PROCUREMENT PLANNING AND PERFORMANCE OF THE PROCUREMENT AND DISPOSAL UNIT AT UGANDA PRISONS SERVICE

BY
PAUL KIBOGO 
13/MMSPSCM/30/080

A RESEARCH REPORT SUBMITTED TO THE SCHOOL OF MANAGEMENT SCIENCE IN PARTIAL FULFILMENT OF REQUIREMENTS FOR THE AWARD OF MASTERS DEGREE IN MANAGEMENT STUDIES – PROCUREMENT AND SUPPLY CHAIN MANAGEMENT (PSCM) OF UGANDA MANAGEMENT INSTITUTE

JANUARY, 2015
Declaration
I, Paul Kibogo, do hereby declare that this research is my own original work and has never been published or submitted to any university or institution of higher learning for any award.

Signature ………………   Date   ……………… 
PAUL KIBOGO 

Approval
This is to certify that this work has been produced under our supervision and submitted with our approval. 

Ms. PROSS NAGITTA OLUKA       
Signature………………………            
Date ………………………….              

Dr. MWESIGYE EDGAR KATESHUMBWA (PhD).  
Signature………………………   
Date ………………………….              

Dedication
I dedicate this research report to my beloved family and my dear friends in the academic struggle.

Acknowledgment
I thank God for seeing me through my studies and enabling me to complete this dissertation. I wish to recognize the unreserved efforts, guidance and encouragement offered to me by my supervisors; Dr. Mwesigye Edgar Kateshumbwa and Ms. Pross Nagitta Oluka throughout the entire research period.

Special acknowledgement also goes to my beloved family and fellow colleagues; May the almighty God reward them abundantly. 

TABLE OF CONTENTS
Declaration
Approval
Dedication
Acknowledgment
TABLE OF CONTENTS
List of Tables
List of Abbreviations
Abstract
CHAPTER ONEINTRODUCTION
1.1 Introduction
1.2	Background to the Study
1.2.1 	Historical Background
1.2.2  	Theoretical Background
1.2.3 	Conceptual background
1.2.4 	Contextual Background
1.3        Statement of the Problem
1.4 	Purpose of the Study
1.5 	Research Objectives
1.6 	Research Questions
1.7 	Hypotheses of the Study
1.8        Conceptual Framework
1.9 	Significance of the Study
1.10      Justification of the Study
1.11 	Scope of the Study
1.11.1   Content Scope
1.11.2  Geographical Scope
1.11.3   Time Scope
1.12 	Operational definition of Key Terms
CHAPTER TWOLITERATURE REVIEW
2.1 	Introduction
2.2       Theoretical Review
2.2.1 	The General Systems Theory (GST)
2.2.2 	The Theory of Constraint
2.2.3 	Procurement planning and performance of PDU
2.2.4 	Procurement needs identification and performance of PDU
2.2.5 	Needs Aggregation and Performance of PDU
2.2.6 	Determination of Terms of Reference Performance of PDU
2.2.7     Funding and Performance of PDU
2.2.8     Timely Release of funds and Procurement Performance4
2.2.9      Confirmation of a vailability of funds5
2.2.10   Procurement Method and Performance of PDU5
2.2.11   Direct Procurement Method5
2.2.12   Open Domestic Procurement Method7
2.2.13   Advertisement7
2.2.14   Thresholds7
2.2.15   Summary of Literature Review8
METHODOLOGY
3.1	Introduction
3.2 	Research Design
3.3 	Study Population
3.4 	Sample Size Determination and Selection
3.5 	Sampling Techniques and Procedure
3.6 	Data Collection Methods
3.7.	 Data Collection Instruments
3.7.1     Questionnaire Survey
3.7.2 	 Interview Guide
3.7.3 	Documentary Checklist
3.8	 Quality Control of Data Collection Instruments
3.8.1 	 Validity
3.8.2	 Reliability
3.9.       Research Procedure
3.10.     Data Analysis
3.10.1.  Quantitative Data Analysis
3.10.2.  Qualitative Data Analysis
3.11	Measurements of Variables
CHAPTER FOUR DATA ANALYSIS AND PRESENTATION OF FINDINGS
4.1 	Introduction
4.2  	Response rate
4.3 	Demographic characteristics
4.3.1 	Level of Education of the Respondent
4.3.2 	Functional Unit of the Organization
4.3.3 	Occupation of Respondents
4.4        The relationship between procurement needs identification and performance of PDU
Table 9: Correlations between Procurement need identification and PDU Performance
4.5 	The relationship between funding and performance of PDU
4.6 	The relationship between Methods of Procurement and Performance of PDU
CHAPTER FIVESUMMARY, DISCUSSION, CONCLUSIONS AND RECOMMENDATIONS
5.1 	Introduction
5.2 	Summary of findings
5.2.1 	The relationship between procurement needs identification and performance of PDU
5.2.2 	The relationship between funding and performance of PDU
5.2.3 	The relationship between methods of procurement and performance of PDU
5.3        Discussion of findings
5.3.1.    The relationship between needs identification and PDU performance
5.3.2 	The relationship between funding and performance of PDU
5.3.3 	The relationship between methods of procurement and performance of PDU
5.4	 Conclusion
5.4.1.    The relationship between needs identification and PDU performance
5.4.2.    The relationship between funding and PDU performance
5.4.3.    The relationship between methods and PDU performance
5.5. 	Recommendations
5.5.1.    Needs identification and PDU performance
5.5.2.    Funding and PDU performance
5.5.3.    Procurement methods and PDU performance
5.6	Areas for Further Study
5.7  	Contribution of the Study
5.7 	Limitations of the Study
References
Appendix I:        Research Questionnaire
Appendix III:     Documentary Review Checklists

