CHAPTER 245
EXECUTIVE AGENCIES ACT
[SUBSIDIARY LEGISLATION]
INDEX TO SUBSIDIARY LEGISLATION
ORDERS
(Section 3)
[26th March, 1999]
G.Ns. Nos.
135 of 1999
94 of 2000
1. Citation
This Order may be cited as the Executive Agencies (Tanzania Civil Aviation Authority) (Establishment) Order.
2. Establishment of the TCAA
(1) There is established the Tanzania Civil Aviation Authority as an Executive Agency in relation to the Department of Civil Aviation provided for under the Civil Aviation Act *.
(2) The Tanzania Civil Aviation Authority shall have a logo in the manner and style indicated in paragraph 2.4 of the Framework document provided for under the Schedule to this Order.
3. TCAA Framework Document Scheme
The function, aims, objective, authority, performance standards and other matters relating to the Civil Aviation Authority shall be as specified in the Framework Document set out in the Schedule to this Order.
SCHEDULE
(Paragraph 3)
UNITED REPUBLIC OF TANZANIA MINISTRY OF COMMUNICATIONS AND TRANSPORT
THE TANZANIA CIVIL AVIATION AUTHORITY (TCAA)
FRAMEWORK DOCUMENTS
TABLE OF CONTENTS
1. Introduction
The Directorate of Civil Aviation was formed in 1977 as a department of the Government responsible for the implementation of civil aviation policy through the development and enforcement of regulations, procedures and programmes essential for the maintenance of safety and efficiency in civil aviation services, which are necessary for the safe and efficient conduct of flight operations.
The Directorate of Civil Aviation has now become an Executive Agency and has a new title "Tanzania Civil Aviation Authority" (TCAA). This document describes the framework within which the TCAA will operate as an Agency. It also sets out the responsibilities of those involved.
The responsible Minister is the Minister for Communication and Transport. The head of TCAA will be the Director-General who will be responsible for the operation of the Agency and exercise statutory powers as vested in him under the following primary and subsidiary legislation.
The Executive Agencies Act (Cap. 245).
The Civil Aviation Act (Cap. 80).
The Transfer and Delegation of Powers Act (Cap. 362).
The Tanzania Licensing of Air Service Regulations, 1985 (G.N. No. 463 of 1986).
The Tanzania Air Navigation Regulations (G.N. No. 170 of 1983).
The Civil Aviation (Charges for Air Navigation Services) Regulations, 1985 (G.N. No. 461 of 1986).
The Aerodrome (Licensing and Control) Act (Cap. 92).
The Aerodrome Control Regulations (G.N. No. 71 of 1981).
The Aerodrome Licensing Regulations (G.N. No. 125 of 1983).
The Aerodrome (Landing and Parking Fees) Regulations (G.N. No. 57 of 1984).
The Civil Aviation (Investigation of Accidents) Regulations (G.N. No. 171 of 1983).
The Executive Agencies (Personnel Management) Regulations (G.N. No. 75 of 1999).
The Executive Agencies (Conciliation and Arbitration) Regulations (G.N. No. 76 of 1999).
The Executive Agencies (Finance, Procurement and Stores) Regulations (G.N. No. 77 of 1999).
The Executive Agencies (Ministerial Advisory Board) Rules (G.N. No. 74 of 1999).
Other notified publications e.g. Aeronautical Information Publication, Aeronautical Information Circulars, NOTAM, etc.
As it is launched as an Agency, the TCAA employs some 470 staff throughout the country and in the financial year 1997/1998 had a gross budget of 3.0 bn. T.Shs.
2. Status and governance
2.1 Status
With effect from the 26th day of March, 1999, the Order establishing the Tanzania Civil Aviation Authority as an Executive Agency of the Ministry of Communications and Transport in accordance with the Executive Agencies Act * came into force. It replaces the Directorate of Civil Aviation.
The Tanzania Civil Aviation Authority has been established to achieve the following objectives:
• Improve the quality and value for money of the delivery of public service;
• Generate an environment conducive to efficient and effective management;
• Promote the potential for the continuous improvement of its services.
2.2 Governance
Tanzania Civil Aviation Authority will be managed by a Director-General appointed by the Minister of Communications and Transport for a term not exceeding 5 years. The Permanent Secretary will be responsible for policy and the strategic management of the TCAA. The Permanent Secretary will oversee the interests of the ministry and the government in general. The Advisory functions of the Civil Aviation Board will be transferred to the Ministerial Advisory Board (MAB), while the Executive functions of licensing of air services will be performed by the Director-General.
2.3 Organisation
The Director-General may make changes to the Organizational structure of TCAA as may be considered necessary to maintain and improve the efficiency and overall performance of the agency within the policy and resources from work set by the Permanent Secretary, and within the delegations outlined in the framework Document or as may be approved subsequently.
At the time of launch, the Director-General will be assisted by Directors and support managers as outlined in the TCAA organogram below. The number and responsibilities of Directors may be reviewed periodically according to the business needs of the Agency. Together with the Director-General, the Directors, who will be appointed by the Director-General, will constitute Senior Management Team of the Agency.
ORGANISATIONAL STRUCTURE
2.4 Logo
This shall be the logo of the Tanzania Civil Aviation Authority whose impression shall be as shown hereunder:
3. Aim, role, objectives and performance criteria
3.1 Aim
The aim of the TCAA shall be:
To ensure safety and promote efficiency in the air transport system by performing effective regulatory functions and providing efficient, economic and technically up-to-date services to the highest applicable standards, and thus contribute to socio-economic development of the nation.
3.2 Role
The Role of the TCAA shall be:
(a) to give effect to the Chicago Convention and other International agreements relating to civil aviation;
(b) to provide for the control, regulation and orderly development of civil aviation;
(c) to implement the national civil aviation policy.
3.3 Objectives
In pursuit of the aim for which it have been established, the TCAA is assigned to achieve the following objectives:
(a) maintenance of an orderly air transport system in Tanzania;
(b) provision of a safe, orderly and expeditious air traffic control service;
(c) the maintenance of approved technical standards of aircraft;
(d) operation of aviation infrastructure;
(e) overseeing the competence of aeronautical personnel;
(f) ensurance of the integrity of the systems, equipment and facilities of the Agency;
(g) sustainability of services maintained by operating in a prudent and business like manner, adapting continuous improvement and quality management policies;
(h) production of accurate, timely, comprehensive and relevant air transport information for planning and decision making purposes.
3.4 Performance criteria
The Ministerial Advisory Board will regularly assess the performance of the TCAA. Assessments will be on the basis of Quarterly Performance Reports submitted by the Director-General to the Permanent Secretary and in that regard, particular attention will be paid to the following areas:
3.4.1 Quality of service
• development of standards equal to or higher than ICAO standards and recommended practices;
• promoting and ensuring prescribed standards are maintained;
• in-house audit in the improvement of service and effective feedback system;
• achievement and maintenance of the service reliability standards of ICAO;
• maintenance of the ICAO minimum aircraft separation standards;
• reduction of the number of aircraft incidents;
• reduction in the number of infringements, of ICAO standards;
• timeliness, accuracy and comprehensiveness of information (as assessed through feedback from recipients).
3.4.2 Operational efficiency
• prompt preparation and billing of charges due;
• use of best internal procedures for the issue of licences and certificates;
• effective application of management information system in all sectors of the Authority to raise productivity levels;
• improvement in the ratio of cost to revenue.
3.4.3 Financial performance
• prompt collection of all revenue;
• timely and accurate production of financial reports;
• clean report from Auditors;
• effectiveness and transparency of the procurement and stock control systems.
4. Responsibilities
4.1 The Role of the Minister
The Minister of Communications and Transport is ultimately responsible for determining the policy framework and the operational boundaries within which TCAA operates, and the financial resources that are to be made available to the Agency.
The Minister shall be responsible for the general direction and control of the Agency and shall have the general responsibility of organizing, carrying out and encouraging measures for the development of sustainable civil aviation subsector. He will foster the promotion of safety and efficiency in the use of civil aircraft and for research into questions relating to civil aviation. He may for any of these purposes, give directions of general nature to the Director-General.
The Minister is responsible for establishing the TCAA, appointing its Director-General and members of the Ministerial Advisory Board, and for ensuring that the Government and the public derives maximum benefit from the creation of the Agency.
The Minister shall not be involved in the day to day management of TCAA. However the Director-General may consult the Minister on the handling of operational matters are likely to give rise to significant public or Parliamentary concern.
The Minister shall retain the powers vested in him under the Civil Aviation Act * and the Regulations made under the Act.
4.2 Responsibilities of the Permanent Secretary
The Permanent Secretary, being as the principal accounting officer, has overall responsibility to the Minister of Communications and Transport on matters concerning voted funds, and is the principal policy advisor to the Ministry on civil aviation matters.
The Permanent Secretary shall be responsible for the Strategic Management of the TCAA and for this purpose, will give directions to the Director-General but with due regard to the need to uphold TCAA's autonomy in the operational management of its affairs.
The Ministerial Advisory Board, shall assist the Permanent Secretary with the review of the TCAA's Strategic Plans, Business Plans and performance reports, and in setting objectives and key performance targets.
The Permanent Secretary shall, taking into account the overall Government policies, and the business case presented, decide whether the Director-General's intention to borrow money, or to acquire or dispose of immovable property are acceptable. He will normally approve all such cases.
The Permanent Secretary will promote the interests of TCAA and keep the Director-General aware of higher level Government thinking.
The Permanent Secretary shall also receive and discuss appeals of employees who are aggrieved by the decision of the Director-General as provided for by the relevant provisions of the Executive Agencies Act *.
4.3 Responsibilities of the Director-General
The Director-General is responsible for managing TCAA within the terms of the Framework Document and the Executive Agency Regulations. The Director-General is the Agency's Accounting Officer and shall specifically be responsible for–
• the preparation and submission of Strategic and Business plans and associated budgets;
• the implementation of the approved plans, including the achievement of performance targets;
• the delivery of the agreed programme of services to customers, on schedule and to specification;
• the organisation and management of the assets and resources allocated to him efficiently, effectively, economically and in accordance with the principles of fairness and equality as outlined in Government policies and Financial Regulations;
• the setting of user charge tariffs for the recovery of operational costs in accordance with the ICAO guidelines;
• the provision to the Permanent Secretary of such information as in required to enable performance to be monitored;
• the preparation of an Annual Report and Financial Statement for submission to the Permanent Secretary, the Minister of Communications and Transport, and Parliament;
• ensuring that all aspects of the management and organisation are kept under review and that they best suit TCAA's business needs;
• contributing to the development and formulation of policy, including assessing the impact and practicability of proposed policy changes and ensuring that TCAA is in a position to implement such changes expeditiously and efficiently;
• promoting public confidence in the professionalism and quality of its services and impartiality of the Agency decisions;
The Director-General shall be responsible for the effective personnel management of the Agency's employees, in particular discipline, control and development in accordance with the Agency's Personnel Regulations.
The Director-General shall be an ex officio member of the Ministerial Advisory Board.
The Director-General shall exercise the power hitherto vested in the Director-General of Civil Aviation as provided for under the Civil Aviation Act * and subsidiary legislation made thereunder, and shall have the power to propose to the Minister new Regulations or amendments to existing regulations made under the Civil Aviation Act for the purpose of regulating air navigation and air transport, the carrying out and giving effect to the Chicago Convention, and any other International agreements relating to civil aviation.
The Director-General shall further be responsible for the granting of license to Air Service Operators.
Note: The Minister shall retain the responsibility for authorising the carriage by air of munitions of war.
4.4 Responsibility of the Ministerial Advisory Board
The Ministerial Advisory Board shall give advice to the Minister and Permanent Secretary on the following–
• the development and maintenance of a policy framework;
• the objectives of the TCAA;
• the acceptability of the Director-General's Strategic and Business Plans and associated budgets;
• setting of priorities and annual performance targets for the Agency;
• the acceptability of the Annual Report and Financial Statement;
• the evaluation of the Agency's performance;
• any other matter provided for under the Executive Agencies Act *;
• negotiation with other countries for the establishment of international air service;
• civil aviation legislation including legislation to give effect to the Chicago Convention, any annex thereto, and other International Conventions relating to civil aviation;
• measures necessary to give effect to the standards and recommended practices adopted in pursuance of the Chicago Convention and any annex thereto;
• air navigation facilities and services, the cost of establishing and maintaining them measures to be adopted to recover those costs;
• fares and freights rates and related matters;
• such other matters affecting civil aviation as the Minister may from time to time refer to the Board.
The Permanent Secretary shall chair the Ministerial Advisory Board. It shall hold its meeting as often as the Chairman may determine, but not less than twice in each financial year.
5. Accountability
The Minister of Communications and Transport shall be accountable to Parliament for all aspects of the TCAA. The Permanent Secretary assists him in the discharge of this responsibility.
5.1 Accounting Officer Responsibilities
The Permanent Secretary is the principal accounting officer for the Ministry and as such, is responsible for ensuring a high standard of financial management in the conduct of all responsibilities charged on the Ministry of Communication and Transport.
The Director-General is the Agency's Accounting Officer, and is therefore accountable for ensuring the propriety and regularity of revenue and expenditure, for prudent and economical administration, and ensuring the requirements of the Ministry of Finance are met in accordance with the Agency's Financial Regulations and Accounting Manual.
The Director-General is responsible for establishing proper management systems for these purposes, as such, shall take due account of the financial management guidance issued by the Ministry of Finance, and the personnel management guidance issued by the Public Service Department. The Director-General shall also put into effect the recommendations acceptable by the Government from the Public Accounts and other Parliamentary Committees.
5.2 Public Accounts Committee
The Permanent Secretary and the Director-General may be required to appear before the Public Accounts Committee on matters relating to the TCAA. Where the Committee's interest is in the operations of the TCAA, the Minister will normally regard the Director-General as the person best placed to appear.
5.3 Parliamentary and other inquiries
Members of the Parliament are encouraged to deal directly with the Director-General on matters which are the responsibility of the Agency.
The Minister shall work closely with the Director-General to prepare for the former, replies to questions raised by Members of Parliament inquiries which fall within the responsibility of the TCAA.
The Director-General shall also advise the Minister on other Parliamentary matters as requested.
6. Finance, planning and strategic control
6.1 Funding
The Agency's resource requirements will be met from the revenue collected by way of charges for services rendered, supplemented as shown to be necessary in the Agency's Business Plan by Government subventions loans and grants.
The agency's expenditure will be subject to monthly, quarterly and annual monitoring and review.
6.2 Strategic and Business Plans
TCAA's Director-General shall prepare for each year, for approval by the Permanent Secretary, a Strategic Plan covering a period of three years and a Business Plan which gives details of operations.
6.2.1 Strategic Plan
The Strategic Plan shall cover a three-year term and be rolled forward and updated each year. It shall reflect the outcome of the review of performance and expenditure, and shall closely set out:
• the Director-General's strategies for achieving TCAA's aim and objectives;
• strategic performance targets;
an assessment of the external factors which influence TCAA's activities including key planning assumption about the service to be provided and resources;
• a capital expenditure programme;
• efficiency objectives, and business plans.
6.2.2 Business Plan
The Business Plan will set out in more details, TCAA's activities for the first year of the Strategic Plan period, and will include–
• key performance targets set by the Permanent Secretary;
• priorities and other performance targets;
• budgets, including estimated profiles of revenue and expenditure;
• the work programmes;
• the key assumption, which include resources, which are likely to underpin performance targets; and
• an efficiency plan including initiatives to improve performance, value for many and quality of service.
6.3 Approval
The Director-General shall submit the Strategic and Business Plans to the MAB and the Permanent Secretary for approval each year. The Permanent Secretary or the Director-General may seek to review the Business Plan in the course of the year to reflect changes in policies, resources, or priorities.
Approval of these plans will constitute authority for TCAA to conduct its operations accordingly without undue interference by the Ministry.
6.4 Annual Report and Accounts
The Director-General shall submit an Annual Report and Statement of Financial Accounts to the MAB, the Permanent Secretary and Minister after the end of each financial year. The Report shall be published and circulated to relevant authorities, and shall contain–
• a copy of the audited accounts of TCAA, together with the Auditor's report on those accounts;
• a report on performance against key targets;
• a report on the operations of TCAA during that financial year; and
• any other information as may be required by the Permanent Secretary.
The Annual Report will also contain the annual performance agreement between the Permanent Secretary and the Director-General.
6.5 Financial Delegation
The Director-General has the authority to approve all expenditure which is consistent with the approved Strategic and Business Plans and which is in accordance with his letter of delegation.
The Director-General shall ensure that appropriate investment appraisal of all capital expenditure projects is carried out, taking account of such guidance as the Ministry of Finance or Public Service Department may issue from time to time. Major capital expenditure divisions will be considered in the context of the approved of Strategic and Business Plans.
The TCAA will undertake post implementation reviews to determine whether projects have achieved objectives set up.
6.6 Value for Money
The Director-General is responsible for obtaining value for money in the procurement of goods and delivery of services. Accordingly, the Director-General will implement a range of efficiency measures in accordance with the agreed programme and timetable set out in the Strategic and Business plans. The Director-General is responsible for maintenance of standards and value or money of any work contracted out and ensuring that the security and confidentiality safeguards are maintained.
6.7 Internal Audit
The Director-General is responsible for ensuring that adequate arrangements exist for the provision of an internal audit service. The audit service shall accord with the standards set by the Ministry of Finance, and in accordance with the TCAA Accounting Manual.
The Internal Auditor to the Ministry of Communication and Transport shall have the right to access to the Agency to perform work necessary to give independent assurance to the principal accounting officer. The Permanent Secretary shall receive copies of all internal audit reports.
6.8 External Audit
The TCAA is subject to external audit by the Controller and Auditor-General for the United Republic of Tanzania who shall have the right conduct interim audits, special audits and value-for-money studies relating to TCAA activities.
6.9 Budgetary Flexibilities
The Director-General shall have the power which shall be exercised in accordance with Ministry of Finance guidelines, and the limits set out in the Executive Agencies (Finance Procurement and Stores) Regulations *.
6.9.1 Capital Expenditure
The Director-General shall have the powers in relation with the capital expenditure to:
• authorise capital expenditure on individual capital projects;
• transfer of resources allocated to one item in the budget to another;
• carry over in full to the next financial year any underspent on capital provision from the previous financial year.
6.9.2 Running Costs
The Director-General shall have the powers in relation with the running costs to:
• manage all running costs allocations as a single budget;
• transfer of resources allocated to one item in the budget to another;
• carry over in full to the next financial year any underspent on running costs from the previous financial year.
6.9.3 Assets and Liabilities
The Director-General may:
• authorise all write-offs and special payments;
• authorise the disposal of assets in accordance with standing financial regulations;
• authorise expenditure on individual constancy services;
• authorise expenditure on Information Technology projects;
• authorise single source negotiated tender action for procurements.
7. Personnel
7.1 Status and Conditions of Service
The TCAA staff are public servants and as such their terms and conditions of service will be based upon the Executive Agencies (Personnel Management) Regulations *, as amended from time to time by the Ministry responsible for Public Service and in accordance with the Executive Agencies Act *.
7.2 Personnel Management
The Director-General is responsible for the personnel management of Agency staff as set out in this Framework Document and the Executive Agencies (Personnel Management) Regulations * and as laid down in the labour laws of Tanzania. He is responsible for ensuring that an equal opportunities policy is formulated and implemented. Within these parameters he may introduce such changes as are necessary to maximise the TCAA's efficiency and effectiveness.
7.3 Staff Complement
The Director-General shall be responsible to manage the affairs of the Agency efficiently and effectively, the end in that regard, to establish and keep up to date the TCAA's staff complement.
7.4 Staff Relations
The Director-General is responsible for staff relations within the Agency. The Director-General is in this regard, required to foster good staff relation as an important aid to the achievement of the Agency's objectives, and to ensure effective communication and consultation between the staff and with their recognised Trade Union representatives.
Permanent staff retains the right of appeal to the Permanent Secretary on personnel matters in the event of being dissatisfied by any decision made by the TCAA.
7.5 Health and Safety
The Director-General is responsible for the health and safety of TCAA staff in the working place and for complying with all relevant legislation and regulations and in this regard, shall consult with staff and their recognised Trade Union representatives on health and safety matters.
8. Review and publication
8.1 Review
From time to time, but at least at intervals not exceeding five years, a review of this document shall be undertaken by the Minister of Communications and Transport, advised jointly by the Permanent Secretary, the Ministerial Advisory Board and the TCAA Director-General.
The Minister, Permanent Secretary or the Director-General may at any time propose amendments to this Framework Document in the light of the Agency's operation experience or any change of circumstances. Any such proposals for change shall be subject to consultation with the Public Service Department and the Ministry of Finance. Any change affecting personnel shall be subject to consultation with staff and their recognised Trade Union representatives. The incorporation of changes may require the approval of the Minister of Communications and Transport, Minister for Finance and the Minister responsible for the Public Service as well as the approval of the Chief Secretary.
8.2 Publication
Amendments to the order establishing TCAA, including amendments to this Framework Document will be laid before Parliament in accordance with existing practice. Copies of the Framework Document and further information about the Agency can be obtained from:
Tanzania Civil Aviation Authority,
IPS Building, Azikiwe Street,
P. O. Box 2819,
DAR ES SALAAM
(Section 3)
[29th November, 1999]
G.N. No. 404 of 1999
1. Citation
This Order may be cited as the Executive Agencies (Tanzania Airports Authority) (Establishment) Order.
2. Establishment of the TAA
There is established the Tanzania Airports Authority as an Executive Agency in relation to the Department of Aerodromes provided for under the Aerodromes (Licensing and Control) Act *.
