3

RD
EDITION
2013/2014















GUIDELINES FOR IMPLEMENTING
PUBLIC COMPLAINTS INDICATOR
IN THE PERFORMANCE CONTRACT




























PERFOMANCE CONTRACTING GUIDELINES
[3
RD
EDITION] | [2013 - 2014]
Commission on Administrative J ustice Page 1





1. PREFACE




1.1 ESTABLISHMENT OF THE COMMISSION ON ADMINISTRATIVE JUSTICE

The Commission on Administrative J ustice (CAJ ) was established as a
successor Commission to the Kenya National Human Rights and Equality
Commission (KNHREC) in consonant with Article 59 (4) of the Constitution
of Kenya and the former Public Complaints Standing Committee (PCSC)
through the Commission on Administrative J ustice Act, 2011.


The Commission is mandated to enforce administrative justice in the
public sector by addressing maladministration through effective
complaints handling and alternative dispute resolution; promoting good
governance and efficient public service delivery by enforcing the right to
fair administrative action; and by investigating abuse of power, manifest
injustice and unlawful, oppressive, unfair or unresponsive official conduct.
In addition, the Commission has a constitutional mandate to safeguard
public interest by promoting constitutionalism, securing the observance
of democratic values and principles and protecting the sovereignty of
the people of Kenya.


Also, the Commission performs an oversight role across the public sector
acting as a check on processes, systems and procedures involved in
service-delivery. It plays a critical role in the process of implementing
performance contract in the public service. It does this by monitoring an
indicator, resolution of public complaints, and receives quarterly
performance reports from all government agencies. In turn, the
Commission issues a certificate to public institutions that have complied
fully with its requirement to address public complaints.


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1.2 VISION

To be an effective overseer of responsiveness and servant-hood in public
offices at national and county levels


1.3 MISSION

To enforce administrative justice and promote constitutional values by
addressing maladministration through effective complaints handling and
dispute resolution


1.4 FUNCTIONS

Some of the functions of the Commission as provided for in Section 8 of
the CAJ Act, 2011 include:


(a) Investigate any conduct in state affairs, or any act or omission in
public administration by any State organ, State or public officer in
National and County Governments that is alleged or suspected to
be prejudicial or improper or is likely to result in any impropriety or
prejudice;
(b) Investigate complaints of abuse of power, unfair treatment,
manifest injustice or unlawful, oppressive, unfair or unresponsive
official conduct within the public sector;
(c) Report to the National Assembly bi-annually on the complaints
investigated under paragraphs (a) and (b), and the remedial
action taken thereon;
(d) Inquire into allegations of maladministration, delay, administrative
injustice, discourtesy, incompetence, misbehaviour, inefficiency or
ineptitude within the public service;
(e) Facilitate the setting up of , and build complaint handling capacity
in the sector of public service, public offices and state organs;


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(f) Work with different public institutions to promote alternative dispute
resolution methods in the resolution of complaints relating to public
administration;
(g) Recommend compensation or other appropriate remedies against
persons or bodies to which this Act applies;
(h) Provide advisory opinions or proposals on improvement of public
administration, including review of legislation, codes of conduct,
processes and procedures;
(i) Promote public awareness of policies and administrative
procedures on matters relating to administrative justice;


2. PURPOSE

The resolution of public complaints guidelines are issued to provide
guidance in the process of implementing the indicator, resolution of public
complaints in the performance contracts of public institutions.


3. SCOPE

These guidelines apply to all public institutions that have signed
performance contracts. Nonetheless nothing stops a public institution that
has not signed a performance contract from adopting them.


4. DEFINITIONS

4.1 Complaint: A complaint means an oral, written or any other
communication made or addressed to either the Commission or a
public institution or taken up by the Commission or a public institution
against a public officer or public institution.


4.2 Complainant: A person or institution alleging breach of any
matter under the mandate of a public institution.


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4.3 Administrative Action: means any action relating to matters of
administration and includes:-
A decision made or an act carried out in the public service

A failure to act in discharge of a public duty required of an officer
in public service
The making of a recommendation to a cabinet secretary; or

An a c tion ta ken pursua nt to a rec ommend a tion ma de
to a cabinet secretary.


4.4 Public Institution: For the purpose of these guidelines, a public
institution means an institution that has signed a performance
contract that includes service delivery within the performance
criteria.


4.5 Resolved: This is a situation whereby an institution has provided
sufficient information, a remedy or a solution, to the satisfaction of
the complainant, or where the complainant remains dissatisfied, but
to the satisfaction of the Commission.


4.6 On-going: This is a situation whereby a complaint resolution
process has commenced but has not been finalised.


4.7 New: This is a situation whereby a complaint has been received
less than two weeks to the reporting period and no action has
been initiated on it.


4.8 Complaint issue: This is the subject issue of the complaint e.g., delay,
inefficiency, abuse of office among others.


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4.9 Complaints Handling Procedures: This refers to the steps a complaint
goes through in an institution from receipt to the day it is actually
resolved.


5. INDICATOR MONITORING AND REPORTING

5.1 Submission of Quarterly Reports: All public institutio ns und e r
performance contract are required to submit quarterly report on the
indicator to the Commission within one month after the end of the
quarter.
5.2 Mode of reporting: Reports shall be submitted only via e-mail in pdf
format. The commission shall not admit reports submitted through
any other mode. The dedicated e-mail for submission is
certificationpc@ombudsman.go.ke.


5.3 Reporting period: By the end of the month following the end of a
quarter.


5.4 Delayed submission of reports: A report submitted beyond the due
date shall not be admissible.


5.5 Reporting format: All reports must be submitted in the Commissions
provided templates in these guidelines. Any institution that makes a
submission other than in the format provided for in these guidelines
will be deemed non-compliant and therefore attract a score of
zero.