List of Tables
Table 1: Showing Sample Size Selection from the Population.
Table 2: Test for Reliability
Table 3:Showing the response distribution
Table 4: Level of Education of the Respondent
Table 5:Functional Unit
Table 6: Years of Service in Uganda Prison Services
Table 7: Occupation
Table 8: Descriptive of procurement needs identification
Table 9: Correlations between Procurement need identification and PDU Performance
Table 10: Regression model summary between Procurement Needs Identification and Performance of PDU
Table 11: ANOVA for Procurement needs identification
Table 12: Procurement need identification and performance of PDU
Table 13: Descriptive of Procurement funding and Performance of PDU
Table 14: Correlation between Procurement funding and performance of PDU
Table 15: Funding and PDU performance
Table 16: Identification of Methods of Procurement and Performance of PDU
Table 17:  Correlations matrix between  methods of procurement and PDU Performance
Table 18: Methods of procurement and performance of PDU
Table 19: Methods of procurement PDU performance
Table 20: Methods of procurement and PDU performance
List of Abbreviations

BHAG 	:	Big Hairy Audacious Goals 
GST 		: 	General System Theory 
PDE		: 	Procurement and Disposal Entity 
PDUs		: 	Procurement and Disposal Unit 
PPDA		: 	Public Procurement and Disposal Act 
PPOA		: 	Public Procurement Oversight Authority, 
TOC		: 	The Theory of Constraints 
TOR		:	Terms of Reference 
ANOVA         :            Analysis Of Variance

Abstract
This study examined on the relationship between Procurement Planning and Performance of Public institutions a case of Uganda Prisons Service. The study was initiated as a result of increased spending beyond budget, increased number of compliant from different user departments and late delivery of goods and services. Specifically, the study objectives centered on; establishing the relationship between the three constructs of procurement planning which are need identification, procurement funding, selecting procurement methods and performance of PDU within Uganda Prisons Service. Data was collected from a sample of 109 staffs of Uganda Prisons Service from different departments, using questionnaires and interview guides. Results showed a positive relationship between procurement needs identification and PDU performance, The practice of identifying appropriate method of procurement had a moderate positive relationship with performance of PDU in UPS, while there was a weak relationship between funding and performance of PDU in Uganda Prisons Services. The lessons from the study according to the three adopted stages of procurement planning need identification, funding and selecting method of procurement, were that in Uganda prisons services it was established that although it was known by those in procurement unit that need identification was a key activity in procurement planning, the practice did not suggest it a key factor.  The effect of not envisioning need identification activity as a strategic one results into a number of issues that relate with the budget/cost, timeliness of deliveries and increased number of complaints in the entity. Basing on the above, the researcher recommended that management of Prisons service should allocate more time to the activities concerned with identifying procurement needs in the entire entity if they are to minimize cases of overspending on the procurement budget, number of complaints and timeliness of deliveries. 