3. TAA Framework Document Schedule
The function, aim, objective, authority performance standards and other matters relating to the Airports Authority shall be as specified in the Framework Document set out in the Schedule to this Order.
SCHEDULE
MINISTERIAL FOREWORD
It is with pleasure that I am being called upon to establish The Tanzania Airports Agency (TAA) as an Executive Agency of the Ministry of Communications and Transport. TAA assumes the responsibilities of the Department of Aerodromes, which was established in 1974 by the Aerodromes (Licensing and Control) Act *.
The creation of the Tanzania Airports Agency will no doubt facilitate better management of airports in Tanzania. It is confidently expected that airport infrastructure and facilities, airport safety and security and the delivery of services to airport users will improve. Admittedly, the improvements call for an improvement in the currently limited and restricted budget. This will be achieved, in part at least, from an increase in revenue generation through efficient collection and by attracting additional investments at airports.
This document sets out the framework within which the Tanzania Airports Agency will organize its affairs. Additionally, TAA has set out its future direction in the midterm and the way it has planned to operate in the first year after launch. The strategies are specified in the Strategic and Business Plans, which are being published simultaneously.
I have every confidence that the establishment of the Tanzania Airports Agency will provide the impetus for airport improvements with a view to providing services to airport users of the highest standards.
With these few remarks, I wish TAA and its staff all the best.
HON. ERNEST NYANDA (MP),
Minister for Communications and Transport.
CONTENTS
1. INTRODUCTION
The Directorate of Aerodromes was formed in 1974 as a division of the Roads and Aerodromes Department in the Ministry of Works. In 1980 it was made a separate Government Department under the Ministry of Works, Communications and Transport, and when in 1985 the Ministry was re-divided, airport construction and maintenance remained with the Ministry of Works while airport operations became a division of the Directorate of Civil Aviation. In 1995 the Directorate of Aerodromes became a unified department again under the Ministry of Communications and Transport.
The Government has decided that its non-core functions should be examined to see which could be better undertaken either outside Government or in semi autonomous Executive Agencies. As an "operations" department The Directorate of Aerodromes is one of those selected to be an Executive Agency, and has been re-named as the Tanzania Airport Agencies (TAA).
This document forms part of a formal performance agreement between the Agency and the Ministry of Communications and Transport. It describes the framework within which the TAA has been established and it will operate as an Agency. It also sets out the responsibilities of those involved.
The responsible Minister is the Minister for Communications and Transport. The head of the TAA will be chief Executive who shall be responsible for the operation of the Agency and will exercise statutory powers as vested in him under the following primary and subsidiary legislation:
• The Executive Agencies Act *.
• The Aerodrome (Licensing and Control) Act *.
• The Aerodrome Control Regulations *.
• The Tanzania Air Navigation Regulations *.
• The Aerodrome Licensing Regulations *.
• The Aerodrome (Landing and Parking Fees) Regulations, 1984.
• The Airport Service Charge Act, 1962.
• Civil Aviation Act *.
• Fire and Rescue Service Act, 1985.
• Fire Rescue Force Regulations, 1992.
At launch the TAA had staff of 1245 employees and in the financial year 1998/99 had a gross budget of T.Shs. 3.6 billion.
2. STATUS & GOVERNANCE
2.1 Status
The formation of Executive Agencies is an important element of the Government's programme of public management reforms. It is a means by which quality and cost effectiveness of the delivery of the public services can be improved. The creation of Agencies will clarify roles and responsibilities, assist with financial accountability, with resource management, and encourage initiative.
The Tanzania Airports Agency (TAA) has been established as an Executive Agency of the Ministry of Communications and Transport in accordance with the Executive Agencies Act *. It replaces the Directorate of Aerodromes.
2.2 Governance
The Tanzania Airports Agency will be managed by a Chief Executive appointed for a period of up to five years by the Minister for Communications and Transport. The Permanent Secretary will be responsible for the strategic management of TAA.
A Ministerial Advisory Board (MAB) consisting of the Permanent Secretary as Chairman, up to eight members, all of whom shall be appointed by the Minister for a period not exceeding three years from among persons, whether or not from the public sector, who posses the necessary qualifications and expertise. The function of the Ministerial Advisory Board is to give advice to the Minister and the Permanent Secretary on the strategic management of the Agency, as specified in the Executive Agencies Act.
2.3 Organisation
TAA launches with a headquarters structure considerably smaller than the Directorate of Aerodromes, and reflects that the main business of the Agency is conducted at the airports. The headquarters has three divisions and three specialist units supporting the Chief Executive. The Director of Dar es Salaam airport (DIA) also reports direct to the Chief Executive. Organograms for the Agency and DIA are shown overleaf.
The Chief Executive may make changes in the organisation of TAA as he considers necessary to maintain and improve the efficiency and overall performance of the Agency within the policy framework set by the Permanent Secretary, and within the delegations outlined in this Framework Document or approved subsequently.
TAA ORGANIZATION STRUCTURE
3. AIM, ROLE AND STRATEGIC OBJECTIVES
3.1 Aim
The aim of Tanzania Airports Agency (TAA) shall be to provide high quality airport services and facilities to the international and domestic air transport system in a most cost-effective manner.
The vision of TAA is to become a model for the provision of airport facilities and services in Eastern Africa.
3.2 Role
The role of the Tanzania Airports Agency shall be:
• to operate, manage, maintain and develop Government-owned airports in a professional and cost-effective manner;
• provide comfortable, efficient and secure services and facilities for the movement of passengers and cargo in its airports thereby giving a positive image of the country to the outside world;
• to give technical advice to the Government on the development of airports;
• to ensure that the Government's airport policies, regulations and procedures are implemented in accordance with international standards;
• to advise the Government on national and international aspects of airport administration, regulations, fees and charges;
• to support national economic development by providing the necessary airport infrastructure, facilities and services.
3.3 Strategic Objectives
The Agency's strategic objectives are:
• Achieving a surplus of income over expenditure while implementing the provisions of the National Transport Policy and implementing the Agency's other strategic objectives.
• Improving service delivery at airports through planned programme of infrastructure and facilities development and maintenance.
• Building a competent and efficient workforce through the adoption of best practice human resource management policies and procedures.
• Implementing the International standards and recommended practices with respect to Airport Safety and Security and Information systems.
• Increasing revenue generation by attracting additional investments at airports.
3.4 Performance criteria
The Ministerial Advisory Board shall regularly evaluate the performance of the TAA in terms of the quality of services provided and the financial and operational performance. Assessments will be based on the Quarterly Performance Reports submitted by the Chief Executive to the Permanent Secretary.
4. RESPONSIBILITIES
4.1 Responsibilities of the Minister
The Minister for Communications and Transport shall ultimately be responsible for determining the policy framework and the operational boundaries within which TAA works, and the financial resources that are to be made available to the Agency.
The Minister is responsible for establishing the Agency, for appointing its Chief Executive and members of the Ministerial Advisory Board, and for ensuring that the Government derives maximum benefit from the creation of the agency. He is accountable to Parliament for the Agency's policy and operations.
The Minister shall not be involved in the day-to-day management of TAA but will be consulted by the Chief Executive on the handling of operational matters which could give rise to significant public or Parliamentary concern.
4.2 Responsibilities of the Permanent Secretary
The Permanent Secretary, as Accounting Officer for the Ministry of Communications and Transport, has overall responsibility to the Minister on matters concerned with voted funds, and is the principal policy advisor to the Minister.
The Permanent Secretary shall be responsible for the strategic management of the TAA, and for that purpose may give directions to the Chief Executive but with due regard to the need to uphold TAA's autonomy in the operational management of its affairs.
The Permanent Secretary shall ensure that the Chief Executive is fully empowered to deliver his objectives and targets, and that the staff of the Ministry do not interfere in the business of the Agency.
The Ministerial Advisory Board, chaired by the Permanent Secretary, shall assist the Permanent Secretary to review the TAA's Strategic Plans, Business Plans and Performance Reports, and in setting objectives and key performance targets.
After consultation with the users of TAA's services, normally through the Ministerial Advisory Board, the Permanent Secretary will define clearly what services are required from TAA.
The Permanent Secretary shall decide, taking into account overall Government policies, and the business case presented, whether the Chief Executive's proposals to borrow money, or to acquire or dispose of immovable property are acceptable. He shall formally approve all such cases after consultation with the Ministry of Finance.
The Permanent Secretary may be required to appear before the Parliamentary Public Accounts Committee at hearings relating to the TAA.
The Permanent Secretary will promote in conjuction with the Chief Executive the interests of TAA and keep the Agency aware of higher level Government thinking.
4.3 Responsibilities of the Chief Executive
4.3.1 Operation of the Agency
The Chief Executive shall:
• be accountable to the Permanent Secretary for the effective and efficient management of the Agency, and for achieving the aims, objectives and targets for the Agency in this Framework Document, and the Strategic and Business Plans;
• be responsible for the day to day operations of the Agency, the proper management of its funds, property and business and for the discipline of the employees or the Agency;
• manage the affairs of the Agency in an efficient and cost-effective manner and in accordance with modern management practices and techniques and, in particular, to apply to its operations the best standards of financial management and accounting;
• ensure that the services provided to the Agency's customers are of the highest standard and in accordance with the agreements made with them; and
• perform Agency functions in accordance with an annual Performance Agreement concluded between him and the Permanent Secretary.
4.3.2 Agency Accounting Officer
• The Chief Executive is the Agency's Accounting Officer with such financial responsibilities as provided for in this Framework Document, the Executive Agencies Act and Executive Agencies Regulations. In particular he is responsible for ensuring the propriety and regularity of revenue collection and expenditure, and for prudent administration.
4.3.3 In relation to International Organisations
To participate in the activities of appropriate Subregional, Regional and International Organisations.
4.4 Responsibilities of the Ministerial Advisory Board
The Ministerial Advisory Board is established to give advice the Minister and Permanent Secretary on the strategic management of the Agency, as specified in the Executive Agencies Act.
The Chief Executive shall attend all meetings of the Board and may participate in its deliberations, except in matters affecting his own interest, but shall have no right to vote.
The Ministerial Advisory Board shall be chaired by the Permanent Secretary. It shall hold its meetings as often as the Chairman may determine, but shall have no right to vote.
The Advisory board shall also receive and discuss appeals of employees who are aggrieved by the decision of the Chief Executive under subsection (3) of section 10 of the Executive Agency Act *.
5. ACCOUNTABILITY
The Minister of Communications and Transport is accountable to Parliament for all aspects of the TAA. The Permanent Secretary assists him in the discharge of this responsibility.
5.1 Accounting Officer's Responsibilities
The Permanent Secretary is the Accounting Officer for the Ministry and therefore has responsibility for ensuring a high standard of financial management in the conduct of all Ministry of Communication and Transport activities.
The Chief Executive is the Agency Accounting Officer, and is therefore accountable for ensuring the propriety and regularity of expenditure, for prudent and economical financial administration and ensuring that the requirements of the Ministry of Finance are met in accordance with the Executive Agency Regulations and its accounting manual.
The Chief Executive is responsible for establishing proper management systems for these purposes. He is required to follow the guidance issued by the Treasury in respect of financial matters, and the personnel management guidance issued by the Civil Service Department. The Chief Executive shall also put into effect the recommendation accepted by the Government from the Public Accounts and any other Parliamentary Committees.
5.2 In relation to Parliamentary Business
Members of the Parliament individually or as a committee can deal with the Chief Executive directly on matters delegated to the Agency by the Executive Agencies Act * and Framework Document.
The Chief Executive shall submit to the Permanent Secretary responses regarding Parliamentary enquiries of a policy or political nature, who will in turn pass them on to the Minister for presentation to Parliament.
6. PLANNING, FINANCE AND STRATEGIC CONTROL
6.1 Planning Framework
The Agency shall prepare and submit to the Permanent Secretary for approval, a 3-year Strategic Plan and an Annual Business Plan. The two Plans, when approved by the Permanent Secretary are the framework within which the Chief Executive is to manage the Agency's business operations and development, and against which the performance of the Agency may be measured. The Chief Executive or the Permanent Secretary may seek to review the Business Plan in the course of the year to reflect changes in policies, resources or priorities.
6.2 Strategic Plan
The Agency's Strategic Plan shall be rolled forward and updated annually to reflect the outcome of the review of performance and expenditure. The Plan shall include:
- the Chief Executive's strategies for achieving TAA's aim and strategic objectives;
- starategic performance targets;
- an assessment of the external factors, including demand and key planning assumptions, that influence TAA's activities;
- any major organisational or structural changes;
- proposed capital investment programmes;
- efficiency objectives and plans.
6.3 Business Plan
The Business Plan will set out in detail the TAA's plans and budgetary targets for the first year of the Strategic Plan. It will include:
- key performance targets set by the Permanent Secretary;
- priorities and other performance targets;
- budgets, including estimates of revenue and expenditure;
- the work programmes;
- the key assumptions, including those about resources to be used in meeting the targets;
- initiative to improve quality, performance and value for money.
6.4 Performance Measurement
Key performance targets are agreed each year by the Permanent Secretary and the Chief Executive. Particular attention will be paid to the following areas:
- quality of service;
- financial performance;
- results and operational efficiency.
Further targets to cover other aspects of the Agency's performance may also be set.
6.5 Performance Review
The Agency's performance will be assessed regularly by the Ministerial Advisory Board on the basis of Quarterly Performance Reports submitted by the Chief Executive.
6.6 Annual Report and Accounts
At the end of each financial year the Chief Executive shall prepare and submit an Annual Report and Statement of Financial Account to the Permanent Secretary and Minister. The reports will be published and circulated to other relevant authorities.
The Annual Report will detail the Agency's performance against the targets set for the past year and will indicate the success of its policies and programmes. The Report shall include a copy of the audited accounts of TAA and the auditor's report on the accounts. It shall also contain the Annual Performance Agreement between the Permanent Secretary and the Chief Executive.
6.7 Value for Money
The Chief Executive shall be responsible for obtaining value for money in the procurement of goods and delivery of services. The Chief Executive will implement a range of efficiency measures in accordance with an agreed programme and timetable set out in Business and Strategic Plans.
The Chief Executive shall be responsible for the standard and value for money of any work contracted out and ensuring that security and confidentiality safeguards are maintained.
6.8 Internal Audit
The Chief Executive shall be responsible for ensuring that arrangements exist for the provision of an internal audit service that accords with standards set by the Ministry of Finance and with the TAA Accounting Manual. The Internal Auditor of the Ministry of Communications and Transport has the right of access to the Agency to perform work necessary to give independent assurance to the Permanent Secretary, who shall receive all internal audit reports.
6.9 External Audit
The Chief Executive shall keep books of accounts and maintain proper records of the Agency's financial transactions in accordance with commercial accounting principles and the Executive Agencies Regulations.
6.10 Source of Funds
The Agency's resource requirements may be met from the revenue collected by way of fees and charges for services rendered, supplemented as shown to be necessary in the Business Plan, by Government subvention, loans and grants.
The Agency's expenditure shall be subject to monthly, quarterly and annual monitoring and review.
Government organisations requiring specific services from TAA are to enter into Service Level Agreements, which shall specify the volume, frequency and standard of service, and the price and payment arrangements.
6.11 Financial Delegation
The Chief Executive has the authority to approve all expenditure that is consistent with the approved Strategic and Business Plans and in accordance with the Executive Agencies Regulations.
Appropriate investment appraisal of all capital expenditure projects shall be carried out by TAA, taking into account such guidance that the Ministry of Finance and the Civil Service Department may issue from time to time.
6.12 Budgetary Flexibilities
The Chief Executive has the following authorities which shall be exercised in accordance with Ministry of Finance guidelines and the limits set out in the Executive Agencies (Finance, Procurement and Stores) Regulations 1999, as modified by his letter of delegation.
6.12.1 Capital Expenditure:
- authorise capital expenditure on individual capital projects;
- transfer resources allocated to one item in the budget to another;
- carry over in full to the next financial year any funds underspent on capital provision.
6.12.2 Running Costs:
- manage all running cost allocations as a single budget;
- transfer resources allocated to one item in the budget to another;
- carry over in full to the next financial year any funds underspent on running costs.
6.12.3 Assets and Liabilities:
- authorise all write-offs and special payments;
- authorise the disposal of movable assets;
- authorise expenditure on individual consultancy services;
- authorise expenditure on Information Technology projects;
- authorise single negotiated tender action for procurements.
{mprestriction ids="1,2,3"}
7. PERSONNEL
7.1 Status and Conditions of Service
The Agency's Staff are public servants of the United Republic of Tanzania. Their conditions of service are based on the Executive Agencies (Personnel Management) Regulations *, as amended from time to time by the Minister responsible for the Civil Service, in accordance with the Executive Agencies Act.
The Ultimate disciplinary authority over the Airport Rescue and Fire Fighting Staff shall be in accordance with the Fire and Rescue Services Act * and the Fire and Rescue Force Regulations *.
7.2 Personnel Management
The Chief Executive shall be responsible for the personnel management of Agency staff as set out in this Framework Document and the Executive Agencies (Personnel Management) Regulations, and as laid down in the Labour Laws of Tanzania. He is responsible for ensuring that an Equal Opportunities policy is formulated and implemented. Within these parameters he may introduce such changes as are necessary to maximise the TAA's efficiency and effectiveness.
7.3 Staff Complement
The Chief Executive shall be responsible for establishing and keeping under review the Agency's Staff complement. This is aimed at ensuring the efficiency and effectiveness of the Agency.
7.4 Training and Career Development
TAA'S Chief Executive is responsible for the training and development of the Agency's staff and will prepare a training and development strategy which meets the needs of the Agency and its staff.
7.5 Staff Relations
The Chief Executive shall be responsible for staff relations within the Agency. He is required to foster good staff relations as an important aid to the achievement of the Agency's objectives, and to ensure effective communications and consultation with staff and with their recorgnised Trade Union representatives.
7.6 Health and Safety
The Chief Executive shall be responsible for the health and safety of TAA staff at the work place, and for complying with all relevant legislation and regulations. He shall consult with staff and their recognised Trade Union representatives on health and safety matters.
8. REVIEW AND PUBLICATION
8.1 Review
From time to time, but at intervals not exceeding five years, this document will be reviewed by the Minister for Communications and Transport advised jointly by the Permanent Secretary, the Ministerial Advisory Board and the Chief Executive.
The Minister, Permanent Secretary, Chief Executive or Ministerial Advisory Board members may at any time propose changes to this document in the light of the Agency's operational experience or any change of circumstances. Such proposals will be subject to consultation with the Civil Services Department and the Ministry of Finance.
Any change affecting personnel will be subject to consultation with the TAA's staff and their Workers Council or Trade Union representatives. The incorporation of changes may require consultation with the Minister for Industry and Commerce, the Minister for Finance and the Minister responsible for the Public Service, and must have the approval of the Chief Secretary.
8.2 Publication
Amendments to the Order establishing TAA, including amendments to this Framework Document shall be published in the official Government Gazette.
Copies of the Framework Document and further information about the Agency can be obtained from:
Director General,
Tanzania Airports Agency,
P.O. Box 9144,
Dar es Salaam.
(Section 3)
[29th November, 1999]
G.N. No. 405 of 1999
1. Citation
This Order may be cited as the Executive Agencies (Tanzania Meteorological Agency) (Establishment) Order.
2. Establishment of the TMA
There is established the Tanzania Meteorological Agency as an Executive Agency in relation to the Directorate of Meteorology provided for under the Directorate of Meteorology Act *.
3. TMA Framework Document Schedule
The aim, functions, objective, authority performance standards and other matters relating to the Tanzania Meteorology Agency shall be as specified in the Framework Document set out in the Schedule to this Order.
SCHEDULE
MINISTERIAL FOREWORD
The Tanzania Meteorological Agency (TMA) has the responsibility to provide meteorological services to the nation and an obligation to measure and monitor weather for international exchange and use. It contributes to the social-economic well-being of the nation by giving weather information, forecasts and warnings of extreme weather events.
As a provider of key services to various sectors such as Civil aviation, agriculture construction industry, marine and the public, it is appropriate that TMA has been accorded Executive Agency status. As an Agency, TMA has greater opportunity to improve its effectiveness, efficiency and the quality of its services in response to the changing needs of its customers by becoming an Agency, it shall benefit from more freedoms in managing its affairs, making decisions and achieving its performance targets. I am confident that the Chief Executive with his well-trained and skilled staff shall meet the challenges which lie ahead.
This document describes the framework within which the TMA shall operate and forms part of a formal agreement between the Agency and the Ministry of Communication and Transport.
I, Minister for Communications and Transport, wish the Chief Executive, Management and Staff of the Tanzania Meteorological Agency success in meeting the challenges placed upon them.
(Section 3)
[26th March, 2000]
G.N. No. 106 of 2000
1. Citation
This Order may be cited as the Executive Agencies (Government Chemist Laboratory) (Establishment) Order.
2. Establishment of GCL
There is established, in relation to the Department of the Government Chemist Laboratory within the Ministry of Health, an executive agency to be known as the GOVERNMENT CHEMIST LABORATORY.
3. GCL Framework Document
The functions, aims, objectives, authority, performance standards and other matters relating to the administration and management of the Government Chemist Laboratory shall be as specified in the Framework Document set out in the Schedule to this Order.
SCHEDULE
FRAME DOCUMENT FOR THE GOVERNMENT CHEMIST LABORATORY
(Paragraph 3)
GOVERNMENT CHEMIST LABORATORY AGENCY (GCL) FRAME WORK DOCUMENT
FOREWORD
I am very pleased to be able to establish the Government Chemist Laboratory as an Executive Agency from 26th March, 1999.
