budget shall acknowledge each declaration/submissions. (3) A register under this part may be maintained in different documents and formats. PART III—PROCEDURE IN RELATION TO VERIFICATION AND CLARIFICATION 10. Verifications of Declarations 1. The Committee shall analyze, evaluate, inspect and verify each declaration to ascertain if any of the following conditions exist— (a) on the face of the declaration, or in light of any other information the Committee may have, there is reason to suspect the declaration is false or incomplete; (b) the assets of the declarant appear disproportionate to their known income; (c) the income, assets or liabilities of the declarant raise concerns of impropriety or conflict of interest. 11. Requests for Clarification (1) If upon verification under paragraph 10, the Committee is of the opinion that any of the stated conditions exist, the declarant shall be given an opportunity to make clarification in accordance with section 28(1) of the Act. (2) A request for clarification shall be made in the form prescribed in the Appendix 1. (3) The Committee shall, in the register of access to declarations, document the particulars of clarification sought, the mode of communication, the time given to respond, the date and particulars of response, if any. (4) Where no explanation is given, or after considering any explanation the declarant may give, the Committee is of the opinion that the conditions in subparagraph 9 (1) (b) still exist, the Committee may recommend, in addition to any other action including criminal and civil proceedings, disciplinary or other appropriate action against the Public Officer in accordance with the relevant laws, regulations and code of conduct. PART IV—PROCEDURE FOR THE ACCESS, ACQUISITION AND DISCLOSURE OR PUBLICATION OF INFORMATION IN A DECLARATION 12. Access and Publication of Information in a Declaration (1) A person who wishes to access or to publish information in relation to a declaration or clarification under the Act shall— (a) apply to the Controller of Budget in the form set out in Appendix II; (b) demonstrate to the Controller of Budget that the applicant has a legitimate interest in the information; and (c) demonstrate to the Controller of Budget that the access to or publication of that information shall be for a good cause and in furtherance of the objectives of the Act. (2) Where the information is intended to be disclosed or published, the applicant shall expressly state so in the application. (3) Where a person has made an application to the Controller of Budget in accordance with this paragraph the Office of the Controller of Budget shall— (a) issue the applicant with an acknowledgement in the form set out in Appendix III; (b) inform the declarant of the application in writing; (c) give the declarant an opportunity to make a representation in writing in relation to the application within 14 days; and (d) take into consideration the representation by the declarant when determining the application. (4) The Office of the Controller of Budget shall determine an application made in accordance with this paragraph and communicate its decision in writing to the applicant within thirty (30) days of receipt of the application. (5) The Office of the Controller of Budget or any other person shall not disclose, access, acquire or publish the information in the declaration form except as may be provided in the Act, the Regulations, these Procedures, or any other written law. (6) The Office of the Controller of Budget shall not release or part with the original declaration made by any declarant in satisfying the requirements of this paragraph, unless required under any written law. PROVIDED that where an original declaration is released the Office of the Controller of Budget shall always retain a certified copy of the declaration. (7) The Office of the Controller of Budget shall maintain a register of applications for access to declarations and decisions made under this part setting out — (a) the name, of each applicant; (b) the date each application was received; (c) the name and personal number of the declarant subject of the application; (d) the department or other unit to which the declarant belongs; (e) a brief description of the information applied for; (f) whether the declarant accepts or opposes access to the information applied for; (g) a brief description of the decision made in relation to the application including reasons for denial where applicable; and (h) the date when decision was communicated to the applicant. 13. Access by a Declarant (1) The provisions of paragraph 12 shall not apply where the declarant makes an application to access their own declaration. (2) An application by a declarant to access their declaration shall be made to the Controller of Budget. (3) Upon receipt of an application under this paragraph, the Controller of Budget shall avail a certified copy to the declarant within thirty (30) days. (a) The Office of the Controller of Budget shall not give the declarant access to their declaration unless — (i) the declarant proves their identity; or (ii) in the case of a representative of the declarant, that representative provides proof of their authority to act as such. 14. Decisions of the Office of the Controller of Budget on Access The Controller of Budget shall make a decision on an application for access in accordance with the Act, regulations and procedures, which shall be communicated to the applicant. 15. Review (1) The applicant may request for a review of the decision in paragraph 14. (2) Upon receipt of the request to review its decision, the Controller of Budget shall consider the request and make a determination within thirty (30) days. PART V —PROCEDURE IN RELATION TO STORAGE, RETENTION AND RETRIEVAL OF DECLARATIONS 16. Mechanisms for Storage, Retention and Retrieval (1) The Controller of Budget shall ensure that appropriate mechanisms are put in place for the safe and secure storage, retention and easy retrieval of the declarations and clarifications; (2) The mechanisms established under sub-paragraph (1) may include manual, electronic, microfilm or any other form as the Office of the Controller of Budget may consider appropriate. 