Job Description
JOB DESCRIPTION FOR THE POSITION OF COMPLIANCE
OFFICER-REF PPRA /CO- /6/2023
Job Title Compliance Officer
Grade PPRA 6
Corporation/Organization Public Procurement Regulatory Authority
Location / Work Station Headquarters (Nairobi) & or in a Regional Office
Reporting Relationships
Reports to Principal Compliance Officer
Direct Reports N/A
Indirect Reports
Job Purpose
Conduct routine task and provide operational support in delivery of the core
mandate of the Authority in the areas of Licensing & Standards, Compliance
Monitoring, Complaints & Investigations, ARB Secretariat services and Debarment
Secretariat services at the Headquarters and the Regional Offices.
Key Responsibilities/ Duties / Tasks
I. Managerial Responsibilities
1. Follow up on implementation of orders and directives to procuring entities and
contractors on public procurement and asset disposal;
2. Participate in performance and development process to encourage staff
contribution and goal setting, feedback, and performance development
planning;
3. Provide input in the development and implementation of policy documents,
manuals, and guidelines;
4. Coach, mentor, and develop staff, including overseeing new staff and provide
career development planning;
5. Support the development and implementation of good governance and risk
management practices within the department to ensure effective and efficient
service delivery;
6. Implement the adoption of information & communication technology systems
within the respective departments to ensure efficient service delivery;
7. Develop individual works, monitor own performance for effective delivery of the
assigned duties.
8. Participate on matters Public Procurement and Assets in various local and
international forums;
9. Ensure that equipment and tools issued to the department are efficiently used;
10. Contribute in the preparation and implementation of departmental budget work
plans, procurement and asset disposal plans and activity schedules.
II. Operational Responsibilities / Tasks
Registration and Licensing
1. Implement organization policies, strategies, guidelines and manuals on
registration and licensing of procuring agents;
2. Implement work plans and undertake continuous monitoring to prepare
performance reports.
3. Collect, collate and maintain data and information on registration and licensing
of procuring and asset disposal agents.
4. Monitor licensed public procurement and asset disposal agents and prepare
reports on compliance reports with the terms and conditions of the license.
5. Monitor compliance with the code of ethics for procuring and asset disposal
agents.
6. Prepare reports on mainstreaming of risk management policies and strategies
and quality management system requirements.
7. Develop individual works, monitor own performance for effective delivery of the
assigned duties.
8. Attend meetings and other technical committees, forums, task teams, task
forces on registration and licensing of procuring and asset disposal agents.
9. Share relevant budget management and experience on licensing of procuring
and asset disposal agents with staff of the Department.
10. Prepare reports on licensing of procuring and asset disposal agents and submit
to the supervisor.
11. Contribute in the preparation of work-plans, budgets and procurement plans
for the Department.
Capacity Building and Proficiency
1. Implement organizational policies, strategies and manuals on capacity
building, proficiency and technical support.
2. Train and equip persons involved in public procurement and asset disposal
system with requisite budget and skills to better undertake their functions.
3. Participate in the assessment of capacity building and technical support needs
for informed and targeted intervention.
4. Maintain capacity building and technical support programmes, proficiency
courses, modules and learning platforms including those involving information
technology.
5. Develop templates for post-training follow-ups and evaluation.
6. Contribute in the development of guidelines for preparation reports on capacity
building and technical support programmes.
7. Maintain high ethical standards and discipline.
8. Attend meetings and other technical committees, task teams, task forces on
capacity building and proficiency matters.
9. Identify capacity-building needs and participate in developing and
implementing capacity building programs for person involved public
procurement and asset disposal.
Ethics, Standards and Advisory Services
1. Implement the organization policies, strategies, guidelines and manuals on
ethics, advisory services and standards development.
2. Prepare responses to requests for advice by stakeholders on public
procurement and asset disposal issues.
3. Collect, collate and maintain data and information on advisories issued to
stakeholders and prepare reports with practical recommendations.
4. Contribute in the development of the public procurement and asset disposal
standard documents, guidelines, formats and templates, circulars and
directives.
5. Collect, collate and consolidate information on the implementation of the
public procurement and asset disposal standards, guidelines, formats,
templates, circulars and directives issued.
6. Monitor compliance with the code of ethics for persons involved in public
procurement and asset disposal system in Kenya and prepare reports.
7. Develop individual works, monitor own performance for effective delivery of
the assigned duties.
8. Attend meetings and other technical committees, forums, task teams, task
forces on ethics standards and advisory services.
9. Prepare reports on ethics, standards and advisory services and submit to the
supervisor.
10. Contribute in the preparation of work-plans, budgets and procurement plans
for the Department.
11. Identify capacity building needs and participate in developing and
implementing capacity building programs for person involved public
procurement and asset disposal.
Pre-Bid Compliance
1. Review and analyze procurement plans published by procuring entities in the
Portal for compliance with public procurement law
2. Review published invitations to bid and associated Tender Documents for
compliance with the public procurement law.