The Agency will be responsible for providing specialist scientific services in the quality control of drugs and food, in chemicals management and forensic science services to Government Departments, Agencies and public bodies. In so doing, it will continue to make a major contribution to the health and welfare of the citizens of Tanzania.
Agency status will allow GCL to develop into a customer focused, commercially oriented organisation which offers value for money services to its customers while maintaining high standards of integrity, professionalism and scientific excellence.
Under this Framework Document I am devolving responsibility for the day-to-day management of the Agency to its Chief Executive, the Chief Government Chemist. He will be accountable for achieving the objectives I have set and for meeting specific performance targets which will be set and reviewed each year.
I am confident that GCL will meet the challenges that lie ahead and I wish the Chief Executive and his staff every success.
1. INTRODUCTION
The Laboratory of the Government Chemist started its operations in 1895. It is multidisciplinary and multisectoral organisation serving both the Government and private sector in the provision of specialised scientific services in quality control of food and drugs, chemicals management and forensic sciences.
The Government Chemist Laboratory (GCL) has now become an Executive Agency of the Ministry of Health. The Agency will be responsible for the provision of the aforementioned services in line with the statutory requirements stipulated in the following primary and subsidiary legislation:
The Criminal Procedure Act *;
The Food (Control of Quality) Act *;
The Pharmaceuticals and Poisons Act *;
The Drugs and Prevention of Illicit Traffic in Drugs Act *; and
any other legislation enacted for purposes of regulating industrial and consumer chemicals.
In addition to meeting its statutory responsibilities, GCL will also offer services to the general public and the private sector in areas governing food safety and hygiene, chemical safety and pharmaceuticals efficacy.
As an Agency of the Government, GCL, will be charging for the services which it delivers. These charges have been carefully analysed, and are the most competitive in the country. They will be reviewed regularly to take into account the requirements of the market and GCL's operating costs.
This Framework Document is a summary of the main legislation and specific GCL needs. Hence for clear understanding of this document it should be read together with the main Act.
2. STATUS, FUNCTIONS AND GOVERNANCE
2.1 Status:
With effect from 26 March, 1999 the Government Chemist Laboratory was established as an Executive Agency in accordance with Executive Agencies Act, 1997. The official title of the Agency is the "Government Chemist Laboratory" and throughout this document, shall be referred to as "GCL."
The GCL has been established as an Agency to achieve the following general objectives:
• improve the quality and value for money of the delivery of public services;
• generate an environment conducive to efficient and effective management;
• promote the potential for the continuous improvement of its services.
This document describes the frame work of policy, planning, control and resources within which the Agency operates.
2.2 Functions:
The GCL will be responsible for–
– Quality control of food and drugs and their raw materials as stipulated in the relevant legislation;
– Forensic science services;
– Chemicals management services.
2.3 Organisation and Governance:
GCL will be managed by a Chief Executive designated as "Chief Government Chemist" who shall be appointed by the Minister of Health for a term of 3 years. This term may be extended up to five years, subject to satisfactory performance.
The Chief Executive may make any changes to the organisation of GCL considered necessary to maintain and improve the efficiency and overall performance of the Agency within the policy and resources framework set by the Permanent Secretary and within the delegations, outlined in this Framework Document as may subsequently be approved.
The Chief Executive will be assisted by line managers and support managers as outlined in the GCL organogram stipulated in this Schedule. The number and responsibilities of such managers shall be reviewed periodically according to the business needs of the Agency. Together with the Chief Executive, Managers, who are to be appointed by the Chief Executive, shall constitute the Agency's Senior Management Team.
ORGANISATIONAL STRUCTURE
3. AIM, ROLE, OBJECTIVES AND PERFORMANCE MEASURES
3.1 Aim:
The aim of GCL shall be to maintain a healthy community and a safe and just society.
3.2 Role:
The Role of GCL shall be to provide specialised scientific services in quality control of food and drugs, chemicals management and forensic science.
3.3 Objectives:
In support of the above aim, and in carrying out its role, the GCL shall do the following–
(a) contribute to the safeguarding of the health of the people of Tanzania by providing timely, accurate advice to relevant authorities on the quality of food, drugs and other chemicals;
(b) contribute to the protection of the environment and the health of the people of Tanzania by participating in the establishment of an integrated chemicals management system by the year 2000, and thereafter regulating consumer and industrial chemicals;
(c) facilitate effective legal proceedings for fair justice, by the timely provision of expert advice;
(d) assist in clinical procedures by the timely provision of expert advice on poisoning and treatment efficacy;
(e) increase efficiency and effectivenes through continuous improvement in management systems and staff development;
(f) achieve financial self sufficiency by the year 2003.
3.4 Performance Measurements:
The performance of GCL shall be regularly assessed by its Ministerial Advisory Board. Assessments shall be on the basis of Quarterly Performance Reports submitted by the Chief Executive to the Permanent Secretary. Particular attention shall be paid to the following areas:
3.4.1 Quality of Service:
• reductions in response time from submission of request to delivery of the results;
• reductions in the number of samples which cannot be analysed and reported;
• adherence to Service Level Agreement requirements;
• number of enquiries and percentage increase in responses;
• timeliness of the implementation of the Chemicals Management System;
3.4.2 Operational Efficiency:
• reduction in material cost as a percentage of revenue generated;
• reduction of overhead costs as a percentage of total expenditure;
• chargeable time as a percentage of total time.
3.4.3 Financial Performance:
• level of financial and budgetary control achieved;
• percentage reduction of cost of the Agency's operations;
• actual cost as a percentage of approved target cost;
• increase in the revenue collected.
4. RESPONSIBILITIES
4.1 The Role of the Minister:
The Minister of Health is ultimately responsible for determining the policy framework and the operational boundaries within which GCL operates, and the financial resources to be made available to GCL.
The Minister is responsible for establishing the GCL, for appointing its Chief Executive and members of the Ministerial Advisory Board, and for ensuring that the Government derives maximum benefit from the creation of the Agency.
The Minister shall not be involved in the day-to-day management of GCL but shall be consulted by the Chief Executive on the handling of operational matters which could give rise to significant public or Parliamentary concern.
4.2 Responsibilities of the Permanent Secretary:
The Permanent Secretary, as the Principal Accounting Officer, shall be charged with overall responsibility to the Ministry of Health on matters concerned with voted funds, and as such is the principal policy adviser to the Minister.
The Permanent Secretary shall be responsible for the Strategic Management of the GCL and for that purpose shall give directions to the Chief Executive but with due regard to the need to uphold GCL's autonomy in the operational management of its affairs.
The Ministerial Advisory Board, chaired by the Permanent Secretary, will assist him with the review of the GCL's Strategic Plans, Business Plans and Performance Reports, and in setting objectives and key performance targets.
After consultation with the users of GCL's services, normally through the MAB, the Permanent Secretary may define clearly what services are required from GCL.
The Permanent Secretary shall take into account overall Government policies, and the business case presented, decide whether the Chief Executive's proposal to borrow money, or to acquire or dispose of immovable property are acceptable and shall subsequently formally approve all such cases.
The Permanent Secretary shall be required to appear before the Public Accounts Committee at a hearing relating to the Government Chemist Laboratory (GCL).
The Permanent Secretary shall, in conjunction with the Chief Executive promote the interests of GCL and keep the Agency aware of higher level Government thinking.
4.3 Responsibilities of the Chief Executive:
The Chief Executive being the Chief Government Chemist, shall be responsible for managing GCL within the terms of this Framework Document and the Executive Agency Regulations. He is specifically responsible for:
• the preparation and submission of Strategic and Business Plans and associated budgets;
• the implementation of the approved Plans, including the achievement of performance targets;
• the delivery of the agreed programme of services to customers, on schedule and to specification;
• the organisation and management of the assets and resources allocated to him efficiently, effectively, economically and in accordance with the principles of fairness and equality as outlined in Government policy;
• the provision to the Permanent Secretary of such information as is required to enable performance to be monitored;
• the preparation of an Annual Report and Accounts for submission to the Permanent Secretary, the Minister of Health, and Parliament;
• ensuring that all aspects of the management and organization are kept under review and that they best suit GCL's business needs; and
• contributing to the development and formulation of policy, including assessing the impact and practicability of proposed policy changes and ensuring that GCL is in a position to implement change expeditiously and efficiently.
The Chief Government Chemist shall be responsible for the effective personnel management of the Agency's employees, in particular discipline, control and development.
The Chief Executive is an ex-officio member of the Ministerial Advisory Board.
4.4 Responsibilities of the Ministerial Advisory Board:
The Ministerial Advisory Board is to give advice to the Minister and Permanent Secretary on the following–
• the development and maintenance of a policy framework;
• setting the objectives of the GCL;
• the acceptability of the Chief Executive's Strategic and Business Plans and associated budgets;
• setting of priorities and annual performance targets for the agency;
• the acceptability of the Annual Report and Accounts;
• the evaluation of the Agency's performance;
• any other matter provided by the Executive Agencies Act *.
The Ministerial Advisory Board shall be chaired by the Permanent Secretary and will hold its meetings as often as the Chairman may determine, but, in any case, not less than twice in each financial year.
The composition/members of the Advisory Board shall be as stipulated in the principal legislation.
The Permanent Secretary shall receive and discuss appeals of employees who are aggrieved by the decision of the Chief Executive under subsection (3) of section 10 of the Executive Agency Act *.
5. ACCOUNTABILITY
The Minister of Health shall be accountable to Parliament for all aspects of the GCL. He shall be assisted, in the discharge of this responsbility, by the Permanent Secretary.
5.1 Accounting Officer Responsibilities:
The Permanent Secretary shall be the Principal Accounting Officer for the Ministry and, as such, shall be responsible for ensuring a high standard of financial management in the conduct of all Ministry of Health responsibilities.
The Chief Executive shall be the Agency Accounting Officer for GCL, and is therefore accountable for ensuring the propriety and regularity of expenditure, for prudent and economical administration, and ensuring that the requirements of the Ministry of Finance are met.
The Chief Executive shall be responsible for establishing proper management systems for that purpose, shall take account of the financial management guidance issued by the Ministry of Finance, and the personnel management guidance issued by the Public Service Department. He shall also put into effect the recommendations accepted by the Government from the Public Accounts and other Parliamentary Committees.
5.2 Public Accounts Committee:
The Principal Accounting Officer and Agency Accounting Officer may be required to appear before the Public Accounts Committee at a hearing relating to the GCL.
The Minister shall decide who will attend other Parliamentary Select Committee hearings. Where a Committee's interest is in the operations of the GCL, the Minister, shall, in considering a person to appear to the Parliamentary Select Committee, regard the Chief Government Chemist as the person best placed to appear.
5.3 Parliamentary and Other Enquiries:
Members of the National Assembly are encouraged to deal directly with the Chief Executive on matters which fall within the responsibility of the Agency.
The Minister may ask the Chief Government Chemist to prepare for him a reply to a Member of Parliament who asks a Parliamentary question about matters falling within the responsibility of the GCL. The Chief Executive's reply may be published.
Other Parliamentary business and enquiries on matters not delegated to the Agency may be dealt with by the Minister. The Chief Executive shall have the responsibility to advise the Minister on such matters as requested.
6. FINANCE, PLANNING AND STRATEGIC CONTROL
6.1 Funding:
The Agency's resource requirements shall be met from the revenue collected by way of charges for services rendered, supplemented as shown to be necessary in the Agency's Business Plan by a Government subvention.
The Agency's expenditure shall be subject to quarterly annual monitoring and review.
6.2 Strategic and Business Plans:
The Chief Executive shall prepare each year, for approval by the Permanent Secretary, a Strategic Plan covering a period of three years and a Business Plan which shall give the details of operations in the first of those years.
6.2.1 Strategic Plan:
The Strategic Plan will be rolled forward and updated each year. It will reflect the outcome of the review of performance and expenditure and will set out:
• the Chief Executive's strategies for achieving GCL's aim and objectives;
• strategic performance targets;
• an assessment of the external factors which influence GCL's activities, including key planning assumptions;
• a capital expenditure programme;
• efficiency objectives, and plans.
6.2.2 Business Plan:
The Business shall set out in more detail the Agency's activities for the first year of the Strategic Plan period and will include:
• key performance targets set by the Permanent Secretary;
• priorities and other performance targets;
• budgets;
• the work programme and expenditure profile;
• the key assumptions, including those about resources which will underpin targets; and
• an efficiency plan including initiatives to improve performance, value for money and quality of service.
6.3 Approval:
The Chief Executive shall submit the Strategic and Business Plans to the Permanent Secretary for approval each year. The Permanent Secretary or the Chief Executive may seek to review the Business Plan in the course of the year to reflect changes in policies resources, or priorities. Approval of these plans shall constitute authority for GCL to conduct its operations accordingly.
6.4 Annual Report and Accounts:
The Chief Executive shall submit an Annual Report and Statement of Financial Accounts to the Permanent Secretary and Minister after the end of each financial year. This report may be published and circulated to relevant authorities, and shall contain:
• a copy of the audited accounts of GCL, together with the Auditor's report on those accounts;
• a report on performance against Key Targets;
• a report on the operations of GCL during that financial year; and
• any other information as required by the Permanent Secretary.
The annual report shall also contain the Annual Performance Agreement between the Permanent Secretary and the Chief Executive.
6.5 Financial Delegation:
The Chief Executive has the authority to approve all expenditure which is consistent with the approved Strategic and Business Plans and which is in accordance with his letter of delegation.
The Chief Executive shall ensure that appropriate investment appraisal of all capital expenditure projects is carried out, taking account of such guidance as the Ministry of Finance or Civil Service Department may issue from time to time. Major capital expenditure decisions will be considered in the context of the approval of Strategic and Business Plans.
The GCL shall undertake post implementation reviews to determine whether or not projects have achieved their objectives.
6.6 Value For Money:
The Chief Executive shall be responsible for obtaining value for money in the procurement of goods and delivery of services. Accordingly, the Chief Executive shall implement a range of efficiency measures in accordance with the agreed programme and time table set out in the Strategic and Business Plans.
The Chief Executive shall be responsible for the standard and value for money of any work contracted out and for ensuring that the security and confidentiality safeguards are maintained.
6.7 Internal Audit:
The Chief Government Chemist shall be responsible for ensuring that adequate arrangements exist for the provision of an internal audit service which complies with the standards set by the Ministry of Finance, and is in accordance with the GCL Accounting Manual.
The Internal Auditor of the Ministry of Health shall have the right of access to the Agency to perform work necessary to give independent assurance to the Principal Accounting Officer. The Permanent Secretary shall receive copies of all internal audit reports.
6.8 External Audit:
The GCL Agency shall be subject to external audit by the Controller and Auditor General for the United Republic of Tanzania who has the right to conduct interim audits, special audits and value for money studies relating to GCL activities.
6.9 Budgetary Flexibilities:
The Chief Executive shall have the following authorities which shall be exercised in accordance with Ministry of Finance guidelines and the limits set out in the Executive Agencies Regulations 1988, as modified by his letter of delegation:
6.9.1 Capital Expenditure:
• authorise capital expenditure or individual capital projects;
• transfer of resources allocated to one item in the budget to another;
• carry over in full to the next financial year any underspend on capital provision from the previous financial year.
6.9.2 Running Costs:
• manage all running cost allocations as a single budget;
• transfer of resources allocated to one item in the budget to another;
• carry over in full to the next financial year any underspend on running costs from previous financial year.
6.9.3 Assets and Liabilities:
• authorise all write-offs and special payments;
• authorise the disposal of assets;
• authorise expenditure on individual consultancy services;
• authorise expenditure on Information Technology Projects;
• authorise single negotiated tender action for procurements.
7. PERSONNEL
7.1 Status and Conditions of Service:
The Agency staff are public servants of the United Republic of Tanzania. Their terms and conditions of service will be based on the Executive Agencies Regulations 1998, as amended from time to time by the Minister responsible for the Civil Service in accordance with the Executive Agencies Act, 1997.
7.2 Personnel Management:
The Chief Executive shall be responsible for the personnel management of Agency staff as set out in this Framework Document and the Executive Agencies Personnel Regulations, and as laid down in the Labour Laws of Tanzania. He shall be responsible for ensuring that an Equal Opportunities policy is formulated and implemented. Within these parameters he may introduce such changes as are necessary to maximise the Agency's efficiency and effectiveness.
7.3 Staff Complement:
As part of his responsibility to manage the affairs of the Agency efficiently and effectively, the Chief Executive is to establish and keep up to date the GCL's staff complement.
7.4 Staff Relations:
The Chief Executive shall be responsible for staff relations within the Agency. He is required to foster good staff relations as an important aid to the achievement of the Agency's objectives, and to ensure effective communication and consultation with staff and with their recognised Trade Union representatives.
7.5 Health and Safety:
The Chief Executive is responsible for the health and safety of its staff in the work place, and for complying with all relevant legislation and regulations. He will consult with staff and their recognised Professional associations on health and safety matters.
8. REVIEW AND PUBLICATION
8.1 Review:
From time to time, but at intervals of not exceeding five years, a review of the Frame Work Document may be undertaken by the Minister of Health as may be advised jointly by the Permanent Secretary, the Ministerial Advisory Board, and the GCL Chief Executive.
The Minister, Permanent Secretary and the Chief Executive may, at any time, propose changes to this Framework Document in the light of the Agency's operational experience or any change of circumstances. Any such proposal for change shall be subject to consultation with the Civil Service Department, and Ministry of Finance. Any change affecting personnel shall also be the subject of consultation with staff and their recognised Trade Union representatives. The incorporation of changes may require consultation among the Minister of Health, Minister of Finance and the Minister responsible for the Public Service and shall require the approval of the Chief Executive.
8.2 Publication:
Copies of this Framework Document and any subsequent amendments shall be tabled in the National Assembly. Copies of the Framework Document and further information about the Agency can be obtained from:
E. N. M. Mashimba (PhD)
The Chief Government Chemist
Government Chemist Laboratory Agency
P.O. Box 164
Dar es Salaam
Tel. 113320
Fax. 113320
REGULATIONS
ARRANGEMENT OF REGULATIONS
Regulation
Title
PART I
PRELIMINARY PROVISIONS
1. Citation.
2. Interpretation.
PART II
EXERCISE OF POWERS
3. Functions of Management Team.
4. Delegation of powers.
PART III
RECRUITMENT, APPOINTMENT, TERMINATION OF APPOINTMENT AND ADVANCEMENT TO HIGHER POSTS
(a) The Chief Executive
5. Appointment of the Chief Executive.
6. Disciplinary control.
7. Termination of appointment.
8. Appeals.
9. General application.
(b) Other Staff
10. Recruitment policy.
11. Requisition to fill vacancy.
12. Advertisement of vacancies.
13. Short list.
14. Interview.
15. Appointments.
16. Letter of appointment.
17. Medical examination.
18. Date of first appointment.
19. Probation.
20. Mobility between posts.
PART IV
SALARIES, WAGES AND ALLOWANCES
21. Rates.
22. Incentives for performance.
23. Increments.
24. Entry points.
25. Payment of salaries and wages.
26. Acting appointments and allowance.
27. Overtime.
28. Daily subsistence allowance.
PART V
EMPLOYEES' WELFARE AND GENERAL CONDITIONS OF SERVICE
29. Entitlement to leave.
30. Leave benefits.
31. Provision of medical benefits.
32. Occasional medical examination.
33. Death of employee.
34. Grant of free transport.
35. Authority for travel.
36. Use of private vehicle on official duty.
37. Transport of personal effects.
38. Transportation of employee's vehicle.
39. Provision of housing.
40. Superannuation.
41. Other allowances and benefits.
PART VI
PERFORMANCE APPRAISAL AND EVALUATION
42. Performance appraisal and evaluation.
43. Types of appraisal.
44. Content of appraisal report.
45. Evaluation of performance.
46. Follow-up of report.
47. Performance appraisal of Chief Executive.
PART VII
STAFF DEVELOPMENT
48. Staff development.
49. Staff development programme.
50. Attendance at courses.
PART VIII
DISCIPLINARY MATTERS
51. Discipline.
52. Penalties for breach of discipline.
53. Interdiction.
54. Disciplinary procedure.
55. Appeals.
PART IX
STAFF RELATIONS
56. Awareness of policies.
57. Trade union membership.
PART X
CODE OF ETHICS AND CONDUCT
58. Codes of ethics and conduct.
59. Penalties for breach of the Code.
PART XI
MISCELLANEOUS PROVISIONS
60. Scope of the regulations.
SCHEDULE
THE EXECUTIVE AGENCIES (PERSONNEL MANAGEMENT) REGULATIONS
(Section 18)
[19th March, 1999]
G.N. No. 75 of 1999
PART I
PRELIMINARY PROVISIONS (regs 1-2)
1. Citation
These Regulations may be cited as the Executive Agencies (Personnel Management) Regulations.
2. Interpretation
In these Regulations, unless the context otherwise requires:
"Act" means the Executive Agencies Act *;
"child" includes a child born out of wedlock, a step child, a legally adopted child or a child of a deceased near relative–
(a) of not more than eighteen years of age and is wholly maintained by the officer; or
(b) of any age who because of physical or mental infirmity or because of being a pupil in a primary or secondary school is unable to earn a living and is therefore wholly maintained by the officer;
"department" means any division, section, branch or unit of an Agency Identified as an entity within its organisation structure for management purposes;
"Management Team" means the Chief Executive and heads of department acting as a team in the management of the affairs of the Agency and, in the case of a branch of an Executive Agency, means the head of the branch together with other heads of the units of the branch;
"middle grade" means a group of employees in the grading structure of an Agency of a rank higher than general staff and operational grade but lower than senior grade;
"prescribe" means to prescribe by administrative and other circulars or instructions in writing;
"senior executive grades" means grades of employees who are responsible for the management of the Agency;
"spouse" means, where the employee is a husband, only one wife officially designated by the employee as the wife irrespective of whether the employee is permitted by law to have more than one wife; and where the employee is a wife, means the husband.