17. Cessation of Retention of Information (I) Where the period for retaining information obtained in accordance with Part IV of the Act has lapsed, the Committee shall determine the action to be taken in relation to that information. (2) The Committee may make a written proposal to the Controller of Budget in relation to the action to be taken in accordance with sub- paragraph (1). 18. Returns to Ethics and Anti-Corruption Commission (1) Pursuant to sections 4 (2) and 6 (3) of the Leadership and Integrity Act, 2012 the Office of the Controller of Budget shall submit to the Ethics and Anti-Corruption Commission, by the 31st July following the submission of two-year declarations, the following information — (a) the number of public officers in the payroll as at 31st October of the declaration year; (b) the total number of public officers who have submitted declarations within the prescribed time; (c) the total number of public officers who have failed to submit declarations within the prescribed time; (d) any action taken by the Office of the Controller of Budget in relation to any public officer who has failed to comply with the Act, the regulations and/or these procedures; (e) number of declarations verified; (f) findings in respect to the verification of declarations; (g) any action taken pursuant to the verification of the declaration; and (h) any relevant remarks relating to the returns. (2) In the case of initial and final declarations, the Office of the Controller of Budget shall, by 31st of July each year, submit to the EACC the information required in subparagraph (1) in respect to the financial year ending on 30th June of the preceding year. (3) The report under this part shall be in the form prescribed in Appendix IV. PART VI — GENERAL PROVISIONS 19. Matters not covered by these Procedures The Office of the Controller of Budget may, subject to the Act, Regulations and these procedures, issue guidelines in writing in relation to any matter that has not been provided for in these procedures. 20. Representations to the Office of the Controller of Budget The Office of the Controller of Budget may consider representations from any person on any matter to which these Procedures apply. 21. Review and Amendment of these Procedures The Office of the Controller of Budget may from time to time review and/or amend these Procedures as may be necessary. CONTROLLER OF BUDGET OFFICE OF THE CONTROLLER OF BUDGET APPENDIX I REQUEST FOR CLARIFICATION Date: To: SUBJECT: REQUEST FOR CLARIFICATION ON FINANCIAL DECLARATION Please refer to your (Insert every two-year or initial or final declaration as the case may be) dated (insert date of the declaration) which has been received in this office. Discrepancies or inconsistencies have been noted in the declaration as follows: (a) (b) c)etc. (Set out particulars of the discrepancies or inconsistencies that may have been noted as appropriate). In view of the above discrepancies or inconsistencies, you are hereby requested to submit your written clarifications so as to reach the undersigned within twenty one (21) days) from the date of this letter. (signature) Controller of Budget APPENDIX II REQUEST TO ACCESS A DECLARATION OR CLARIFICATION Note: A separate form to be completed in respect of a request for information for each declarant. Part I: Information on Applicant 1. Name 2. National Identity Card/Passport Number 3. Postal Address 4. Physical Address 5. E-mail Address 6. Occupation Part II: Particulars of Information Applied for (a) Nature of Information (please tick ) 1. Declaration ( ) 2. Clarification ( ) 3 Declaration and Clarification ( ) (b) Declaration period Part III: Information on the Person whose declaration is sought to be obtained: 26th June, 2020 THE KENYA GAZETTE (a) Name (b) Directorate/Department (if known) (c) Work Station (d) Reason for requiring the information: (e) Official (f) Other reason (e) State precisely the purpose for which the declaration sought will be used Part IV: Additional Information Give any other information you may consider relevant and useful to your request Part V: Declaration by Applicant I, solemnly declare that the information I have given above is true, complete and correct to the best of my knowledge. Date: Signature of Applicant APPENDIX III ACKNOWLEDGEMENT OF REQUEST FOR ACCESS FOR A DECLARATION OR CLARIFICATION Name of Applicant National Identity Card/Passport Number Name of Organization (where applicable) Postal Address Date of Application Delivered by Signature A response to this request will be communicated within thirty (30) days from the date of this acknowledgement. Name of Receiving Officer • Signature Date Stamp: APPENDIX IV REPORTING TEMPLATE ON THE SUBMISSION OF DECLARATION OF INCOME, ASSETS AND LIABILITIES (NB: Use separate forms for public officers and for state officers) Name of Entity: Date of Submission: Declaration Year: NUMBER OF OFFICERS WITHIN JURISDICTION (Ddifferentiate for both State and Public Officers): Number of Officers who Submitted Returns: Number of Officers who did not submit Returns: LIST OF OFFICERS WHO DID NOT SUBMIT DECLARATION OF INCOME, ASSETS AND LIABILITIES (DIALS) No. Full Name Designation/Position Staff/File No. National Identity Card or Passport Number Action taken/ Remarks 2 4 Compiled by: Designation. Date. Authorized by Date. Accounting Officer/CEO Official Rubber stamp (Completed form to be submitted to EACC) APPENDIX VI REPORTING TEMPLATE ON THE VERFICATION OF DECLARATION OF INCOME, ASSETS AND LIABILITIES (NB: Use separate forms for public officers and for state officers) Name of Entity: Declaration Year: Number of Declarations Verified (Differentiate for both State and . Public Officers): Number of Declarations not Verified: RETURNS OF VERIFICIATION OF DECLARATION OF INCOME, ASSETS AND LIABILITIES (DIALS) THAT ARE INCOMPLETE, INCONSISTENT AND FALSIFIED No. Full Name Designation /Position Staff/File File No. National Card or Passport No. Status of Declaration Action taken/ Remarks 2 4 Compiled by: Designation. Date. Authorized by. Date. Accounting Officer/CEO Official Rubber stamp (Completed form to be submitted to EACC) MR/0781635