3. Conduct procurement risk assessment and profiling of procuring entities using
information from procurement plans received
4. Prepare draft correspondence to procuring entities whose Procurement plans,
invitations to bid and tender documents do not comply with legal requirements
5. Collate and analyze data on status of compliance with legal requirements for
pre-bid processes by procuring entities
6. Prepare reports on pre-bid compliance monitoring activities
7. Implement good governance, quality and risk management policies and
strategies of the Authority;
8. Identify capacity building needs and participate in developing and implementing
capacity building programs for person involved public procurement and asset
disposal.
Procurement Contracts and Disposal Compliance
11. Collate and analyze data from the Authority’s technical departments to assist
in the identification of the Procuring Entities to be considered for the
compliance monitoring;
12. Carry out procurement risk assessment of procuring entities based on
procurement and asset disposal data to inform annual compliance monitoring
plan;
13. Review and analyze reports on contract awards submitted to the Authority /
published in the Public Procurement Information Portal by procuring entities
for compliance with the procurement law;
14. Gather relevant information (from Public Procurement Regulatory Authority
and Public Procurement Review Board, Public Procurement Information Portal,
E-procurement) about procurement and asset disposal processes
15. Assemble relevant documents, templates, tools and equipment for use during
compliance monitoring exercise,
16. Conduct procurement reviews and assessments in small public entities;
17. Prepare compliance monitoring reports (procurement assessment and followup assessment) reports;
18. Analyze procurement and contract award reports submitted to the Authority
and identity any non-compliance with the procurement law;
19. Initiate follow up actions to ensure compliance with recommendations and
directive issued by the Authority to procuring entities
20. Develop and implement capacity building programs form person involved in
public procurement to address non-compliance issues
21. Identify red flags of procurement malpractices and fraud and provision of
information to law enforcement agencies
22. Collate and maintain compliance data and records on procurement and
disposal matters
23. Implement good governance, quality and risk management policies and
strategies of the Authority;
24. Identify capacity building needs and participate in developing and
implementing capacity building programs for person involved public
procurement and asset disposal.
Contracts and Performance Compliance
1. Collate and analyze contract data from the Public Procurement Portal to assist
in the identification of the Procuring Entities and contracts to be considered
for the compliance monitoring;
2. Carry out procurement risk assessment of procuring entities to inform annual
compliance monitoring plan Gather relevant information about the procuring
entities and contracts to be monitored;
3. Gather relevant information about the procuring entities and contracts to be
monitored;
4. Assemble relevant documents, templates, tools and equipment for use during
compliance monitoring exercise;
5. Conduct compliance review and analysis of prioritized contracts during
implementation;
6. Conduct value for money audit of prioritized contracts after implementation
7. Identify red flags of procurement/contract malpractices/frauds and provision
of information to law enforcement agencies;
8. Prepare draft compliance monitoring reports (procurement assessment and
follow-up assessment) reports;
9. Conduct follow up actions to ensure compliance with recommendations and
directive issued by on implementation of procurement contracts;
10. Develop and implement capacity building programs form person involved in
public procurement to address non-compliance issues;
11. Collate and maintain compliance data and records on contract
implementation and performance;
12. Implement good governance, quality and risk management policies and
strategies of the Authority;
13. Identify capacity building needs and participate in developing and
implementing capacity building programs for person involved public
procurement and asset disposal.
Specialized Audits
1. Collate and analyze data from the Public Procurement Portal, The National
Treasury and security organs and other government agencies on procurement
contacts to be subjected to specialized audits;
2. Conduct procurement risk assessment of classified procurements by security
agencies and specially permitted procurement proceedings;
3. Maintain database of specialized procurement audits / classified procurement
audits;
4. Assemble relevant documents, templates, tools and equipment for use during
compliance monitoring exercise;
5. Carry out special /classified procurement audits;
6. Identify red flags of procurement malpractices/frauds and providing relevant
information to law enforcement agencies;
7. Prepare classified and special audits reports;
8. Conduct follow up on implementation of recommendations and directive issued
by the Authority from previous classified or special audits;
9. Collate compliance data and records on classified and special procurement
contracts;
10. Implement good governance, quality and risk management policies and
strategies of the Authority in specialized audit activities;
11. Identify capacity building needs in procuring entities where special audits
were conducted and make recommendations for development and
implementation of relevant training program.
Debarment Secretariat
1. Process requests for debarment;
2. Analyze and examine the evidence presented for debarment;
3. Collect and collate data for recording and updating for the debarment cases;
4. Prepare draft reports regarding debarment cases;
5. Make follow-ups with procuring entities to respond to correspondences
regarding debarment proceedings;
6. Obtain information from registrar of companies on the names of the directors
and partners to the firms proposed for debarment and affiliate firms where
directors and firms have a controlling interest;
7. Conduct investigations to affirm grounds for debarment;
8. Draft reports for submission to the debarment committee for consideration;
9. Prepare draft lists of questions and necessary points for clarifications during
debarment hearing;