PART II
EXERCISE OF POWERS (regs 3-4)
3. Functions of Management Team
A Management Team shall advise and assist the Chief Executive or, as the case may be, the head of a branch in the exercise of his powers and shall exercise any powers conferred upon it by these Regulations or any other regulations, or delegated to it.
4. Delegation of powers
(1) The powers vested in senior employees of the Agency may, for the proper management of an Executive Agency powers, be delegated to any other employee of the Agency at the appropriate level at which a particular function can best be performed in a cost-effective and productive manner.
(2) Where the Agency has branches, the Agency shall ensure that sufficient powers are delegated to the branches.
(3) Delegation of powers under this Regulation shall not be construed as complete divestiture of powers and responsibilities on the part of the delegator.
PART III
RECRUITMENT APPOINTMENT TERMINATION OF APPOINTMENT AND ADVANCEMENT TO HIGHER POSTS (regs 5-20)
(a) The Chief Executive (regs 5-9)
5. Appointment of the Chief Executive
(1) Where an Executive Agency is being established the Chief Executive shall be selected as early as possible to enable him to participate in the planning and design of the Agency and where the position of Chief Executive falls vacant it shall be filled as a matter of urgency.
(2) The Permanent Secretary shall, immediately after the establishment of an Agency, approve a job description for the Chief Executive position expressed in terms of responsibilities of the post and the attributes of likely candidates.
(3) The Permanent Secretary shall after approving a job description under subregulation (2), cause the post to be advertised in the public media or in such manner as he may determine.
(4) The Ministerial Advisory Board shall, on receipt of applications submitted in response to the advertisement made under subregulation (3), prepare a short list of the candidates for interview by the Public Service Commission at which the Ministerial Advisory Board may be represented by one of its members or by any other appointee of the Board.
(5) The Public Service Commission shall, after conducting an interview, as per subregulation (4), submit a name of a successful candidate to the Minister for appointment as the Chief Executive.
6. Disciplinary control
The Permanent Secretary shall have powers to take disciplinary measures against the Chief Executive for misconduct or dereliction of powers. Except that the measures to be taken by the permanent secretary shall not amount to termination of appointment.
7. Termination of appointment
(1) The Permanent Secretary shall, in the event of misconduct, incompetence or inability to perform duties on the part of a Chief Executive which may warrant the termination of his appointment, inform the Chief Executive in writing of such misconduct incompetence or inability to perform his duties and may require him to show cause as to why the Minister should not be invited to invoke his powers under subsection (6) of section 9 of the Act.
(2) The Permanent Secretary shall, immediately after receiving the representations by the Chief Executive, submit to the Minister copies of the communication together with his recommendations.
(3) The Minister may, on the recommendation of the Permanent Secretary and after consultation with the Public Service Commission, terminate the appointment of the Chief Executive.
8. Appeals
(1) Where the Chief Executive of an Agency is aggrieved by the decision of the Permanent Secretary under regulation 7 he may appeal to the Minister in writing against such decision and he shall send a copy of the appeal to the Permanent Secretary.
(2) The Permanent Secretary shall, after receiving a copy of the appeal from the Chief Executive, submit his comments in writing to the Minister with a copy to the Chief Executive.
(3) In determining the appeal the Minister may confirm, vary or rescind the decision of the Permanent Secretary.
(4) Where the Chief Executive is aggrieved by the decision of the Minister in terminating his appointment he may appeal to the Prime Minister. An appeal to the Prime Minister shall be in writing and shall be copied to the Minister.
(5) On receipt of a copy of the appeal the Minister shall submit to the Prime Minister his comments together with copies of the representations made by the Chief Executive, the recommendations of the Permanent Secretary and the advice given by the Public Service Commission.
(6) In determining the appeal the Prime Minister may confirm, vary or rescind the decision of the Minister.
9. General application
Except as otherwise provided in this Part, the provisions of these Regulations shall apply, where appropriate, to the Chief Executive as they apply to other employees of an Executive Agency.
(b) Other Staff (regs 10-20)
10. Recruitment policy
(1) Recruitment and appointments of personnel shall be made on the basis of a fair, transparent, open and competitive selection process and shall be based on an objective assessment of the suitability of each candidate.
(2) In recruiting persons to the service of an Agency the Chief Executive shall have regard to the need to maintain and promote efficiency and effectiveness in the delivery of the services for which it is established.
(3) The number of persons to be employed by an Executive Agency shall be such that it is capable of carrying out its functions, aims, role, objectives, authority and performance standards as laid down in the framework document of that Agency with a view to having an optimum complement of staff with capacity to deliver services in a cost-effective manner.
(4) A post in the service of an Agency may only be filled if there is justifiable need for it.
11. Requisition to fill vacancy
(1) Where a vacancy occurs or is anticipated, the head of department in which the vacancy requires to be filled shall complete a Requisition Form prescribed in the First Schedule to these Regulations for submission to the personnel department.
(2) In addition to the particulars in the Requisition Form the head of department concerned shall enclose the following–
(a) a job description;
(b) a personnel or hiring specification defining the background, qualifications and experience, and the personal qualities of the candidate required for the successful performance of the job; and
(c) where applicable, a recommendation with justification on whether the vacancy should be filled internally by the transfer of a serving employee or any other candidate.
12. Advertisement of vacancies
Applications for appointment to vacant posts shall normally be invited by public advertisement in such manner as the Chief Executive may determine.
13. Short list
(1) The Chief Executive shall, for the purpose of short-listing applicants, constitute a panel of not more than five persons including a representative of the personnel department and of the department in which the vacancy exists.
(2) The Panel constituted under subregulation (1) may include a person who is not an employee of the Agency.
(3) A person who has applied for the vacant post advertised under Regulation 12 shall not be a member of the panel.
14. Interview
The panel, constituted under regulation 13 as may be determined by the Chief Executive, shall interview candidates who have been short-listed and shall make its objective assessment of the suitability of each candidate and also indicate the ranking of each of them.
15. Appointments
The Chief Executive shall, immediately after the interview conducted under regulation 14, appoint successful candidates.
16. Letter of appointment
(1) Letters of appointment as prescribed in the Second Schedule shall specify the terms and conditions of service, and indicate that performance of the job shall be subject to set targets and performance standards.
(2) Oral contracts whether daily, weekly, fortnightly or monthly shall comply with the Employment Ordinance as regards the preparation and maintenance of a record of contract.
(3) All terms of employment shall comply with the provisions of any law relating to those terms.
17. Medical examination
Except as may be determined by the Agency generally or in any particular case, all offers of appointment shall be subject to a certificate of medical fitness being granted, at the expense of the Agency, by a registered or licensed medical practitioner designated by the Agency.
18. Date of first appointment
The date of first appointment shall be that of commencement of duty as may be indicated in the letters of appointment.
19. Probation
(1) Appointments on permanent terms may be made subject to a probationary period not exceeding twelve months.
(2) Notwithstanding subregulation (1), the Chief Executive may, where the employee has previously served in the post or in a similar post on non-permanent terms or where the reduction of the probationary period is necessary or desirable for administrative reasons, reduce the probationary period.
(3) The reduction of probationary period made under subregulation (2), shall not exceed the period which the employee has served in the post or a period of six months whichever is the shorter period.
(4) Where the performance of an employee on probation is unsatisfactory and he has been previously informed of that fact, the appointment may be terminated by one month's notice or the payment of one month's salary in lieu of notice or he may revert to his previous post.
(5) Unless the appointment of an employee is earlier terminated in accordance with subregulation (4) of this regulation the employee shall be considered to have been confirmed in the service on the expiry of his probationary period.
20. Mobility between posts
Movement of employees within an Agency from one post to another which does not entail promotion or demotion may be made in order to give an employee broader job experience.
PART IV
SALARIES, WAGES AND ALLOWANCES (regs 21-28)
21. Rates
(1) The Chief Executive shall, upon the directions of the Ministry responsible for the Public Service, determine the rates of pay.
(2) In determining the rates under subregulation (1) the Chief Executive shall take into account–
(a) the capacity of the agency to generate income from its own sources;
(b) the ability of the Agency to be self-financing;
(c) job factors; and
(d) the need to attract and retain high quality and well motivated employees.
(3) The salary or wages of an employee shall constitute the fundamental component of an employee's emoluments and allowances shall only be regarded as incidental and shall be designed to enable the employee to perform his functions without undue hardship.
(4) Grading structures may group employees into senior, middle and general service and operational grades. Duties, responsibilities and salaries of employees shall be tailored to the needs of the Agency so as to ensure–
(a) enhancement of job satisfaction;
(b) the progression of able performers by promotion on merit; and
(c) the introduction of new skills.
22. Incentives for performance
(1) The Agency may establish bonus or incentive schemes linked to performance and productivity targets and bonuses or incentives may be granted either to individual employee or collectively in accordance with limits prescribed by the Permanent Secretary responsible for the public service.
(2) The Chief Executive may at his discretion, pay to an individual employee bonus for a commendable act or exceptional performance, innovation, the saving of the property of the Agency or the disclosure of information leading to recovery of the property of the Agency.
(3) The details of any bonus or incentive schemes and grants of incentives and bonuses to individuals paid under subregulation (2) shall be included in the quarterly reports made under the Executive Agencies (Finance Procurement and Stores) Regulations *.
23. Increments
Annual incremental progression in any particular salary grade shall not be automatic but shall depend on performance and shall be awarded with the approval of the Chief Executive upon recommendation of the employee's head of department and the Management Team.
24. Entry points
Except where the Chief Executive directs otherwise, newly appointed employees shall be placed on the minimum of the salary grade approved for the post concerned.
25. Payment of salaries and wages
Salaries and wages shall be calculated and paid monthly or at such shorter intervals as the Chief Executive may determine and employees shall be eligible for such salary advances as may be prescribed by the Chief Executive.
26. Acting appointments and allowance
(1) Actable posts carrying acting allowance shall extend to all posts in the senior executive grades which are filled substantively.
(2) Acting appointments shall be for a period not exceeding six months where a post falls vacant or where the incumbent is absent.
(3) The Chief Executive shall take necessary measures to fill the vacancy in respect of which an acting appointment has been made before the expiry of the period of six months unless the holder of the substantive post is away on official duty or on long-term training.
(4) No acting allowance shall be paid where an acting appointment is for less than fourteen days' duration.
(5) The rate of acting allowance shall be the full difference between the employee's substantive basic salary and the minimum basic salary of the post in which he is acting, but the allowance payable shall not exceed one half of the employee's substantive basic salary.
27. Overtime
(1) Eligibility for overtime payments shall be confined to general and operational staff or, in any particular case, to an employee in the middle grade authorised by the Chief Executive.
(2) Overtime payments shall not be payable for any work done by an employee beyond normal working hours if in any particular case the employee has not worked for the minimum daily working hours.
(3) Payment for overtime shall be made at rates prescribed by the Regulation of Wages and Terms of Employment Orders made from time to time by the Minister for Labour.
28. Daily subsistence allowance
Daily subsistence allowance shall be paid so as to enable an employee while on duty away from his normal duty station to meet his boarding and lodging expenses and the rates of these allowances shall be determined by the Public Service Department.
PART V
EMPLOYEES' WELFARE AND GENERAL CONDITIONS OF SERVICE (regs 29-41)
29. Entitlement to leave
Any employee shall be entitled to the minimum amount of leave and leave benefits and any conditions relating thereto as provided for in the Employment Ordinance and the Regulations of Wages and Terms of Employment Ordinance.
30. Leave benefits
An employee other than a casual employee shall be entitled to the following benefits–
(a) Paid Annual Leave:
(i) every employee shall, once in every calendar year, be entitled to leave with full pay at the expense of the Executive Agency to be taken at such time during the calendar year as may be agreed between the parties;
(ii) leave may only be accumulated with the agreement of both parties depending on the exigencies of work but not for more than two leave cycles;
(iii) an employee shall be entitled to payment in lieu of leave if his services cease before he has taken the leave outstanding to his credit.
(b) Paid Sick Leave and Convalescent Leave:
An employee shall be entitled to paid sick leave, in addition to annual leave and to convalescent leave for such period as may be prescribed by the Chief Executive.
(c) Compassionate Leave:
Compassionate leave may be granted on reasonable grounds at the discretion of the Chief Executive.
(d) Maternity Leave:
Maternity leave shall be granted to a female employee in accordance with any law in force.
(e) Leave Allowance and Transport Costs:
An employee shall at such intervals of continuous service as may be prescribed be entitled to receive leave allowance not exceeding one month's salary.
31. Provision of medical benefits
(1) Every employee of the Agency shall where a health insurance scheme is established, be required to join the health insurance scheme to cover medical treatment for himself his spouse and children.
(2) Where the health ensurance scheme is not yet established, employees, their spouses and children shall be entitled to medical treatment at Government hospitals at the expense of the Agency.
(3) Where the Agency has its own medical facility or has contracted another medical facility for the provision of medical services all employees shall initially receive medical attention at that facility. And doctor in change of the facility may refer an employee to another hospital for specialist attention.
32. Occasional medical examination
An Agency may, in order to ensure that employees maintain good health and fitness for performance of their functions, require an employee to undergo a medical examination for that purpose only.
33. Death of employee
Except for employees on casual or temporary terms an Executive Agency shall meet the following costs of the burial of an employee:
(a) coffin or other burial requirements;
(b) grave;
(c) shroud;
(d) wreath; and
(e) transportation of the body of the deceased.
34. Grant of free transport
(1) Subject to the approval of the Chief Executive, the Executive Agency shall meet the costs of local travelling for an employee in the following cases:
(a) on first appointment;
(b) on duty;
(c) on transfer;
(d) on termination of appointment not involving dismissal, but not on resignation;
(e) for obtaining medical treatment and for proceeding on sick leave or convalescent leave; and
(f) for training or attending seminars or similar forums in respect of which attendance has been approved by the Chief Executive.
(2) Costs for transport on first appointment, on transfer, on leave, and on termination of appointment shall extend to the employee's spouse and children.
35. Authority for travel
Heads of department branches and units shall be responsible for authorising all journeys undertaken for duty purposes and in carrying out this responsibility they shall take into account the need for economy in the use of official transport.
36. Use of private vehicle on official duty
(1) Where an employee has to use his private vehicle on duty, prior authority in writing may be granted by the Agency for the specific journey and the Agency shall pay the employee an allowance at prescribed rates for the distance covered.
(2) An official of the Agency who authorises the use of employee's private vehicle under subregulation (1), shall before the authority is granted to the employee, satisfy himself that the owner's insurance policy covers the use of the vehicle on such business.
37. Transport of personal effects
An employee travelling on first appointment, transfer from one duty station to another, cessation of employment otherwise than by resignation or dismissal shall be entitled to transport of personnel effects at the expense of the Agency in accordance with scales of weight of luggage to be transported as may be prescribed by the Chief Executive.
38. Transportation of employee's vehicle
(1) Where an employee is entitled to transport costs for his personal effects these may include transportation of one motor vehicle provided that any amount in excess of the prescribed scale for personal effects shall be borne by the employee.
(2) Where it is considered that the employee be allowed to use the motor vehicle on duty journeys at his new station, the Agency may meet the cost at the appropriate rate of mileage allowance involved in driving the vehicle to the new station by the most economical route, or the actual cost of its movement by public transport whichever is the less.
39. Provision of housing
(1) Where an agency decides to provide housing for its employees, it shall do so at a rent as may be determined by the Chief Executive.
(2) The emoluments of an employee shall be such that they include an element of the cost of housing.
(3) Notwithstanding subregulation (1), the Agency has no obligation to provide housing for its employees.
40. Superannuation
(1) Until other arrangements are made, superannuation arrangements for a person who on the date on which the Agency in which he is employed is established shall be those applicable to him immediately before that date.
(2) Nothing in this regulation shall be construed as prohibiting the employment of any person to whom paragraph (1) applies on contract terms.
(3) In this regulation, "superannuation arrangements" means pension or provident fund or any other social security arrangements.
41. Other allowances and benefits
The Chief Executive may, in addition to benefits and allowances provided for in this Part, prescribe any other benefits and allowances payable to employees.
PART VI
PERFORMANCE APPRAISAL AND EVALUATION (regs 42-47)
42. Performance appraisal and evaluation
(1) For the purpose of this Part the "performance appraisal of employees" is to discover, evaluate and document the potential and shortcomings of individuals to enable measures to be taken for the improvement of the efficiency and effectiveness of the Agency as a continuous objective.
(2) The information obtained through performance appraisal shall be used in awarding or withholding increments, planning job rotation and training programmes, and in making appointments to higher posts or in demotions.
43. Types of appraisal
Performance appraisal under these Regulations shall be informal involving day to day communication between the supervisor and the employed through appreciation and constructive criticism of the employee's performance, or formal where a written appraisal is similarly made but at longer intervals.
44. Content of appraisal report
A formal appraisal report shall be in the form set out in the Third Schedule and each employee shall be provided with a copy of his annual or other performance appraisal.
45. Evaluation of performance
(1) In evaluating the effectiveness of an employee's performance the assessment shall be done objectively. The person making the evaluation shall sign the appraisal report and have it countersigned by the head of department.
(2) Where an evaluation of an employee's performance indicates any factors that adversely affect his performance or the performance of the Agency the employee shall be informed of those factors and be given an opportunity to make his comments in writing.
(3) Any employee shall have the right to make comments in writing on his performance appraisal.
46. Follow-up of report
Performance appraisal reports shall be closely followed up both for implementation of any recommendations and, where appropriate, for training the individual in the skills that he may require.
47. Performance appraisal of Chief Executive
The performance of the Chief Executive under the Performance Agreement with the Permanent Secretary and under other responsibilities imposed upon him by the Act shall be assessed and evaluated by the Permanent Secretary who may require the Chief Executive to rectify shortcomings or effect improvements in the performance of his duties as the Permanent Secretary may find appropriate.
PART VII
STAFF DEVELOPMENT (regs 48-50)
48. Staff development
Staff development shall aim at developing individuals in the skills required for the performance of their present duties or for the performance of future jobs. Supervisors and managers have a joint responsibility for training and development of their staff.
49. Staff development programme
(1) The Agency shall, on the basis of job descriptions, personnel audit, forecasts in the human resource plan and performance appraisal findings, introduce a staff development programme for employees of the Agency.
(2) In order to ensure smooth implementation of the training programme, adequate provision shall be made by the Agency in the annual budget for funding it and responsibility for managing staff development funds shall be delegated to appropriate heads of departments.
50. Attendance at courses
The Chief Executive shall prescribe terms and conditions for employees attendance at various training courses. The Public Service Department shall in order to avoid unwarranted disparities between Agencies, monitor the training of employees.
PART VIII
DISCIPLINARY MATTERS (regs 51-55)
51. Discipline
(1) An Agency shall, in order to instill and maintain discipline ensure that–
(a) its leadership conducts itself with the highest ethical standards and integrity;
(b) its policies are clear and encourage ethical behaviour;
(c) the leadership is free from corrupt and other unethical practices; and
(d) employees shall regularly be made aware of the standard of discipline expected of them.
(2) For the purpose of this Part "breach of discipline" includes corruption, abuse of office, criminal acts, breach of the Code of Ethics and Conduct, insubordination, negligence dereliction of duty and breach of any of these Regulations or any other regulations applicable to Executive Agencies.
52. Penalties for breach of discipline
Any employee of an Agency who commits breach of discipline under these Regulations shall be liable to dismissal, demotion, reduction in salary or surcharge depending on the gravity of the breach.
53. Interdiction
(1) Where the Chief Executive considers that it is in the interests of the Agency that an employee should cease to perform the duties of his post while a breach of discipline on his part is being investigated, he may interdict the employee forthwith.
(2) Interdiction shall, not later than thirty days, be followed by the institution of a charge against the employee; and where no charge has been instituted before the expiry of that period, the interdiction shall lapse.
(3) An employee under interdiction shall be paid such salary being not less than half of his basic salary as the Chief Executive may determine.
(4) An employee who is interdicted under subregulation (1) shall not leave his duty station without prior written permission of the Chief Executive or the head of personnel department.
54. Disciplinary procedure
(1) Except where any other law, such as the Security of Employment Act *, provides for disciplinary procedures against an employee the provisions of these Regulations shall apply.
(2) The Chief Executive shall have powers to institute disciplinary proceedings against any employee and determine those proceedings and he may delegate these powers to any employee or panel of employees in these Regulations both referred to as "the disciplinary authority".
(3) All disciplinary proceedings shall be instituted by preferring a written charge which clearly sets out the allegations against the employee concerned.
(4) The employee shall be given an opportunity to present his case and may represent himself or be assisted by a person of his own choice including an advocate. He may present his case at a hearing in writing, or orally or both.
(5) After the disciplinary authority has considered the representations made by the employee charged, it shall make its decision containing reasons for that decision and may impose an appropriate penalty after giving him an opportunity to present any matters in mitigation and shall also provide him with a copy of its written decision.
(6) If an employee is found guilty of a breach of discipline, whether or not a penalty is imposed, he shall be informed of his right of appeal.
(7) Breaches of discipline must be investigated speedily and, unless exceptional circumstances exist, the disciplinary authority shall ensure that disciplinary proceedings are concluded within ninety days from the date of commencement.