5.6 Feedback: The commission shall provide feedback on the reports
submitted within fourteen (14) days upon receipt.


5.7 Nil Return: In the event a public institution submits a report with a nil
return on complaints received, the commission may conduct an


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audit to verify the correctness of the content of the report before
issuing a compliance certificate.


5.8 Compliance certificate: The Commission shall issue compliance
certificate at the end of the financial year to public institutions that
have fully complied with the commissions requirement.


5.9 Duration to resolve complaints: A complaint should be resolved within
twenty one (21) days from the date of receipt.


6. INDICATOR EVALUATION

6.1 Evaluation Criteria: Public institutions will be evaluated on the indicator,
resolution of complaints, on the basis of four (4) quarterly reports submitted
within the stipulated time frame and in the f o rma t p ro v i d e d i n
t he se guidelines. The evaluation indicators for public institutions are as
follows:-
I. Establishment of complaints-handling and management
infrastructure and submitting information on the same to the
commission in the prescribed format;
II. Report on capacity development on effective complaints
management for complaints handling officers and staff;
III. Report on creation of awareness on the complaints handling system
and citizen service delivery charters;
IV. Acknowledgement of complaints received;

V. Actual resolution of complaints received and reported in the
prescribed format.


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6.2 Computation of scores: An institution will be scored as follows:-

a. Quarter one (1):
S/No. ITEM SCORE
1. Submission of a report on establishment of complaints
handling infrastructure mechanism as provided for in
these guidelines
20%
2. Submission of a report on creation of awareness on the
institutions complaints handling system and citizen
service delivery charters
15%
3. Acknowledgement of complaints received 5%
4. Actual resolution of complaints received and reported
in the prescribed format
60%

TOTAL 100%


b. Quarters two (2) and three (3):
S/No. ITEM SCORE
1. Submission of a report on creation of awareness on the
institutions complaints handling system and citizen
service delivery charters
15%
2. Acknowledgement of complaints received 5%
3. Actual resolution of complaints received and reported
in the prescribed format
80%
TOTAL 100%

c. Quarter four (4):
S/No. ITEM SCORE
1. Submission of a report on creation of awareness on the
institution complaints handling system and citizen
service delivery charters
10%
2. Submission of a report on capacity development on
effective complaints management for complaints
handling officers and staff
15%
3. Acknowledgement of complaints received 5%
4. Actual resolution of complaints received and reported
in the prescribed format
70%
TOTAL 100%


Note: Complaints lodged directly to the institution and the ones forwarded
from the commission will now attract an equal score. The overall grading of an
institution will be arrived by summing the quarterly scores and calculating the
average score.







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7. ACTIVITIES
7.1 Public institutions are required to resolve all public complaints received
during the contracting period. To this end, it is nec essa ry to carry
out the following activities:
(i) Establishment of complaints handling and management infrastructure
and submitting information on the same to the Commission in the
prescribed format in Quarter 1 only;
(ii) Development of complaints-handling procedures;

(iii) Development and implementation of service delivery charters;

(iv) Conducting capacity building for complaints-handling officers and staff;

(v) Actual resolution of complaints received and submitting quarterly report
on the nature and number of and action taken in the prescribed format;
(vi) Creation of awareness on the existence of its complaints handling system
by using all the possible communication channels while at the same time
ensuring that their service delivery charter has provisions for redress
mechanism at internal and external levels.


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ANNEXES:

Table I
Name of Public Institution:
Financial Yr: Quarter Ending

Complaints handling and management infrastructure


Indicators Details of

Implementation
Marks
1 Physical location: Provide the postal address and physical location (building name,
office/ room number and street)

2.0
2 Provide names of at least two (preferably at senior level) that are in-charge of
complaint-desk.

2.0
3 Communication channels: Provide:
Complaint desk e-mail/s e.g. complaints@ministry.go.ke

2.0
Dedicated telephone line(s)

1.0
E-mail addresses of the institution

1.0
Institutions website

1.0
E-mail address of the Accounting officer

1.0
4 Institutions resolved service delivery charter (Submit separately)

5.0
5 Institutions complaints handling procedures (Submit separately)

5.0
6 Complaints Register (for institutional use only and not for submission to CAJ)


Sub-Total

20.0


No Date Received Name Complaint issue Date Acknowledged Action taken Status

Resolved On-going New




Total


PERFOMANCECONTRACTINGGUIDELINES
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Table II


QUARTERLY COMPLAINTS REPORTING TEMPLATE

Name of Institution: Quarter Ending...

Complaints received from the Commission on Administrative Justice







`

Complaints lodged directly with the institution
No Date Received Name Complaint issue Date Acknowledged Action taken Status

Resolved On-going New



Total


Pending complaints from the previous reporting period
No Pending From (Direct/CAJ) Date
Received
Name Complaint issue Action taken
Resolved
On-going





The Report should be accompanied by a brief narrative on pending complaints from the previous reporting period, causes of non-performance,
emerging issues and challenges experienced during the period under review.



NAME: _
DESIGNATION:
ORGANISATION:
SIGNATURE & DATE:


PERFOMANCECONTRACTINGGUIDELINES
[3
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EDITION] | [2013 - 2014]











THE CHAIRMAN
COMMISSION ON ADMINISTRATIVE J USTICE
OFFICE OF THE DEPUTY PRESIDENT BUILDING, 6
TH
FLOOR
HARAMBEE AVENUE,
PO BOX 20414- 00200 NAIROBI
TEL: +254020 2270000
EMAIL: certificationpc@ombudsman.go.ke
WEB: www.ombudsman.go.ke






























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