10. Prepare reports on debarment findings and determination;
11. Prepare list of debarred firms and persons for publication on PPRA website.
12. Participate in the development and implementation of relevant capacity
building programs for persons involved in debarment proceedings;
Complaints Management
1. Analyze complaints and draft letters to procuring entities seeking for
information and procurement documents for review;
2. Review procurement documents and records to verify allegations made by
complainants and providing recommendations and best possible resolutions
based on fact;
3. Identify any red flags of procurement fraud and breaches of the public
procurement law and recommending actions to resolve the complaint;
4. File and update data on the complaints management system/database;
5. Provide professional advice to complainants who seek the services of the
Authority on public procurement matters;
6. Prepare periodic reports on procurement investigations conducted;
7. Implement good governance, quality and risk management policies and
strategies of the Authority;
8. Identify capacity building needs in procuring entities and make
recommendations for development and implementation of relevant training
program;
Investigations
1. Draft correspondence to procuring entities, bidders and suppliers regarding
investigations;
2. Conduct procurement investigations in public entities when appointed by the
Director General;
3. Draft investigation reports and forwarding to Senior Compliance Officer for
review;
4. Identify any of procurement fraud and violations of the public procurement
law;
5. File and update data on procuring entities and contracts investigated;
6. Prepare periodic reports on procurement investigations conducted;
7. Implement good governance, quality and risk management policies and
strategies of the Authority;
8. Identify capacity building needs in procuring entities and make
recommendations for development and implementation of relevant training
program
Review Board Secretariat
1. Prepare and collate of information for departmental reports;
2. Receipt requests for review, open files and do other preliminaries;
3. Research on the specific violation/breaches of the law in relation to request
for reviews;
4. Assist in the development of Rules of procedure and guidelines for the Board;
5. Assess fee payable and statutory deposits for tendering and asset disposal
appeals;
6. Compile statistical analysis of request for Reviews handled and activities
undertaken by the Board;
7. Carry out periodic review of common breaches/violation of the Act to assist in
policy review and capacity building;
8. Provide technical support to the Review Board on information on public
procurement and asset disposal policies and strategies;
9. Prepare periodic performance reports of the Review Board and secretariat;
10. Research and maintain track of Review Board decisions;
11. Assist in the development and management of the Review Board Case
Management System;
12. Review facts of Request for Review and ensure all relevant information
pertinent to assigned cases is provided for consideration, by the Review Board;
13. Prepare risk matrix and mitigation measures and maintain Board member’s
disclosure of interest register;
14. Follow up withdrawals of requests for review and ensure that all parties
prepare and execute deed of consent;
15. Work with experts assisting the Review Board when engaged;
16. Dispatch notifications and related documents to Review Board panels and all
concerned parties;
17. Receive attendance confirmations from the concerned parties;
18. Prepare documents for Review Board remunerative allowances and
emoluments;
19. Maintain a record of cases heard and determined by the Review Board;
20. Dispatch review Board decisions to concerned parties and post them in the
website;
21. Maintain and update a database of judicial review cases;
22. Monitor progress and status of judicial review cases at the Court;
23. Participates in the development of the departmental procurement plan and
budget; and
24. Identify capacity building needs in procuring entities and make
recommendations for development and implementation of relevant training
program.
Job Dimensions:
I. Financial Responsibility
1. Prepare draft budget and Procurement and asset disposal plan;
2. Implement budget and Procurement and asset disposal plan;
3. Prepare departmental expenditure requests;
4. Prepare departmental resource mobilization strategies.
II. Responsibility for Physical Assets
1. Office Equipment (Computers, printers, scanners, copiers);
2. Office tools;
3. Office furniture and fittings.
III. Decision Making / Job Influence
1. Analytical
2. Tactical
3. Operational
IV. Working Conditions
1. Predominantly works in office setting at the headquarters with occasional
international and local travels;
2. Deals with sensitive and risky matters;
3. Operates with legislated timelines and strict deadlines resulting to long working
hours.
Job Competencies (Knowledge, Experience and Attributes / Skills).
Academic qualifications
Bachelor’s degree in any of the following disciplines; Procurement and Supply
Chain Management, Applied Sciences, Biological Sciences, Physical Sciences,
Social Sciences, Business Studies, Law or any other relevant qualification from a
recognized institution.
Professional Qualifications / Membership to professional bodies
Member of a relevant professional body in good standing.
Previous relevant work experience required.
N/A
Functional Skills, Behavioral Competencies/Attributes:
1. Analytical
2. Negotiation
3. Communication
4. Leadership
5. Ethics and Integrity
6. Interpersonal skills
7. Report writing skills
8. People Management skills
9. Planning and Organizational
10.Proficiency in computer applications.
Remuneration Package
• Gross Pay-Ksh 127,000- 204,000 Per Month
• 30 leave days per year
• Leave traveling allowance @ I/3 (third) of the basic salary up to a maximum
of Ksh 50,000.
• A contributory pension scheme where the Employer contributes 20% and
employee contributes 10% of the basic salary per month.
• Medical cover both in and out patient for self-one spouse and up to four
children. Current annual limits are Out patient Ksh 300,000 and In-patient
Ksh 4,000,000
• Group life cover at basic salary for 60 months.
• Work Injury Benefit Cover and Group personal Accident Cover