55. Appeals
(1) An employee who is aggrieved by the decision of the disciplinary authority or a penalty imposed upon him, or both, may within fourteen days of receipt of the decision appeal to the Permanent Secretary (in these regulations referred to as "the appellate authority") in writing copied to the disciplinary authority.
(2) The appellate authority may accept an appeal made by an employee out of time where it is satisfied that special circumstances precluded the submission of the appeal within the prescribed time.
(3) Except where the appellate authority is satisfied that the disciplinary authority is in possession of a copy of the appeal, the appellate authority shall serve a copy upon the disciplinary authority.
(4) Upon receipt of a copy of the appeal, whether from the appellant or from the appellate authority, the disciplinary authority shall within fourteen days of the receipt, submit to the appellate authority its representations in writing with a copy to the appellant.
(5) The appellate authority may determine the appeal in the absence of the employee appealing and in any case, unless exceptional circumstances exist, the appellate authority shall ensure that every appeal is conclude within ninety days from the date of receipt of representations made under paragraph (4).
(6) After the appellate authority has considered the appeal it may confirm, vary or rescind the decision of the disciplinary authority and shall inform the employee concerned and the disciplinary authority together with the reasons.
(7) No finding made or punishment imposed by a disciplinary authority shall be reversed or set aside on the ground only of any irregularity in the appointment of the disciplinary authority or the conduct of the disciplinary proceedings none of which shall substantially have affected the decision of the disciplinary authority.
PART IX
STAFF RELATIONS (regs 56-57)
56. Awareness of policies
(1) In order to foster good working relations, an Agency shall ensure that all employees are kept fully informed of the Agency's policies and plans.
(2) The Agency shall encourage consultations with employees to ensure that no changes in working arrangements or conditions are decided upon without the views of the employees concerned having been obtained.
(3) The Agency shall deal promptly with industrial grievances of individuals or groups.
57. Trade union membership
(1) The Agency shall maintain a positive attitude towards trade unions and the membership of its employees in trade unions.
(2) In dealing with grievances, the Chief Executive shall ensure that labour laws such as the Security of Employment Act *, the Employment Act * and the Industrial Court of Tanzania Act * are adhered to.
PART X
CODE OF ETHICS AND CONDUCT (regs 58-59)
58. Codes of ethics and conduct
(1) Until such time as a code of ethics applicable generally to the public service is issued, the Code of Ethics and Conduct set out in the Fourth Schedule shall apply to employees of Executive Agencies and every employee shall, throughout his term of employment, comply with the requirements of the Code or any other Code replacing the same.
(2) Every employee of an Executive Agency shall be provided with a copy of the applicable Code at the time of his appointment or when these Regulations come into force, whichever is the earlier.
59. Penalties for breach of the Code
(1) A breach of the Code constitutes a breach of discipline which may warrant disciplinary action leading to penalties including dismissal.
(2) Where the breach warrants criminal prosecution or causes civil liability to the Agency, the Chief Executive shall immediately report the matter to the police or to the Attorney-General, as the case may be, for necessary measures.
PART XI
MISCELLANEOUS PROVISIONS (reg 60)
60. Scope of the regulations
(1) These Regulations do not provide for every eventuality. Where a solution cannot be found by applying a regulation, the official concerned shall apply his best judgement and where the matter is of sufficient importance as to require a decision by the Chief Executive, the matter shall be referred to his with an explanation of the inability to resolve it by applying these Regulations and the Chief Executive may consult Government regulations or administrative orders and instructions which relate to the matter but only for guidance and may seek guidance of the Public Service Department.
(2) Employees of Executive Agencies are Government employees grouped as public servants alongside civil servants and others. These Regulations give the authority and framework within which Executive Agencies may devise details of their personnel management systems for an efficient and businesslike approach to their operations while retaining the status of a public service.
(3) These Regulations may be supplemented from time to time by written operational instructions issued by the Chief Executives of the respective Agencies in respect of their Agencies. The forms in the Schedule may be adopted or modified to suit particular purposes.
FIRST SCHEDULE
REQUISITION FOR STAFF
(Regulation 11)
A. GENERAL |
|
1. | Name of Department ................................................................................................ |
2. | Job Title: ................................................................................................................. |
3. | Grade: .................................................................................................................... |
4. | Location ................................................................................................................. |
5. | Date required ........................................................................................................... |
6. | Details of duties ....................................................................................................... |
(a) ................................................................................................................ |
|
(b) ................................................................................................................ |
|
(c) ................................................................................................................ |
|
(d) ................................................................................................................ |
|
7. | Promotion Opportunities .......................................................................................... |
B. PERSON REQUIRED |
|
8. | Preferred age range .................................................................................................. |
9. | Education and professional qualifications ................................................................... |
10. | Practical experience ................................................................................................ |
11. | Special qualities (physical, personal, etc) .................................................................. |
C. EMPLOYMENT CONDITIONS |
|
12. | Rate of pay ............................................................................................................. |
13. | Pension/contract/NPF .............................................................................................. |
14. | Number of hours per week ........................................................................................ |
15. | Whether by shifts or days off .................................................................................... |
16. | Payment for free days .............................................................................................. |
17. | Establishment ......................................................................................................... |
(a) Addition/replacement to existing staff |
|
(b) Is it funded? Yes/No |
|
(c) Addition of staff approved by ....................................................................... |
|
Requisitioned by (title and signature) |
|
Department ................................................ Date ............................................. |
|
FOR USE BY PERSONNEL DEPARTMENT |
|
1. Name of person engaged: ................................................................................... |
|
2. Source of recruitment .......................................................................................... |
|
3. Date started ...................................................................................................... |
SECOND SCHEDULE
LETTER OF APPOINTMENT
(Regulation 16)
NAME OF AGENCY .......................................................................................................... P.O. Box ........................................................... |
REF. No. ........................................................... Date: ................................................... Name: .............................................................................. |
Dear Sir/Madam LETTER OF APPOINTMENT I am pleased to offer you appointment with (Name of Agency) .............................................. |
(1) Salary: Shs. .......................... per month in the salary scale .......................................... |
(2) Terms of service: |
(a) pensionable/contract/provident fund. |
(b) (Applies in the case of contract appointments.) |
Your contract will be for a period of .......................... months at the end of which the contract may be renewed by mutual consent. On satisfactory completion of your contract, you will qualify for a gratuity calculated at the rate of 25 percent of the total substantive salary drawn by you during the period of the engagement. |
(3) Probationary period: ................. months. Your appointment will be terminated if you do not successfully complete your probationary period. |
(4) Targets and performance standards will be set at appropriate times in respect of your job. |
(5) The appointment may be terminated by either party by giving three months' prior notice in writing or by paying one month's salary in lieu of notice. |
(6) Other conditions of service will be in accordance with personnel and other regulations and operational instructions issued from time to time. |
This offer of appointment is subject to your being certified medically fit. Arrangements for your medical examination will be made by the Agency. |
If you accept this offer of appointment please sign the duplicate copy of this letter in the space provided and return it to this Agency. |
Your appointment will take effect from the date you report for duty. |
Yours faithfully, |
(Title and signature) .......................................................................................................... |
I accept this offer on the terms and conditions stated in this letter and will be available to commence my duties on ............................................................... |
Signature of employee .................................... Date ............................................................. |
Date of commencement of duty authenticated by Head of Department. |
(Title and signature) ........................................................................................................... Date ............................................................. |
THIRD SCHEDULE
ANNUAL PERFORMANCE APPRAISAL
(Regulation 44)
A. PERSONAL PARTICULARS |
(To be completed by the employee whose performance is being assessed) Full name .................................................................................................................... |
B. JOB DESCRIPTION |
(To be completed by the employee whose performance is being assessed) |
1.-5. [Omitted.] |
6. Title of present post ............................................................................................ |
7. Title of previous post (where there has been a transfer during the year) |
8. Performance objectives (targeted performance results) previously agreed with employer (quantity, quality, value of goods and services): |
(i) ................................................................................................................. |
(ii) ................................................................................................................. |
(iii) ................................................................................................................. |
(iv) ................................................................................................................. |
9. Any new qualifications acquired during reporting period (give details) |
10. Nature and manner of performance of duties (explain) |
11. What score would you give yourself? ..................................................................... |
C. ASSESSMENT OF PERFORMANCE IN PRESENT GRADE |
(This part should be completed by the Assessor) |
(a) The Assessor shall fill in column "D" of this Part. After completing Column "D", the assessor may discuss the grading with the employee where this is practically feasible. |
(b) Assessment scores will be based on a percentage of the total major performance standards assessed. Where a performance standard has not been assessed with the result that the maximum score is reduced, the percentage of the total score shall be based on the balance maximum score. For example where, No 5 "Ability to Manage" has not been assessed the maximum score will be 80. Hence the total score percentage will be: |
X x 100 |
ASSESSMENT SCORES |
||
80 -100 | = | Outstanding |
60 - 79 | = | Good |
50 - 59 | = | Satisfactory |
35 - 49 | = | Unsatisfactory |
Below 35 | = | Poor |
NA | = | Not assessed |
Description of Performance | Performance Grading |
||
"A" | "B" | "C" | "D" |
1. Output | Actual performance | ||
(i) (ii) (iii) (iv) | |||
2. Knowledge and Experience | Knowledge of the required skills as indicated by the performance results (name the skills): | ||
(i) (ii) (iii) (iv) | |||
3. Conduct in Performance | Degree to which his conduct has positively contributed to results: | ||
(i) general behaviour (ii) attitude towards clients (iii) attitude towards colleagues (iv) attitude towards the general public | |||
4. Initiative and Responsibility | To what extent are performance results attributable to– | ||
(i) his readiness to take responsibility. (ii) his foresight for possible repercussions. (iii) his initiative to think out for himself. (iv) his ability to draw sound conclusions. | |||
5. Ability to Manage | To what extent are performance results attributable to his managerial ability– | ||
(i) his decision in resource utilisation. (ii) performance targets set by him. (iii) monitoring and evaluation of performance (iv) training of performers. |
Date ............................................... Designation .............................................................. Signature: ................................................................... |
D. FOR EMPLOYEES SERVING ON PERMANENT AND PENSIONABLE TERMS |
This Section should be completed by the supervisor in respect of employees serving a probationary period. |
General Notes |
Mark "X" in (a), (b), (c) or (d) where not applicable and " |
I certify that in my opinion the employee has attained a standard of performance and the grading as stated in Section C above and that– |
(a) the employee has not completed the probationary period and cannot be confirmed in the appointment. | / / |
(b) the employee is suitable for appointment on permanent and pensionable terms. | / / |
(c) the employee is not suitable for appointment in the service of the Agency on permanent and pensionable terms for the following reasons. | / / |
Date ............................................... Designation .............................................................. |
Signature: .................................................................. |
E. SUITABILITY FOR PROMOTION/GRANT OF ANNUAL SALARY INCREMENT |
(This Section should be completed by the head of department.) |
General Notes |
Mark "X" where not applicable " |
I recommend that: |
(a) the employee is suitable for promotion to the next grade which is .............................................. | / / |
(b) the employee is suitable for the grant of the annual increment. | / / |
(c) the employee is not suitable for the grant of annual increment because of unsatisfactory work performance. | / / |
(d) the employee should be given training in ................................... | / / |
Other comments ....................................................................................... | |
Date: ....................................................................................................... | |
Designation: ............................................................................................. | |
Signature: ................................................................................................ |
F. TO BE COMPLETED BY THE CHIEF EXECUTIVE |
(a) Since the employee has not completed the probationary period he cannot be confirmed in the appointment ............................................................................. |
(b) The employee is suitable for appointment on permanent and pensionable terms. |
(c) The employee is not suitable for appointment on permanent and pensionable terms; his probationary period should be terminated. |
(d) Necessary process should commence for the advancement of the employee to a higher post which is ..................................................................................................... |
(e) I authorise the grant of annual increment |
(f) The employee should be given training in |
Any other comments .......................................................................................... |
Date: ................................................... Designation ........................................... |
Signature ........................................................................................................... |
Copy received ........................................... (the employee) on ............................. |
Name ................................................................................................................ |
FOURTH SCHEDULE
CODE OF ETHICS AND CONDUCT
(Regulation 55(1))
I. CORE VALUE
1. Pursuit of Excellence in Service
An employee of an Executive Agency shall strive to achieve the highest standard in the performance of his work and shall have regard to the special obligations that his official position imposes on him.
2. Loyalty to the Agency and the Government
An employee of an Executive Agency shall loyally serve the Agency and the duly elected Government of the day.
3. Integrity
An employee of an Executive Agency shall conduct himself with integrity, honesty and objectivity in the performance of duties and shall not, either by himself or in conjunction with any other person, solicit, accept, obtain or attempt to obtain any advantage or favour as an inducement to do or not to do, or for having done or not having done, anything in relation to the functions of the Agency or the Government.
4. Courtesy
An employee of an Executive Agency shall be courteous to clients and colleagues and will always focus on meeting the needs of clients.
5. Cost consciousness
An employee shall be scrupulous and conscientious in the use of the resources of the Agency and of time.
6. Accountability
An employee of an Agency shall be accountable for his actions through formal lines of authority and responsibility within the Agency.
7. Impartiality in service
An employee of an Executive Agency shall not engage in political activities, nor allow his personal political views to influence performance of his duties.
8. Diligence on Duty
An employee of an Agency will attend regularly during hours of work and will devote himself wholly to his work.
II. DETAILED OBLIGATIONS
A. Devotion to Duty
An employee of an Executive Agency shall devote his time, energy and effort in the performance of assigned duties and shall–
(a) obey the law;
(b) obey all lawful instructions and work as instructed;
(c) ensure competence and efficiency in the performance of assigned duties;
(d) refrain from conduct which might impair work performance;
(e) observe punctuality as to the hours of arrival and breaks;
(f) not leave his workplace before the official closing time without authorisation;
(g) not absent himself from duty without proper authorisation or reasonable cause;
(h) when the exigencies of service so demand, work beyond official business hours including weekends and public holidays;
(i) discharge not only the duties appertaining to his job, but also any other duties which he may be called upon to perform in the interests of the Agency;
(j) accept his posting to any work station, as the station to which an employee is posted is determined by the requirements of the service of the Agency.
B. Proper use official information
An employee of an Executive Agency will not unnecessarily withhold information which clients or the public has the right to know. On the other hand an employee may not divulge or misuse confidential official information obtained or to which he has access owing to his position, except with authority.
C. Political and other influences
An employee of an Executive Agency shall not seek political influence with a view to obtaining advancement on matters relating to appointment, promotion, transfer, discipline and cessation of employment.
D. Private interests.
1. No employee of an Agency shall engage in any occupation or undertaking outside his official duties that would require his attendance at any time for government business.
2. No employee of an Agency may at any time engage in any activity that would in any way impair his usefulness as a public servant.
3. No employee of an Agency may engage in any occupation or undertaking that would conflict with the interest of the Agency or be inconsistent with his position as a public servant.
E. Presents, gifts and voluntary contributions
An employee of an Executive Agency is prohibited from giving or receiving valuable presents other than gifts to or from personal friends and relatives whether in the form of money, goods, services or other personal benefits. This prohibition applies to gifts etc., received by members of the employees family. The restriction shall not apply to presents of little value such as diaries, and pens, which are usually a token of goodwill.
F. Pecuniary embarrassment
1. Serious pecuniary embarrassment, from whatever cause, will be regarded as necessarily impairing the efficiency of an employee.
2. Pecuniary embarrassment involved in the lending and borrowing of money at usurious rates of interest will be regarded as affecting both the respectability of the service of the Agency and the trustworthiness of the employee.
G. Sexual harassment and sexual discrimination
1. An employee of an Agency shall refrain from unwelcome sexual advances, requests for sexual favours and other verbal or physical conduct of a sexual nature, when submission to, or rejection of, such conduct explicitly or implicitly affects an individual's work performance or creates an intimidating, hostile or offensive work environment.
2. The following types of conduct constitute sexual harassment:
(a) pressure for sexual activity or favours;
(b) rape, sexual battery and molestation or attempt to commit these assaults;
(c) intentional physical conduct which is sexual in nature such as unwelcome touching, pinching, patting, grabbing or brushing against another employee's body, hair or clothing;
(d) sexual innuendoes, gestures, noises, jokes, comments or remarks to a person about his/her sexuality, sexual experience or his/her gender or body; and
(e) preferential treatment, promises, compensation and rewards on submitting to sexual conduct which make the working environment hostile to other employees.
H. Political Participation
1. An employee of an Executive Agency may participate in the following political activities–
(a) becoming a member of a political party of his choice;
(b) voting at party elections and at presidential, parliamentary and local government elections;
(c) attending lawful political party rallies outside office hours as an observer; and
(d) paying contributions to a political party and while outside the place of work soliciting payment of party contributions from other people.
2. An employee of an Executive Agency may not–
(a) Engage in political activities at work or while in the work place;
(b) wear uniforms of any political party at work or while in the work place;
(c) by words or acts, bring the Agency or the Government into disrepute on the basis of his political belief or affiliation;
(d) offer services discriminatingly on account of his political belief affiliation;
(e) hold office in, or be employed by, a political party while in the service of the Agency;
(f) campaign for his own election or for aspirants to any political office while in the service of the Agency;
(g) stand for election to office in any political party or to any other political office while in the service of the Agency.
ARRANGEMENT OF REGULATIONS
Regulation
Title
PART I
PRELIMINARY PROVISIONS
1. Citation.
2. Interpretation.
3. Application.
4. Mandatory implied term for conciliation and arbitration of disputes.
5. Duty of parties to settle disputes under Regulations.
PART II
CONCILIATION
6. Commencement of conciliation proceedings.
7. Number of conciliators.
8. Appointment of conciliators.
9. Submission of statement to conciliator.
10. Role of conciliator.
11. Communication between conciliator and parties.
12. Co-operation of parties.
13. Settlement agreement.
14. Status and effect of settlement agreement.
15. Termination of conciliation proceedings.
16. Mandatory consequence of failure of conciliation.
PART III
ARBITRATION
17. Commencement of arbitration.
18. Number and appointment of arbitrators.
19. Non-disqualification of conciliator as arbitrator.
20. Role of arbitrator and co-operation of parties.
21. Proper law.
22. Procedural law.
23. Statement of claims and defence.
24. Hearing and written submissions.
25. Default of a party.
26. Experts.
27. Decisions by panel of arbitrators.
28. Settlement.
29. Form and contents of arbitral award.
30. Status and effect of arbitral award.
31. Termination of arbitral proceedings.
PART IV
ENFORCEMENT OF SETTLEMENT AGREEMENTS AND ARBITRAL AWARDS
32. Enforcement of agreements.
PART V
GENERAL PROVISIONS
33. Representation of parties.
34. Interim measures.
35. Service and receipt of written communications.
36. Termination of mandate.
37. Substitution of conciliator or arbitrator.
38. Costs and fees of conciliators and arbitrators.
39. Correction of errors and interpretation of arbitral awards.
40. Protection of conciliators, arbitrators and other participants.
41. Forms.
SCHEDULE
THE EXECUTIVE AGENCIES (CONCILIATION AND ARBITRATION) REGULATIONS
(Section 18)
[19th March, 1999]
G.N. No. 76 of 1999
PART I
PRELIMINARY PROVISIONS (regs 1-5)
1. Citation
These Regulations may be cited as the Executive Agencies (Conciliation and Arbitration) Regulations.
2. Interpretation
In these Regulations, unless the context otherwise requires–
"Act" means the Executive Agencies Act *;
"arbitral tribunal" means a sole arbitrator or a panel of arbitrators;
"dispute" includes a difference;
"party" means a party to conciliation or arbitration proceedings under these Regulations;
"Service Level Agreement" means an agreement between an executive agency on the one part and a Ministry, department or other division, by whatever name called, of the Government on the other part, for the provision of goods or services; or such an agreement between one executive agency and another.
3. Application
(1) These Regulations shall apply to the settlement of disputes relating to Service Level Agreements in respect of which–
(a) the value of the claim exceeds ten million shillings or such other amount as the Minister responsible for the public service may prescribe; and
(b) the payment of the claim or the performance of an obligation has remained outstanding for six months or more from the date it became due.
(2) For the purposes of paragraph (a) of subregulation (1), two or more claims, whether or not of a similar nature, may be joined together in a single submission for conciliation or arbitration.
(3) In any particular case in which the value of a claim is lower than the amount specified in, or prescribed under, paragraph (a) of subregulation (1), the Minister responsible for the public service may, on an application in writing by a party authorise in writing that the dispute be dealt with under these Regulations.
4. Mandatory implied term for conciliation and arbitration of disputes
Unless it is expressly stated in a Service Level Agreement, it shall be an implied term in every such agreement that any dispute arising from the agreement may be settled only through conciliation or arbitration under these Regulations and that the agreement constitutes a waiver by each of the parties of any rights or remedies to any other method of settling disputes.
5. Duty of parties to settle disputes under Regulations
(1) The parties shall endeavour to resolve any disputes between or among themselves through conciliation and shall only proceed to arbitration if they do not agree to settle their disputes through conciliation or if the conciliation proceedings do not produce a settlement acceptable to any of the parties.
(2) Where, in the opinion of a party aggrieved by a dispute all reasonable steps have been taken to resolve the dispute and no settlement, other than through conciliation or arbitration is likely to be reached, that party shall initiate conciliation proceedings without undue delay.
PART II
CONCILIATION (regs 6-16)
6. Commencement of conciliation proceedings
(1) Any of the parties may, in writing, notify the other party of the existence of a dispute, setting out the subject of the dispute and its claim and request the other party to agree to submit the dispute to conciliation; and the party requested shall respond to the other within thirty days of the receipt of the request.
(2) Where upon a request made in accordance with paragraph (1) the party requested–
(a) does not respond within thirty days or does not accept the request, conciliation proceedings shall not take place and the dispute shall thereby become the subject of arbitration; or
(b) accepts the request, the parties shall as soon as possible after the acceptance, appoint a conciliation or conciliators.
(3) For the purposes of these Regulations, conciliation proceedings shall be deemed to commence on the date on which one party requests the other to agree to submit the dispute to conciliation.
7. Number of conciliators
(1) Conciliation proceedings shall be conducted by one conciliator unless the parties agree that there shall be two or more conciliators.
(2) Where more than one conciliator is appointed, they shall act jointly.
8. Appointment of conciliators
(1) In conciliation proceedings–
(a) with one conciliator, the Attorney-General, shall appoint a single conciliator;
(b) with two conciliators, each party may appoint one conciliator;
(c) with three conciliators each party may appoint one conciliator and the Attorney-General shall appoint the third conciliator who shall act as presiding conciliator.
(2) A person who holds a public office shall not be qualified to be appointed a conciliator by the Attorney-General under subparagraph (a) or (c) of paragraph (1).
9. Submission of statement to conciliator
(1) The conciliator may request each party to submit a written statement describing the nature of the dispute and the matters at issue and each party shall give a copy of its statement to the other.
(2) At any stage of the conciliation proceedings, the conciliator may request each party to submit any such additional information as he may consider appropriate and any written or other evidence or grounds on which a party wishes to rely in support of its position and the conciliator shall give a copy of every document to the other party.
10. Role of conciliator
(1) A conciliator shall, in an attempt to reach an amicable settlement of the parties dispute, be guided by principles of impartiality fairness and justice and shall assist the parties in an independent and impartial manner.
(2) The conciliator shall among other things, give consideration to the rights and obligations of the parties, the usages of the trade concerned and the circumstances surrounding the dispute including any previous business practices between the parties and the desirability of a speedy settlement of the dispute.
(3) Subject to these Regulations, a conciliator shall not be bound by the laws applicable to evidence or procedure in proceedings before the courts.
(4) The conciliator or any party may, at any stage of the conciliation proceedings, make proposals or suggestions for the settlement of the dispute.
11. Communication between conciliator and parties
The conciliator may meet or communicate with the parties together or separately and shall determine, after consultation with the parties, the place where the proceedings are to be held.
12. Co-operation of parties
The parties shall, in good faith, co-operate with the conciliator and, in particular, shall endeavour to comply with requests by the conciliator to submit written evidence, to provide any other evidence and to attend meetings.
13. Settlement agreement
(1) Where it appears to the conciliator that there exist elements of a settlement that may be acceptable to the parties, he shall formulate the terms of a possible settlement and submit them to the parties for their observations and specify the time within which they must signify their approval.
(2) The conciliator may reformulate the terms of a proposed settlement in the light of any observations submitted to him by the parties.
(3) A settlement agreement shall be made in writing and shall be signed by the parties and authenticated by the conciliator; and in proceedings with more than one conciliator, the signature of two conciliators shall be sufficient so long as the reason for any omitted signature is stated on the agreement.
14. Status and effect of settlement aggreement
A settlement agreement shall be final and binding on each of the parties and shall have the same force and effect as an arbitral award under Regulations 30 on the substance of the dispute and may be enforced in the same manner.
15. Termination of conciliation proceedings
Conciliation proceedings may be terminated in any of the following cases and on the respective dates of their occurrence–
(a) by the signing of the settlement agreement by the parties, on the date of the agreement;
(b) if, at any time after the commencement of proceedings and the conciliator having consulted the parties is of the opinion, and notifies the parties, that further efforts at conciliation are no longer justifiable, on the date of the notification;
(c) if any of the parties notifies the conciliator that the proceedings should terminate, on the date of the notification;
(d) if within three months of the date of appointment of the conciliator or such longer periods as the parties may agree to, the proceedings fail to produce a settlement.
16. Mandatory consequence of failure of conciliation
Where, conciliation proceedings have been terminated under regulation 15(b), (c) or (d) conciliation proceedings have terminated, the conciliator shall issue a certificate to that effect and the dispute shall thereby become the subject of arbitration in accordance with Part III of these Regulations.
PART III
ARBITRATION (regs 17-31)
17. Commencement of arbitration
Arbitration proceedings shall commence–
(a) where under subregulation (2) of Regulation 5 a party has not responded within thirty days to a request for conciliation or has not accepted the request, on the date on which one party requests the other to agree to submit the dispute to conciliation;
(b) where conciliation proceedings have not produced a settlement acceptable to the parties, within fourteen days after the conciliator has issued a certificate to that effect.
18. Number and appointment of arbitrators
(1) Arbitration proceedings shall be conducted by a single arbitrator appointed by the parties unless they agree that there shall be more than one arbitrator.
(2) Where two or more arbitrators are appointed, they shall act jointly.
(3) In arbitration proceedings with three arbitrators, each party shall appoint one arbitrator and the Attorney-General shall appoint the third arbitrator who is not a person holding a public office and who shall act as presiding arbitrator.
19. Non disqualification of conciliation as arbitrator
(1) Except as may be agreed in writing by the parties a person who, having acted as conciliator in connection with some or all of the matters in conciliation proceedings that have failed to produce a settlement shall not be disqualified to act as an arbitrator in the same dispute only on the ground that he had acted previously as a conciliator.
(2) Where the parties have agreed that a person appointed as a conciliator may act as an arbitrator, in the event of the conciliation proceedings having failed to produce a settlement acceptable to the parties, no objection shall be taken to the conduct of arbitration proceedings or to any award on the ground that he had previously acted as a conciliator in connection with any of the matters referred to arbitration.
20. Role of arbitrator and co-operation of parties
The provisions of Regulations 9, except paragraph (3), and Regulation 11 shall apply to arbitration proceedings.
21. Proper law
An Agreement out of which the dispute or the arbitration arises shall be governed by the law of Tanzania.
22. Procedural law
The arbitration proceedings shall be governed by the law of evidence and procedure generally applicable to civil proceedings in Tanzania except where the parties, in any particular part of the proceedings, agree to apply any other rules of evidence or procedure.
23. Statement of claims and defence
(1) Within the period of time agreed upon by the parties or determined by the arbitral tribunal, the claimant shall state the facts supporting his claim, the points at issue and of the relief or remedy sought, and the respondent shall state his defence in respect of these particulars, unless the parties have mutually agreed as to the required particulars of such statements.
(2) The parties may submit with their statements all documents they consider to be relevant or may add a reference to the documents or other evidence they will submit.
(3) Except as otherwise agreed by the parties, or determined by the arbitral tribunal, either party may amend or supplement his claim or defence during the course of the arbitral proceedings unless the arbitral tribunal considers it inappropriate to allow the amendment or supplement having regard to the delay in making it.
24. Hearing and written submission
(1) Subject to any agreement to the contrary by the parties, the arbitral tribunal shall decide whether to hold oral hearing for the presentation of evidence or for oral argument or whether the proceedings shall be conducted only on the basis of documents and other materials furnished under Regulation 23.
(2) Unless the parties have agreed that no hearings shall be held, the arbitral tribunal shall hold oral hearing at an appropriate stage of the proceedings, if so required by a party.
(3) The arbitral tribunal shall have power to administer oaths to the parties and witnesses appearing before it.
(4) The parties shall be given sufficient advance notice of any hearing and of any meeting of the arbitral tribunal for the purpose of inspection of documents, goods or other matter.
(5) All statements, documents or other information furnished to, or applications made to, the arbitral tribunal by one party shall be communicated to the other party, and any expert report or evidential document on which the arbitral tribunal may rely in making its decisions shall be communicated to the parties.
25. Default of a party
Where without showing sufficient cause–
(a) the claimant fails to communicate his statement of claim in accordance with Regulation 23(1), the tribunal shall terminate the arbitral proceedings;
(b) the respondent fails to communicate his statement of defence in accordance with Regulation 23(1), tribunal shall continue the proceedings without treating that failure alone as an admission of the claimant's claim;
(c) any party fails to appear at a hearing or produce documentary evidence, the arbitral tribunal may continue the proceedings and make the award on the evidence before it;
(d) the claimant fails to prosecute his claim, the arbitral tribunal may make an award dismissing the claim or give directions, with or without conditions, for the speedy determination of the claim.
26. Experts
(1) The arbitral tribunal may, unless otherwise agreed by the parties.
(a) appoint one or more experts to report to it on specific issues to be determined by the arbitral tribunal; and
(b) require a party to give the expert any relevant information or to produce or provide access to, any relevant documents, goods or other property for inspection.
(2) Where a party so requests or if the arbitral tribunal considers it necessary, the expert shall, after delivery of his written or oral report, participate in an oral hearing where the parties shall have the opportunity to put questions to him and to present expert witnesses in order to testify on the points at issue.
(3) The expert appointed under this regulation shall, upon the request of a party make available to that party for examination all documents, goods or other property in the expert's possession which was provided to him in order to prepare his report.
27. Decisions by panel of arbitrators
(1) In arbitral proceedings with three arbitrators, unless otherwise agreed by the parties, a decision made by two or all its members shall be the decision of the arbitral tribunal.
(2) Notwithstanding paragraph (1), if authorised by the parties or all the members of the arbitral tribunal, questions of procedure may be decided by a presiding arbitrator.
28. Settlement
(1) If, during arbitral proceedings, the parties settle the dispute the arbitral tribunal shall terminate the proceedings and, if requested by the parties and not objected to by the arbitral tribunal, record the settlement in the form of an arbitral award on agreed terms.
(2) An arbitral award on agreed terms shall be made in accordance with Regulation 29 and shall state that it is an arbitral award.
(3) An arbitral award on agreed terms has the same status effect as any other arbitral award on the substance of the dispute.
29. Form and contents of arbitral award
(1) The arbitrators shall make their award in writing within three months after entering on the reference, or after having been called on to act by notice in writing from any part to the submission, or on or before any later day to which the arbitrators, by writing signed by them, may, extend for making the award.
(2) An arbitral award shall be made in writing and shall be signed by the arbitrator or the arbitrators.
(3) For the purpose of paragraph (1), in arbitral proceedings with more than one arbitrator, the signatures of two of the arbitrators shall be sufficient so long as the reason for any omitted signature is stated on the record of the award.
(4) The arbitral award shall state the reasons upon which it is based, unless–
(a) the parties have agreed that no reasons are to be given; or
(b) the award is an arbitral award on agreed terms under Regulation 28; and wherever practicable shall set out the time limits within which its terms, or any of them, are to be complied with.
(5) The arbitral award shall state the date of the award and the place of arbitration.
30. Status and effect of arbitral award
An arbitral award shall be final and binding on the parties and the persons claiming under them respectively and is enforceable in the manner provided for in Part IV of these regulations.
31. Termination of arbitral proceedings
(1) The arbitral proceedings shall be terminated by the final arbitral award or by an order of the arbitral tribunal under paragraph (2).
(2) The arbitral tribunal shall issue an order for the termination of the arbitral proceedings where–
(a) the claimant withdraws his claim, unless the respondent objects to the order and the arbitral tribunal recognises a legitimate interest on his part in obtaining a final settlement of the dispute;
(b) the parties agree on the termination of the arbitral proceedings and the tribunal is satisfied that the parties are actively pursuing other measures to resolve the dispute; or
(c) the arbitral tribunal finds that the continuation of the proceedings has for any other reason, become unnecessary or impossible.
(3) If arbitral proceedings are terminated under subregulation (2), the arbitral tribunal shall submit a report on its proceeding–
(a) in respect of a dispute involving a Ministry and an executive agency, to the Minister responsible for that Ministry and the Minister responsible for the executive agency; and
(b) in respect of a dispute involving executive agencies only, to the respective Ministers and Permanent Secretaries responsible for the executive agencies concerned.
(4) Subject to Regulation 39, the mandate of an arbitral tribunal terminates upon the termination of arbitral proceedings as provided for in this Regulation.
PART IV
ENFORCEMENT OF SETTLEMENT AGREEMENTS AND ARBITRAL AWARDS (reg 32)
32. Enforcement of agreements
(1) At the conclusion of proceedings, the conciliator or arbitral tribunal, as the case may be, shall submit a certified copy of every settlement agreement or arbitral award to the Permanent Secretary of the Ministry concerned or for the Ministry responsible for the executive agency concerned who shall, in accordance with the terms of the agreement or award, take all reasonable measures to ensure that unless the parties have sooner implemented those terms–
(a) in the case of a monetary claim, any amount due from one party to the other is paid; or
(b) in the case of any their right or obligation, the right is enforced or the obligation is performed by the relevant party.
(2) For the purposes of paragraph (1), in addition to any other measures for satisfying the terms of a settlement agreement or an arbitral award, the Permanent Secretary may–
(a) withhold any funds appropriated under section 12(1) of the Act to an executive agency which is in default of its obligation and pay the party to whom money is due;
(b) pay any moneys due to another party from the amount of revenue of an executive agency which under section 12(3) of the Act, is to be treated as public funds credited to the Exchequer account.
(3) The provisions of subregulation (2) shall apply to settlement agreement or an arbitral award to which a Ministry, department or other division is a party in the same manner as they apply between executive agencies.
(4) The chief executive of an agency that has been a party to proceedings under these Regulations shall include in the annual report for the year in which the proceedings terminated or for the following year a summary and the outcome of those proceedings and also indicate the measures taken or contemplated for the implementation of the agreement or award.
(5) Where the Permanent Secretary has failed to enforce an agreement or award as provided for in this regulation, he shall, without delay, submit the matter to Cabinet and Cabinet may take such measures as it considers appropriate.
PART V
GENERAL PROVISIONS (regs 33-41)
33. Representation of parties
(1) In conciliation proceedings, a party may be represented only by–
(a) on the part of an Executive Agency, the Chief Executive; or
(b) on the part of a Ministry, department or other division of the Government, the Permanent Secretary to that Ministry or of the Ministry to which the department or division belongs; or
(c) any other employee authorised in writing, either generally or in any particular case, by the chief executive or, as the case may be by the Permanent Secretary.
(2) In arbitration proceedings a party may be represented by any of the respective persons referred to in paragraph (1) or by–
(a) an advocate who is not the holder of a public office; or
(b) any other person of that party's choice.
34. Interim measures
A party may, at any time during any proceedings under these regulations, request the conciliator or the arbitral tribunal to grant an interim measure for the protection of its interests and the conciliator or the arbitral tribunal may grant the request.
35. Service and receipt of written communications
A written communication to be served by the conciliator, the arbitral tribunal, a party or any other person shall be deemed to have been duly served and received by the person to whom it is addressed if it is delivered to the addressed personally or at the usual place of business or postal address.
36. Termination of mandate
The mandate of a conciliator or an arbitrator shall terminate if–
(a) he resigns or is unable to perform the functions of his office or for any reason fails to act without undue delay;
(b) where any of the parties allege that he has misconducted himself by reason of lack of impartiality and the conciliator or arbitrator thereby withdraws from his office;
(c) the parties agree to the termination of the mandate.
37. Substitution of conciliator or arbitrator
(1) Where the mandate of a person is terminated under Regulation 36, a substitute conciliator or arbitrator shall be appointed in accordance with the procedure applicative to the appointment of the person being replaced.
(2) Unless otherwise agreed by the parties–
(a) where a sole conciliator or the presiding arbitrator is replaced, any hearing previously held shall be held afresh; and
(b) where a conciliator or an arbitrator other than a sole conciliator or a presiding conciliator or arbitrator is replaced ,the other members may continue the proceedings and make any decision, ruling or award after taking into account the stage of the proceedings and such other matters they consider appropriate under the circumstances.
38. Costs and fees of conciliators and arbitrators
(1) Upon the termination of the proceedings, the conciliator or the arbitral shall determine the costs of the proceedings and give written notice of those costs to the parties.
(2) For the purposes of paragraph (1) "costs" means reasonable costs of witnesses, administration and other assistance required by the conciliator or arbitral tribunal for the proceedings.
(3) The costs and fees of conciliators and arbitrators shall be borne equally by the parties unless the parties agree to a different apportionment.
(4) All other expenses incurred by a party shall be borne by that party.
(5) The conciliator or arbitral tribunal may direct each party to deposit an equal amount as an advance for the costs referred to in this Regulation and, upon termination of the proceedings, shall render an account to the parties of the deposits received and shall return any unexpended balance to the parties.
(6) The Minister responsible for the public service shall with the approval of the Minister responsible for finance, prescribe the fees and other expenses payable to conciliators and arbitrators and the fees and other expenses shall be paid by the parties immediately upon the termination of the proceedings.
39. Correction of errors and interpretation of arbitral awards
(1) An arbitral tribunal may, on its own initiative, correct any clerical or typographical errors or any other errors of a similar nature appearing in its award within thirty days after the date of the award.
(2) Within thirty days after receipt of the arbitral award, and after notifying the other party in writing, a party may request the arbitral tribunal–
(a) to correct in the arbitral award any errors of the type referred to in paragraph (1); and
(b) to give an interpretation of a specific point or part of the arbitral award.
(3) Regulation 38 shall apply to the correction or interpretation of an award requested by a party under subregulation (2).
40. Protection of conciliators, arbitrators and other participants
No conciliator, arbitrator, witness or any other person assisting in proceedings under these Regulations shall be liable in civil or criminal proceedings for any act or omission in connection with those proceedings but he may be liable for the consequences of his conscious and deliberate wrong doing.
41. Forms
The forms set out in the Schedule to these Regulations or similar forms, with such variations or modifications as the circumstances of each case require, may be used for the respective purposes to which they relate.
SCHEDULE
FORMS
(Regulation 41)
FORM 1
SUBMISSION TO A SINGLE CONCILIATOR/ARBITRATOR
In the matter of the Executive Agencies (Conciliation and Arbitration) Regulations *. |
WHEREAS differences have arisen and are still submitting between A. B. of .................................................. and C.D. of .................................................................... |
Now we, A.B. and C.D., do hereby agree to refer the matters in difference to the conciliation award of X.Y. |
(Signed) A.B. ................................................................ |
C.D. ............................................................................. |
Dated: .......................................................................... |
Note: This form may be modified as necessary in the case of submission to more than one conciliator or arbitrator. |
FORM 2
EXTENSION OF TIME BY CONCILIATOR/ARBITRATOR BY ENDORSEMENT ON AGREEMENT
In the matter of the Executive Agencies (Conciliation and Arbitration) Regulations *, and an arbitration between A.B. of ........................................................................... and C.D. of ........................................................................ |
I HEREBY extend the time of making my award in respect of the matters in difference referred to me by the parties within the above agreement until the ................... day of ..................................... |
(Signed) X.Y. ........................................................ Conciliator/Arbitrator |
FORM 3
AWARD
In the matter of the Executive Agencies (Conciliation and Arbitration) Regulations *, and an arbitration between A.B. of ............................. and C.D. of .......................................... |
WHEREAS, under an agreement in writing, dated the ................ day of .........................., made between A.B. of .......................................... and C.D. of ......................................... |
A.B. and C.D. have referred to me, X.Y., the matter in difference between them concerning (or as the case may be): |
Now I, the said X.Y., having duly considered the matters submitted to me, do hereby make an award as follows– |
I award– |
1. That ................................................................................. |
2. That ................................................................................. |
(Signed) X.Y. ......................................................................... Arbitrator |
Dated the ....................... day of ..............................., 20.......... |
ARRANGEMENT OF REGULATIONS
Regulation
Title
PART I
PRELIMINARY PROVISIONS
1. Citation.
2. Scope of Regulations.
3. Operational principles of Executive Agencies.
4. Discipline in financial management.
5. Financial autonomy.
PART II
FINANCIAL MATTERS
6. Financial responsibilities of the Chief Executive.
7. Financial responsibilities of Head of Finance Department.
8. The budget.
9. Revenue budget.
10. Expenditure budget.
11. The master budget.
12. Financial control.
PART III
REVENUE AND EXPENDITURE
13. Sources of revenue.
14. Acknowledgement of receipt of funds.
15. Recording of funds received.
16. Use of funds.
17. Investment of surplus funds.
18. Borrowing from banks and other financial institutions.
19. Capital expenditure.
20. Recurrent expenditure.
21. Loan repayments.
22. Renting of property.
23. Board expenses.
24. Fees and external services.
25. Security arrangements.
26. Cash holding in offices.
PART IV
ACCOUNTS AND AUDIT
27. Maintenance of books of accounts.
28. Physical verification of cash.
29. Payments arrangements.
30. Remittance of cheques.
31. Petty cash imprest.
32. Cheque payments.
33. Custody of cheque books.
34. Issuance of cheques.
35. Operation of bank accounts.
36. Valuable documents and keys.
37. Contract documents.
38. Assets.
39. Buildings and premises.
40. Furniture and other equipment.
41. Preservation and disposal of records.
PART V
ANNUAL REPORTS
42. Submission of annual reports.
43. Information to be submitted by the Chief Accountant.
44. The Auditor's report.
PART VI
LOSS OF CASH OR STORES AND WRITE-OFFS
45. Loss of cash or stores.
46. Loss to be reported.
47. Write-off.
PART VII
ACCOUNTING MANUAL AND OTHER INSTRUCTIONS
48. Accounting manuals.
49. Internal audit.
PART VIII
PROCUREMENT AND STORES
50. Principles of procurement.
51. Procurement and stores.
52. Obligation of management.
53. Justification of expenditure.
54. Purchases of small value.
55. Purchases of motor vehicles, machinery and other equipment.
56. Service Level Agreements.
57. Existing contracts.
PART IX
PROCUREMENT PROCEDURES
58. Budgetary authority for procurement.
59. Purchase requisition.
60. Purchase order.
61. Payment vouchers.
PART X
THE PROCUREMENT PROCESS
62. Purchase through quotations.
63. Tenders.
64. Evaluation criteria for quotations.
65. Single quotations.
66. Selection of supplier.
67. Notification of the award and contract.
68. Effecting the purchase.
69. Delivery of goods.
70. Examination of stores on receiving.
71. Ledger records.
72. Erasures and alterations.
73. Approval for the issue of stores.
74. "Goods received" and "goods issued" notes.
75. Performance of service.
76. Procurement contracts and Service Level Agreements.
77. Inspection of stores and verification of stock.
78. Store inspection report.
79. Duties and responsibilities of storekeepers.
PART XI
PURCHASE BY TENDER
80. Establishment of Internal Tender Boards.
81. Tendering procedures.
82. Tender documents.
83. Receipt of bids.
84. Opening of tenders.
85. Evaluation of quotations and bids.
86. Notification of award.
87. Invoice and payment.
88. Payment voucher.
89. Payment by cheque.
THE EXECUTIVE AGENCIES (FINANCE, PROCUREMENT AND STORES) REGULATIONS
(Section 18)
[19th March, 1999]
G.N. No. 77 of 1999
PART I
PRELIMINARY PROVISIONS (regs 1-5)
1. Citation
These Regulations may be cited as the Executive Agencies (Finance, Procurement and Stores) Regulations.
2. Scope of Regulations
(1) These Regulations shall–
(a) provide guidance to employees responsible for the finances of executive Agencies with regard to receipts and payments whether of revenue, recurrent or capital expenditure and for other related matters.
(b) provide guidance for the efficient management of financial transactions, procurement and stores procedures of executive agencies.
(2) Notwithstanding subregulation (1) where these regulations do not cater for a particular matter which the Chief executive considers important as regards the operations, of the Agency, he may consult the relevant Government Regulation, for guidance or seek the guidance of the Public Service Department or the Ministry of Finance.
(3) Each Chief executives financial authority shall be divided on the basis of the agency's business, need, and its managerial and productive ability.
3. Operational principles of Executive Agencies
An Executive Agency shall–
(a) perform its functions in accordance with commercial principles and ensure that its revenue is sufficient to meet its expenditure;
(b) provide its service in the most effective manner; and
(c) charge and collect fees or commissions for the provision of any goods or services to enable it meet its expenditure in accordance with its business plan.
4. Discipline in financial management
Every agency shall have the duty to maintain strict financial discipline and control in conduct of its affairs.
5. Financial autonomy
The scope for charging fees and commissions may vary from one agency to another depending on the current and potential customer base. Other agencies may remain partially or wholly dependent upon direct Government funding.
PART II
FINANCIAL MATTERS (regs 6-12)
6. Financial responsibilities of the Chief Executive
(1) The general financial responsibilities of a Chief Executive shall include the responsibilities set out in this regulation.
(2) The Chief Executive is the Accounting Officer of his Agency and he shall be responsible for implementing all policies pertaining to the functions laid down by the Agency and shall act within the scope of the Act. He shall have the duty to control the Agency's financial expenditure within the approved budget estimates.
(3) The Chief Executive shall:
(a) in financial matters relating to the business of the Agency, act in accordance with the Framework Document of the Agency and all other regulations;
(b) operate the bank accounts and banking transactions as one of the authorised signatories;
(c) prepare and, not later than three months before the end of each financial year, submit to the Permanent Secretary for approval, Strategic and Business Plans that include the estimates of income and expenditure for the next ensuring year;
(d) at any time before the end of a financial year, prepare and submit to the Permanent Secretary for approval any estimates supplementary to the estimates of the current year.
(4) In exercising better control of expenditure, the Chief Executive shall be empowered to authorise all payments whether of a capital or revenue nature, provided that the payments are within the approved budget estimates. In the absence of the Chief Executive, all powers shall be exercised by his nominee who shall normally be of the rank of head of department.
(5) In order to enable the Ministerial Advisory Board to perform its role effectively, the Chief Executive shall keep the Board informed regularly on any important matters that have a bearing on the functions of the Board as set out in section 7 of the Act.
7. Financial responsibilities of Head of Finance Department
(1) The financial responsibilities of the Head of Finance Department shall be to ensure that–
(a) payments made are in accordance with commercial accounting principles;
(b) debit notes and bills are raised against debtors and employees correctly and promptly;
(c) proper records are maintained to account for all types of receipts and payments;
(d) bank accounts and other banking transactions are operated in accordance with best practice;
(e) all liabilities are incorporated into the books of accounts and registered;
(f) a register for capital commitments is maintained;
(g) all dues to the Agency are promptly collected and outstanding debts are regularly followed up and recovered.
(2) An Agency may insure its property against risks and losses under an insurance policy.
8. The budget
(1) The Finance department shall obtain the forecasts and estimates from the directors or managers concerned and consolidate them for consideration by the Management Team.
(2) The Finance department shall maintain detailed and proper records with regard to all types of expenditure. Whenever the actual expenditure exceeds or is likely to exceed the approved budget, the situation shall be brought to the attention of the Chief Executive and the director or manager concerned, for corrective action.
(3) The Chief Executive as Accounting Officer shall be accountable for all the expenditure falling under the Agency and, may, from time to time, give further guidelines and instructions as he finds appropriate for the proper management and control of funds vested in him.
(4) In building up the budget, standard cost items shall be identified in the Agency's Accounting Manual.
9. Revenue budget
(1) The budget shall include estimates of the revenue to be earned by the Executive Agency. Detailed explanations for causes of any increases of shortfalls in revenue compared to the previous financial year shall be given in the business plan.
(2) The Management Team shall, at least once in every quarter, review the revenue budget, capital budget and cash flow statements by comparing the actuals with estimates and giving reasons for any variations.
(3) The time schedule and format in which annual budgets shall be prepared are shown in the Executive Agency's Accounting Manual.
10. Expenditure budget
(1) Estimates for both operating and capital expenditure shall be prepared by the Finance department based on the Information furnished by departmental heads or managers and shall be reviewed by the Management Team.
(2) Prescribed time schedules for preparation of the budget shall be strictly followed as required by these Regulations.
11. The master budget
(1) The master budget shall consist of–
(a) the revenue budget;
(b) the capital budget;
(c) the expenditure budget;
(d) projected balance sheet statement of income and expenditure; and
(e) project cash flow statements.
(2) The master budget as part of the Business Plan shall be submitted to the Permanent Secretary for approval and the Permanent Secretary shall refer the budget to the Ministerial Advisory Board for advice.
12. Financial control
(1) An Executive Agency shall conduct its business so as to ensure that its revenue is sufficient for meeting charges, contractual obligations and other expenditure properly chargeable to revenue.
(2) Senior managers shall, as far as practicable, delegate responsibilities and authorities over departmental budgets to the respective heads of departments or sections as appropriate.
(3) It is the responsibility of each manager to control expenditure under all items. Material requisitions shall be approved by the Finance department or a person to whom the powers have been delegated before they are sent to the purchasing section for execution.
(4) Approval of expenditure or commitments shall be made against balances in the appropriate budget line. No expenditure shall be approved, and no commitment shall be entered into, unless there is a credit balance in the budget for that purpose.
PART III
REVENUE AND EXPENDITURE (regs 13-26)
13. Sources of revenue
The main sources of the revenue of Executive Agencies consist of the sale of goods and services, fees, commissions and royalties.
14. Acknowledgement of receipt of funds
All receipts of funds will be acknowledged by official receipts.
15. Recording of funds received
In accordance with accounting principles an Agency shall record all funds received, and this shall be done promptly and transparently such that an overall picture of all funds received by the Agency is known and records shall be readily available for all accounting purposes.
16. Use of funds
The funds of an Executive Agency shall only be used for discharging its functions as set out in the Order establishing the Agency, its Framework Document and Strategic and Business Plans.
17. Investment of surplus funds
The surplus of income over expenditure after incurring the necessary capital expenditure may be invested by an Executive Agency in facilities, equipment, bank deposits or securities which are likely to produce the best returns.
18. Borrowing from banks and other institutions
(1) The bank accounts shall as far as possible be operated on a credit basis and a deficit that is of a purely temporary nature may, depending upon the cash forecast be financed by making necessary arrangements with the bank for a temporary overdraft.
(2) If loans have to be secured by an Agency from a bank or lending institution, necessary arrangements shall be made in advance. Any type of long-term borrowing shall be foreseen in advance and included in the annual budget estimates and shall have the specific approval of the Permanent Secretary on such terms and conditions as he may specify.
(3) The power of an Agency to borrow money is subject to the approval of the Permanent Secretary and other requirements set out in section 3(6) of the Act.
19. Capital expenditure
(1) The capital expenditure for the year shall be incurred only within the limits of the authorised budget.
(2) The Chief Executive shall determine the levels of official authorised to approve capital expenditure and the maximum amount within their authority.
20. Recurrent expenditure
(1) The Head of Finance Department shall, in accordance with the terms approved by the Chief Executive and Chief accountant, pass for payment all recurrent expenditure within the approved budget estimates.
(2) Subregulation (2) of Regulation 14 shall also apply to recurrent expenditure.
21. Loan repayments
(1) Loan repayments are contractual obligations which must be met according to agreed repayment schedules.
(2) A schedule and calendar for loan repayments shall be maintained so that payment can be made on the due dates in order to avoid default or delays that may attract interest charges.
22. Renting of property
An Agency may rent office space for its headquarters, branches, warehouses, and residential accommodation for staff of the Agency. The rent shall be paid according to the specific rental agreements.
23. Board expenses
The Ministry responsible for an Executive Agency shall meet the costs of the meetings of its Ministerial Advisory Board. The Board meet not less than twice a year but as often as the Chairman may determine.
24. Fees and external services
An Agency may from time to time hire consultants, or temporary, or casual staff for specific services, projects and assignments.
25. Security arrangements
(1) An employee in charge of secure storage facilities shall be responsible for the contents therein and shall ensure that the contents are secured against possible loss or damage. Negligence in that respect shall result in disciplinary or legal proceedings, as appropriate.
(2) Cash and cheques shall always be locked in a safe or cash box and the keys, including spare keys, shall be kept in a secure place. The officer to whom a safe key has been issued is personally responsible for its safekeeping.
(3) The room in which a cash box or safe is kept must have secure doors, windows and locks.
(4) It is imperative that all security arrangements of the Agency are frequently reviewed so as to ensure that changing circumstances have not rendered particular security measures obsolete or unsafe.
(5) The Chief Executive shall make proper arrangements to ensure that the premises and property of, or used by, an Agency are secure at all times.
26. Cash holding in offices
(1) The amount of cash held in an office shall be kept to the minimum, having regard to imminent payments. Surplus cash shall be remitted or paid into the bank on the following working day.
(2) The Chief Executive Officer shall determine and review from time to time the maximum amount of cash to be held in any office as petty cash.
PART IV
ACCOUNTS AND AUDIT (regs 27-41)
27. Maintenance of books of accounts
The reconciliation of subsidiary records with the main accounts, including the bank accounts, shall be obtained at least once in a fortnight and reconciliation statements prepared by the tenth day of the following month.
28. Physical verification of cash
(1) A senior accountant shall–
(a) at least once a month on the first working day of the month and at any other time as may be directed by the Head of the Finance Department, check the cash balance; and
(b) after checking the cash balance under this regulation, give a certificate in the cash book and a report of his findings to the Head of the Finance Department.
(2) The main cash book and the petty cash book shall be balanced and closed on a daily basis without fail.
29. Payments arrangements
In effecting payments by Agency under these Regulations–
(a) all claims accepted against the Agency's funds must be paid promptly;
(b) as far as possible, all payments relating to a financial year shall be within that year;
(c) all payments shall be made through duly authorised payment vouchers;
(d) a payee shall be supplied with a copy of every voucher upon which payment is made to him, except where the payee is one of a number of persons paid on a single voucher (e.g. wages vouchers);
(e) payments to outsiders for amounts exceeding T.Shs. 100,000 or equivalent shall be made by cheque against duly authorised payment vouchers. A receipt must always be demanded to support the payment, by an Agency, of any amount; and
(f) all cheques issued to payees shall first be recorded in a cheque remittance register.
30. Remittance of cheques
Where a cheque has been processed and signed, it shall be remitted immediately to the payee after the recipient has signed an appropriate dispatch book, cheque remittance register or in the appropriate place on the payment voucher.
31. Petty cash imprest
(1) The Head of the Finance department shall ensure that petty cash imprests are given only to authorised officials according to approved limits.
(2) The Senior Accountant shall, before reimbursements are made, check thoroughly the imprest replenishment or reimbursements as the case may be.
(3) The authorised limits for petty cash are subject to review from time to time by the Chief Executive on the recommendation of the Head of the Finance Department.
(4) The imprest shalI be replenished periodically on the basis of actual expenditure supported by receipts or certifications.
(5) All petty cash shall be maintained on an imprest system. Where cash is advanced to staff in the form of I.O.U.s by the cashier, the same should be settled within the agreed time. In case of non-settlement in time the employee concerned shall be debited with the par value of unposted vouchers and recovery measures shall immediately be instituted by deduction from the employee's salary.
(6) The Chief Executive, on the advice of the Management, Team, shall determine the maximum amount of petty cash in respect of which he or any other officer may authorise payment.
32. Cheque payments
In order to ensure adequate control over cheque payments the procedures in Regulations 37 and 38 shall be adhered to.
33. Custody of cheque books
The Head of Finance Department or any other person appointed by the Chief Executive shall be the custodian of cheque books and other accountable documents, and shall have a duty to record in a register all cheque books and accountable documents obtained from the bank or other suppliers.
34. Issuance of cheques
(1) Cheque books shall be issued to the cashier by the Head of Finance Department by filling the details of the cheques, especially the range of cheque book numbers, in the counterfoil register and then the cashier acknowledging by signing against the receiving officer column. On returning the used or unused counterfoils, the cashier will again sign to testify handing over such range of number of used or unused counterfoils.
(2) In all circumstances the Head of the Finance Department shall sign against the appropriate column to certify the issuance or return of cheques.
35. Operation of bank accounts
(1) Practical and critical operations of bank accounts shall include the cheque signatories and safe custody of blank cheques.
(2) Cheque signatories under subregulation (1) shall be of two types as follows:
(a) The Chief executive or any other Director or Manager authorised by the Chief Executive;
(b) The Head of Finance Department and Chief Accountant.
(3) Any cheque whose amount exceeds five million shillings (T.Shs. 5,000,000/-) shall be signed by the Head of the Finance Department and counter-signed by the Chief Executive only.
(4) All unused cheques shall be kept under the safe custody of the Head of the Finance Department or Chief Accountant and shall be issued in writing on a day to day basis against authorised payments.
36. Valuable documents and keys
(1) Valuable documents include–
(a) title deeds of property;
(b) insurance policies;
(c) motor vehicle registration books or cards;
(d) contracts and similar agreements entered into between an Executive Agency and other parties for the supply of goods or services.
(2) The Head of Finance Department shall have the duty to ensure that the documents under subregulation (1) are recorded and kept in safe custody.
(3) Keys for all lockers, including chests of drawers, cupboards, computers, filing cabinets, safes, shall be maintained in, at least, duplicate. One set of the keys shall be kept in sealed envelopes and deposited with the bank of the Agency's choice for safe custody. The keys kept under the safe custody with the bank may be withdrawn only by any two officials who are authorised to operate the bank accounts.
(4) A register showing the number of the keys and the names of the officials who have custody of such keys shall be maintained by the Chief Accountant.
(5) There shall be handing over and taking over reports whenever a change takes place of the officials who handle keys.
37. Contract Documents
(1) There shall be written agreements between the Executive Agency and any contractor, consultant, supplier or employee whenever an Executive Agency engages the services of outsiders. These include service level agreements as provided in these Regulations.
(2) The agreements under subregulation (1) shall contain all the terms and conditions of the contract and shall be signed by the parties concerned, and recorded in the appropriate register of the Executive Agency.
38. Assets
An Agency shall maintain a register of fixed assets. There need be no restrictions on the freedom of an Agency to acquire or dispose of movable items such as machinery and vehicles, but land may be acquired or disposed of only with the approval of the Permanent Secretary.
39. Buildings and premises
Building and premises occupied or owned by the Executive Agency must be well maintained. The Agency shall ensure that routine maintenance and repairs are done regularly.
40. Furniture and other equipment
(1) The furniture, computers, typewriter, accounting machines, communication equipment, and other equipment, belonging to an Executive Agency shall always be kept in good working condition.
(2) The Head of Finance Department shall where necessary enter into service agreements with the suppliers so as to ensure that all equipment is well maintained.
41. Preservation and disposal of records
The Chief Executive of an Agency shall ensure that all documents in the custody of the Agency are properly preserved. No accountable documents should be destroyed without authorisation by the Chief Executive before the expiration of 15 years and only after they have been audited. Obsolete accountable documents may be disposed of at any time within the written authority of the Chief Executive.
PART V
ANNUAL REPORTS (regs 42-44)
42. Submission of annual reports
The Chief Executive shall, within two months after the end of each financial year, submit to the Minister and the Permanent Secretary, an annual report in respect of that year containing–
(a) a copy of the audited accounts of the Agency, together with the auditor's report on the accounts;
(b) a report on performance against key targets and any other related information;
(c) a report on the operations of the Agency during that financial year; and
(d) such other information as the Permanent Secretary may require;
(e) the Annual Performance Agreement between the Permanent Secretary and the Chief Executive.
43. Information to be submitted by Chief Accountant
(1) The Accountant shall prepare and submit monthly cash flow statements and quarterly reports to the Chief Executive.
(2) The head of department shall–
(a) prepare quarterly financial control statements showing actual cash receipts and payment against the budget;
(b) give reasons for variations of any.
(3) The annual performance report comparing the actual expenditure with the budgeted expenditure, both with regard to revenue and capital, shall be prepared by the Head of Finance Department. The performance report shall also compare the physical progress or work targets both with regard to operational activities and acquisition of capital items, and analyse the reasons for variation between the budget and the actual expenditure.
(4) The Chief Executive shall, after receiving monthly cash flow statements, quarterly reports and any other financial information under this Regulation, submit the documents to the Ministerial Advisory Board.
(5) The budgetary reports prepared under this Regulation shall be supported by other reports in respect of technical operations, administration, stocks and human resources matters.
44. The Auditor's report
(1) The Controller and Auditor-General shall prepare and submit his report to the Executive Agency on the accounts examined by him, and the report shall state–
(a) whether or not he obtained all the information and explanations he required, for the audit; and
(b) whether, in his opinion, the accounts and the balance sheet referred to in his report are properly drawn up so as to reflect a true and correct view of the state of the Executive Agency's affairs according to the best of the information and explanations given to him and as shown by the books of accounts of the Executive Agency.
(2) The format of the financial statements of accounts in which the annual accounts shall be compiled are as prescribed in the Executive Agency's accounting manual.
PART VI
LOSS OF CASH OR STORES AND WRITE-OFFS (regs 45-47)
45. Loss of cash or stores
For the purpose of these Regulations loss of cash includes loss of revenue, stamps, promissory notes, embossed papers and fixed fee receipts and loss of stores includes the loss of any goods belonging to an Executive Agency.
46. Loss to be reported
(1) Where it is suspected that there is theft as fraud involved, a supervising officer shall after receiving a report in writing in respect of such loss of cash or stores arrange for an immediate investigation and report the matter to the police.
(2) In all cases, loss reports and correspondence relating to losses must be transmitted also to the Head of Finance and all losses shall be followed up by the head of department or division with a view to recovery.
47. Write-off
(1) The head of department or division shall, where all measures have been taken and it appears the loss cash or stores can not be recovered, report the matter to the head of finance who shall authorise the write-off of such loss after consultation with the Chief Executive.
(2) The powers to write-off conferred on the head of finance under subregulation (1) shall only be exercised as a last resort.
PART VII
ACCOUNTING MANUAL AND OTHER INSTRUCTIONS (regs 48-49)
48. Accounting manuals
Operating manual and relevant accounting instructions in respect of accounting, technical aspects, operations, stores, and administrative activities will be issued from time to time to supplement these Regulations.
49. Internal audit
(1) There shall be a designated internal auditor for each Executive Agency, who shall be responsible to the Chief Executive.
(2) The functions of the internal auditor shall be–
(a) to appraise regularly the financial management with regard to compliance with financial regulations procurement and stores and other procedures; and
(b) to submit periodic reports and reports on implementation of his recommendations to the Chief Executive and the Permanent Secretary.
(3) The internal auditor shall not form part of the normal accounting personnel and shall not be assigned routine accounting work of the agency.
PART VIII
PROCUREMENT AND STORES (regs 50-57)
50. Principles of procurement
Executive Agencies shall operate according to a simplified internal system of financial, procurement and stores procedures that guarantee transparency, efficiency, cost-effectiveness, quality and promptness of delivery of public services.
51. Procurement and stores
(1) These purchasing procedures provide the principles that will govern the day to day business transactions in an Executive Agency and lay down conditions to be satisfied before any financial commitment or authorisation of payment for goods or services can be made.
(2) A procurement department or unit shall be established to ensure that the Agency obtains goods and services in the quantities and quality required in good time, and in a cost-effective manner. The procedures place the responsibility for authorisation and payment on different employees in the Executive Agency, and provide a self-checking system by enhancing managerial responsibility without unnecessary delays and bureaucracy.
(3) Procurement procedures shall be transparent in order to promote an equal opportunity policy to enable suppliers to compete for orders and bids.
(4) Proper records of procurement transactions and critical data must be assembled with respect to types of goods and services, suppliers, prices, delivery times, and other information which shall help the Executive Agency manage the business and deliver services efficiently.
52. Obligation of management
Management must ensure that the procurement function is managed competently, responsibly and by trustworthy employees, and that staff adhere to the approved procedures.
53. Justification of expenditure
(1) Each head of department shall control and approve all expenditure and shall be responsible and accountable for the expenditure of his department.
(2) Where a need to purchase goods and services arises, approval of the head of department shall be obtained by completing a Material Requisition Form, which is set out in the relevant Accounting Manual.
54. Purchases of small value
(1) A Chief Executive may issue an imprest to an official assigned with purchasing duties for purchasing goods and services whose value do not exceed such amount as the Chief Executive may, on the advice of the Head of the Finance department, determine.
(2) Where there are alternative suppliers, the choice of supplier shall be based on scrutiny of quotations and proforma invoices obtained from at least three different suppliers. For the supply of items calling for technical expertise, the choice shall be made from licensed and competent dealers or agents.
55. Purchases of motor vehicles, machinery and other equipment
Where specifications of types of motor vehicles, machinery or equipment to be acquired have to be stipulated and where there are exclusive suppliers for the particular items or types, the relevant agents or dealers shall be approached and used. All agents and dealers must be able to offer a reasonable guarantee of quality and durability of these items. Where there are alternative suppliers, quotations shall be invited.
56. Service Level Agreements
Purchase of goods or services of substantial value by Executive Agencies from third parties shall be effected through formal contracts that are prepared by legally qualified personnel. Transactions of a contractual nature between an Executive Agency and another Executive Agency or a Ministry or department of the Government shall be governed by Service Level Agreements.
57. Existing contracts
Where contracts already exist on the date of the establishment of an Agency, the Agency is bound to honour those contracts.
PART IX
PROCUREMENT PROCEDURES (regs 58-61)
58. Budgetary authority for procurement
(1) Authority to incur any expenditure shall emanate from the annual or supplementary budget. Each item of expenditure is to be controlled by the relevant head of department.
(2) The Head of the Finance Department shall control the budget and carry out activities and achieve work targets set out within budgetary provisions of each department.
59. Purchase Requisition
(1) A request for the purchase of goods or services required by the Executive Agency shall be made in a Purchase Requisition Form prescribed in the relevant Accounting Manual.
(2) The Purchase Requisition Form shall be completed by the employee requesting the goods or services, in three copies giving the following details–
(a) the originating department or section;
(b) description of goods or services and quantities required;
(c) the manufacturers or agents or stockists;
(d) date and place of delivery of the goods; and
(e) the signature of the employee.
(3) The Purchase Requisition Form under subregulation (2) shall, after completion, be submitted to the head of department for approval and the original and duplicate shall be retained in the requisition book for record, inspection and audit purposes.
60. Purchase order
(1) The purchase order being a contractual document as prescribed in the Accounting Manual and shall be used to make orders for supplies of goods or services to the Executive Agency.
(2) All purchases shall be made through purchase orders signed by the Head of the Finance Department and the purchasing officer or any other officer appointed by the Chief Executive for that purpose.
(3) The purchase order shall be completed by indicating clearly the name and address of the supplier, full details and description of goods, services required, quantities, unit price or cost and total cost. It will also indicate where and when the goods shall be delivered.
(4) The purchase order shall be prepared in three copies, for distribution as follows–
(a) the first copy shall be sent to the supplier;
(b) the second copy shall be retained by the purchasing officer to await receipt of an invoice from the supplier; and
(c) the third copy shall remain in the order book for record, inspection and audit purposes.
(5) A summary of the important conditions of the order shall be noted at the bottom of the purchase order form.
61. Payment vouchers
Payment vouchers shall be used to support and process all types of payments. Approval and authorisation of payment shall be done on the payment voucher which in addition must be supported by other documentary evidence such as contracts and claim invoices. The following requirements also apply to the use of payment vouchers–
(a) a payment voucher must contain adequate explanation of the payment being made by the Agency, giving references of orders, invoices, files, minutes, correspondences, or any other documents;
(b) in order to facilitate periodic accounting, payment vouchers must be serially numbered and batched according to the month under which they were issued and the number of each recorded against the relevant entry;
(c) where the payment is made, payment vouchers and supporting documents shall be stamped with the word "paid" and with the date of payment;
(d) when a payment is made by cheque, the serial number of the cheque shall be entered in the cash book and on the payment voucher and the serial number of the payment voucher shall also be entered on the counterfoil of the cheque for cross-reference;
(e) all payment vouchers must bear the total sum in words as well as in figures;
(f) any alteration on a voucher must be initialled by the person making it and no alteration affecting the amount on the payment voucher may be made after it has passed through the cash book. Errors discovered subsequently must be corrected by issue of another payment voucher in the case of underpayment, or another receipt in the case of overpayment when the money is refunded.
(2) Payment vouchers shall be in the form prescribed in the relevant Accounting Manual.
PART X
THE PROCUREMENT PROCESS (regs 62-79)
62. Purchase through quotations
(1) An imprest may be issued for purchasing small items to an employee assigned with purchasing duties.
(2) Supplies of goods or services shall be obtained from approved suppliers. Requests to replenish stocks shall be made by the head of department by completing a purchase requisition form.
(3) When it is required to purchase goods or services, a senior purchasing official shall obtain quotations from at least three potential suppliers through either of the following methods as may, in each case, be determined by the Management Team–
(a) by sending letters inviting quotation from approved suppliers for purchases whose value exceeds Shs. 10,000,000/- but does not exceed Shs. 40,000,000/- for a single transaction or;
(b) by advertising through the news media inviting quotations for purchases whose value exceeds Shs. 10,000,000/- but does not exceed Shs. 40,000,000/- for a single transaction.
(4) Approval of purchases based on quotations shall be given by the Management Team.
(5) The Chief Executive with the approval of the Permanent Secretary of the Ministry of Finance may, by written directives, vary the amounts set out in paragraphs (a) and (b) of subregulation (3).
63. Tenders
Tenders shall be invited in accordance with regulations in Part IV of this Chapter for the purchase of goods or services whose value exceeds the amounts prescribed in that Part.
64. Evaluation criteria for quotations
(1) Quotations from suppliers shall be evaluated by more than one responsible and competent official and recommendations made to the Management Team for approval after taking into account–
(a) the price and terms of payment;
(b) quality of the goods, dependability and efficiency of supplier;
(c) delivery time;
(d) supplier's performance and compliance with specified requirements.
(2) An Agency shall not be obliged to accept the lowest or any quotation or tender.
65. Single quotations
A single quotation shall only be accepted where–
(a) the goods or services to be obtained are only available from suppliers of such goods and services which are already in operation in an Agency; or
(b) only a single bid or quotation is received as a result of a request for quotations; or
(c) it is shown that there is only one supplier.
66. Selection of supplier
(1) The evaluated quotations shall be submitted to the Management Team for approval and each evaluation shall include–
(a) the name of the supplier selected;
(b) the items to be purchased; and
(c) the unit cost and total prices.
(2) Each approval shall be given a unique number chronologically and shall be quoted on all documents that follow after this stage. A minute of approval shall be sent to the senior purchasing officer as authority to effect the purchase.
67. Notification of the award and contract
(1) The selected supplier shall be notified of the approval of his quotation and invited to conclude a formal contract with the Agency.
(2) A contract for the supply of goods or services shall be in writing.
(3) Where appropriate, instead of a formal contract the award may be confirmed by issuing a purchase order to the supplier.
68. Effecting the purchase
(1) The senior stores official shall prepare and issue to the supplier a purchase order in accordance with the minute of approval after ensuring that there is provision for the expenditure in the budget.
(2) The senior purchasing official shall have the duty to follow up the order so that the goods are delivered or the services are performed according to the agreed terms in the order unless alternative terms have been agreed in writing.
69. Delivery of goods
(1) Imported goods shall be cleared by an approved licensed clearing agent. The delivery of goods shall be supported by a delivery note issued by the supplier in two copies containing description, quantities and number of packages of items delivered.
(2) The goods shall be inspected jointly by the purchasing officer and the stores officer against the purchase order and the delivery note. All goods shall be properly stored.
70. Examination of stores on receiving
(1) On receiving stores, the receiving officer shall–
(a) check to ensure that the purchase number is correct;
(b) examine the packages for external signs of rough handling, damage or having been tampered with in transit;
(c) ascertain that a damage or loss certificate has been completed if any of the weight or counts do not tally, or signs of damage or tampering are observed;
(d) initiate claims where appropriate;
(e) check the stores against the particulars shown on the issue notes, delivery notes, or invoices; and
(f) where necessary ensure that goods received are inspected by a competent technical or other suitable qualified employee or other person and passed as to conditions quantity and suitability for use prior to being taken on charge.
(2) Defective goods or goods which do not meet required specifications shall be rejected and returned with an endorsement on a duplicate copy of the delivery note stating the reasons for their return, to enable a debit note to be issued by the supplier.
71. Ledger records
A complete and up-to-date record of receipts and issues of stores must be maintained in a stores ledger to be kept in the stores section. This record should be posted daily and each receipt or issue must be supported by the relevant documents.
72. Erasures and alterations
No erasures shall be allowed in any ledger, register, requisition note or vouchers. To correct any errors a line should be drawn through the erroneous entry and the correct entry written above it. All alterations shall be signed by the storekeeper and the recipient of the stores.
73. Approval for the issue of stores
The storekeeper shall not issue stores unless the issue has been duly authorised by the senior stores official or any other official authorities by the Head of Finance Department.
74. "Goods received" and "goods issued" notes
(1) A "goods received" note shall be prepared and signed by the stores official, or the head of department receiving the goods direct for use. A copy shall be sent to the senior stores official in order to be matched with and attached to the invoice received from the supplier.
(2) A "goods issued" note for stock items shall be prepared when the items are issued for use by departments, up-country stations, at sites or for sale to customers.
75. Performance of service
The provisions of Regulation 82 shall as far as practicable apply to the services rendered to the Agency as they apply to the provision of goods.
76. Procurement contracts and Service Level Agreements
Transactions for the provision of goods and services between Executive Agencies, Government Ministries, and departments shall be effected through Service Level Agreements. Any disputes between or among parties to a Service Level Agreement are to be resolved through conciliation and arbitration as provided for in the Executive Agencies (Conciliation and Arbitration) Regulations *.
77. Inspection of stores and verification of stock
(1) The stores officer shall arrange periodic formal store inspection under his supervision and shall submit a report to the senior stores official at least twice a year.
(2) Inspections shall be carried out by a person other than the one responsible for stores and may include–
(a) a test verification of computations in the stores and a comparison of ledger entries with relevant vouchers;
(b) a test verification of the ledger balances with physical stock;
(c) an inspection of warehouses, storerooms, yards, locks and gates;
(d) an inspection of the loan register to ensure that stores have not been issued on loan without proper authority, and that no stores have been on loan for longer than the agreed period without the knowledge of the senior stores official.
(3) Stock verification shall be carried out periodically as determined by the Chief Executive.
(4) Without prejudice to the power of the Chief Executive to cause a stock verification to be carried out, the Permanent Secretary, Ministry of Finance, after consultation with the Chief Executive, may at any time order a stock verification to be carried out in accordance with Stores Regulations made under the Exchequer and Audit Ordinance.
78. Stores inspection report
The report of the stores inspections carried out in accordance with Regulation 77 shall be in the form prescribed in the relevant accounting manual and shall set out the following–
(a) the findings in respect of the matters specified in paragraph (2) of regulation 81;
(b) whether ledgers are properly kept and entered up to date;
(c) whether vouchers, etc., supporting ledger entries are properly filed;
(d) whether any stores are held in excess of requirement;
(e) whether any unserviceable or obsoIete stocks are held;
(f) the instructions issued to the stores official or the storekeeper as a result of the inspection; and
(g) any recommendations as to the manner in which the operation of the store may be improved.
79. Duties and responsibilities of storekeepers
(1) A storekeeper in charge of a store, or part of a store, shall be held personally responsible for–
(a) checking, handling and storage of stores received;
(b) checking and packing of stores issued;
(c) maintaining stocks of items at levels laid down;
(d) liability through losses or waste of stores or irregular issues;
(2) A storekeeper shall–
(a) visit all storerooms, warehouses at least once daily;
(b) arrange for any instances of loss, leakage, damage or deterioration to be brought to the attention of a senior manager immediately; and
(c) ensure that storerooms are kept clean and properly ventilated and that stocks are well arranged and accessible to users.
PART XI
PURCHASE BY TENDER (regs 80-89)
80. Establishment of Internal Tender Boards
(1) Each Executive Agency shall have in Internal Tender Board. The membership of an Internal Tender Board shall include–
(a) the Chief Executive who shall be a Chairman;
(b) Head of the Finance Department;
(c) Chief Accountant;
(d) a representative of the Ministry of Finance; and
(e) a Senior Purchasing Official who shall be the Secretary to the Board.
(2) An Internal Tender Board shall have authority to approve the purchase of goods or services exceeding Shs. 40,000,000/- but not exceeding Shs. 100,000,000/- approval for the purchase of goods or services exceeding Shs. 100,000,000/- shall be the responsibility of the Central Tender Board established under the Financial Orders of the Government.
(3) The Board shall meet as often as it is required by the Chairman, and shall conduct and regulate its meetings in accordance with the procedure prescribed by the Chief Executive or, in any particular matter, with such procedure agreed upon by the members.
81. Tendering procedures
(1) Tender documents shall be prepared by the Agency, and where appropriate, with the assistance of external technical expertise.
(2) Tender documents must be checked to make sure they are complete in every respect and consistent with the decisions leading to the purchase.
(3) Instructions to tenderers and tender documents shall be clear, showing where the documents may be obtained the cost of purchasing the documents, the dates for the submission of tenders, the manner and mode in which they shall be submitted and the place where tenders are to be submitted.
(4) Tenderers must be allowed to attend the opening of the tenders.
82. Tender documents
(1) The availability of tender documents shall be made known to the public and other interested parties in any one or both of the following methods:
(a) by advertisement through the media;
(b) by sending invitation letters to selected registered suppliers.
(2) Adequate time shall be given between the date a tender is advertised and the closing date, bearing in mind the complexity of its requirements and whether overseas tenderers may be involved.
(3) Tender documents shall only be released to tenderers who pay the prescribed charges.
83. Receipt of bids
Tenders shall be received by the Secretary of the Tender Board, who shall endorse on the envelope its date of arrival, and note the status of the envelope and the sealing. Any irregularities regarding the tender must be reported to the Chairman. All envelopes shall be kept under maximum security until the opening date.
84. Opening of tenders
(1) A date, time and place shall be set for the opening of tenders. A record of tenderers, or their representatives, who attend the opening shall be prepared. Procedures to be followed during the opening process shall be explained to the tenderers by the Chairman of the Tender Board.
(2) Each tender shall be examined by the Chairman who shall announce the status of the envelope before it is opened and the following information shall be read out aloud and noted by the Secretary, in respect of every tender opened–
(a) tenderer's name and address;
(b) the price quoted;
(c) statement of compliance with the tender conditions;
(d) bid bond where required.
(3) The Chairman may invite tenderers to ask any questions regarding the opening of the tenders.
85. Evaluation of quotations and bids
The tenders received by Internal Tender Board may be submitted to an expert or special team for evaluation in accordance with the following criteria–
(a) compliance with technical specifications;
(b) compliance with commercial and financial conditions;
(c) compliance with delivery requirements; and
(d) price comparisons.
86. Notification of award
The selected tenderer shall be notified of the award of the tender and invited for contract negotiations. The final award shall be effected by the signing of the contract.
87. Invoice and payment
(1) An invoice for the supply of goods or services shall be obtained by the purchasing official from the supplier, together with a copy of the delivery note. The invoice shall be for the items of goods or services supplied and must agree with the delivery note.
(2) The purchasing official shall associate the invoice with duplicate copies of purchased order, purchase requisition and minute of approval and forward them to the Accounts Section for payment.
88. Payment voucher
(1) The Head of the Finance Department shall be responsible for ensuring that all payments by the Executive Agency are within the approved budget and have been duly authorised. Documents supporting the purchase must be attached to the payment voucher for the purpose of effecting payment.
(2) The payment voucher shall contain the following details–
(a) the name of the supplier;
(b) description of goods;
(c) amount to be paid; and
(d) allocation of the expense to its proper account code.
(3) The payment voucher shall be approved and signed by the Head of Finance and the following documents shall be attached to it–
(a) duplicate copy of the purchase requisition;
(b) minute of approval by the relevant authority;
(c) duplicate copy of the purchasing order;
89. Payment by cheque
A cheque for the amount shown on the payment voucher shall be written in the name of the supplier using permanent ink. The counterfoils of the chequebook must also be completed with the same details appearing on the cheque.
RULES
(Section 8)
[19th March, 1999]
G.N. No. 74 of 1999
1. Citation
These Rules may be cited as the Executive Agencies (Ministerial Advisory Boards) Rules.
2. Meetings of the Board
(1) A Ministerial Advisory Board may, in addition to the minimum of two meetings in each financial year as provided for under section 8 of the Act, hold its meeting as often as the Chairman may determine.
(2) The Chairman may, upon the written request of five or more members, at any time convene a special meeting of the Board in order to deliberate on a specific matter of which notice has been given.
(3) The Chairman shall preside at every meeting of the Board and, in his absence, the members present may elect a member from among themselves to preside at that meeting.
(4) Meetings of a Board shall be held at such places, dates and times as the Chairman may determine and notice shall be given in writing to each member of the Board at least seven days in the case of an ordinary meeting or, at least three days in the case of a special meeting, before the day fixed for the meeting.
(5) The Board may at any time co-opt any person to participate in the deliberations of the Board regarding a specific matter but a person so co-opted shall not be entitled to participate in the making of decisions by the Board.
3. Quorum
Except as provided in subparagraph (b) of paragraph 6(4) of these Rules, no fewer than half of the members of a Board shall constitute a quorum for a meeting of the Board.
4. Decision of the Board
(1) A question proposed at a meeting for decision by a Board shall be taken to have been decided by the Board if the proposal is accepted by the majority of the members present, so long as there is a quorum; and in the event of an equality of votes, the person presiding shall have a casting vote in addition to his deliberative vote.
(2) A decision may be made by a Board without holding a meeting by circulation of the relevant papers among the members and by the expression of their views in writing, and the provisions of paragraph (1) shall apply to that decision in the same manner as they apply to a decision made at a meeting of the Board, but any member shall be entitled to request that the decision be deferred and the matter on which a decision is sought be considered at a meeting of the Board; and the Chairman shall grant such request if it is made by a majority of members.
(3) Notwithstanding that the minutes of a meeting may not yet have been confirmed, as soon as possible after a decision has been made by a Board, the Chairman shall convey that decision to the Minister responsible for the Executive Agency.
5. Minutes of the Meetings
(1) The Chairman shall cause the minutes of all proceedings, including any matter relating to a decision in accordance with paragraph 4(2), to be recorded and kept and the minutes of each meeting shall be confirmed by the Board at the next meeting and signed by the Chairman or the person who presided at a particular meeting.
(2) The Chairman of the Board shall submit to the Minister responsible for the Executive Agency and the Minister responsible for the public service a copy of the minutes of each meeting as soon as the minutes have been confirmed.
(3) Except as a Board may, for good cause, determine otherwise, minutes of the meetings of a Board shall be available for inspection by any person free of charge in order to promote transparency.
(4) The Chairman shall provide from among the officers of his Ministry a secretary to the Board for the purpose of recording its proceedings, keeping the minutes of meetings and other records and performing such other secretarial duties as the Board may require.
6. Personal interests
(1) A member of the Board who has a direct or indirect personal interest in a matter being considered or about to be considered by the Board shall, as soon as possible after the relevant facts have come to his knowledge, disclose the nature of his interest to the Board.
(2) A disclosure of interest under subparagraph (1) shall be recorded in the minutes of the meeting of the Board and the member making such disclosure shall not–
(a) be present during any further deliberation on the matter by the Board;
(b) take part in the decision of the Board, unless the Board determines that the interest in question is not likely to prejudice the member's consideration of, or decision on, the matter.
(3) For the purpose of the making of a decision by the Board under subparagraph (2) in relation to a member who has made a disclosure under subparagraph (1), the member who has made such disclosure shall not–
(a) be present during the deliberation of the Board for the making of the determination regarding his personal interests or;
(b) influence any other member or participate in the making by the Board of the determination.
(4) When there is no quorum for the continuation of a meeting only because of the exclusion of a member from the deliberations on a matter in which he has disclosed a personal interest, the other members present may–
(a) postpone the consideration of the matter until a quorum, without that member, is realised; or
(b) proceed to consider and decide the matter as if there was a quorum.
7. Proceedings not to be affected by irregularity
The validity of any act or proceedings shall not be affected by any vacancy among the members or by any defect or irregularity in the appointment of any member or because any person who purported bona fide to act as a member at the time of the act or proceeding was in fact disqualified or not entitled to act as a member.
8. Persistent absence from meetings
Where a member absents himself from three consecutive meetings without sufficient cause or without the permission of the Chairman, the chairman shall report the fact to the Minister responsible for the Executive Agency who may terminate the appointment of the member and appoint another member to replace him.
9. Allowances for members
All the members of a Board and every secretary to a Board shall serve on a part-time basis and the members of the Board appointed by the Minister shall be entitled to receive such allowances as the Minister responsible for the public service may determine.
10. Signification of documents and decisions
All documents and decisions of the Board shall be signified under the hand of the Chairman.
11. Residual power to regulate proceedings
Subject to these Rules, a Board may regulate its own proceedings. {/mprestriction}