CHAPTER ONE
INTRODUCTION
1.1 	Introduction 
This study was an examination of the relationship between procurement planning and     performance of procurement and disposal units (PDUs) in public entities of Uganda; a case of Uganda Prisons Service. In this study procurement planning is the independent variable studied in terms of key activities involved in the procurement planning process of determining procurement needs, funding amount and time of release, and selecting the choice of procurement method to be used. On the other hand, procurement performance is the dependent variable that was measured in terms of spending within or outside the budget, delivery time, and number of complaints on the procurement and disposal unit. 
 1.2	Background to the Study 
This chapter covers the background to the study, statement of the problem, purpose of the study, research objectives, research questions, and hypothesis of the study, scope of the study, conceptual framework, justification and significance of the study together with operational definition of key terms.
1.2.1 	Historical Background 	
Interest in procurement performance is as old as public procurement itself. The earliest procurement order dates from between 2400 and 2800 B.C (Coe, 1989, p. 87). Other evidence of historical procurement includes the development of the silk trade between China and a Greek colony in 800 B.C. In the United States, according to Page (1980), government procurement at the municipal level predates that of state and federal governments. It was not until the late 1800s that state legislatures began to create boards or bureaus responsible for purchasing, but central purchasing was hardly a practice at that time. In 1810, Oklahoma was the first state government to create a board to procure centrally for all state departments and agencies (Page, 1980). Many local governments soon followed Oklahoma’s example. Public procurement is an important function of government for several reasons; first, the sheer magnitude of procurement outlays has a great impact on the economy and needs to be well managed. Indeed, in all countries in the world, estimates of the financial activities of government procurement managers are believed to be in the order of 10% – 30 % of GNP (Callender & Mathews, 2000). 
In Africa, it is generally agreed that purchasing has evolved from a clerical buying function into a strategic business function that contributes to the competitive position of companies (Ellram and Carr, 1994; Carter and Narasimhan, 1996). Empirical evidence indicates that firms can indeed obtain competitive advantage by managing supplier relations (Dyer, 1996; Mol, 2002; Chen, Paulraj and Lado, 2004). 
In Uganda, the situation of procurement planning together with the performance of procurement entities is not so much different from the general African scenario. Procurement has become a profession and an independent function in public institutions, its performance more  than any other function of the organization have started being of great concern to management  (Osborne & Gaebler, 1992). 
Performance of Procurement and Disposal Units (PDUs) in most public entities and for that matter Procurement planning, has become a requirement for good procurement performance. Like other government entities, Uganda prisons service uses public procurement as strategy to acquire and deliver needed public services for intended beneficiaries but on many occasions complaints within the entity rotating around late deliveries and frustration of works of the prisons service have been echoed in the organization. 
1.2.2  	Theoretical Background 
This study was informed by two theories; the systems theory and the theory of constraints. The systems theory is the interdisciplinary study of systems in general, with the goal of elucidating principles that can be applied to all types of systems at all nesting levels in all fields of research. According to Schein (1980), a system in this frame of reference is composed of regularly interacting or interrelating groups of activities. For example, in noting the influence in organizational psychology as the field evolved from "an individually oriented industrial psychology to a systems and developmentally oriented organizational psychology", it was recognized that organizations are complex social systems; separating the parts from the whole reduces the overall effectiveness of organizations (Laslo, 1972).  Laszlo (ibid) explains that the new systems view of organized complexity went "one step beyond the Newtonian view of organized simplicity" which reduced the parts from the whole, or understood the whole without relation to the parts. Performance of procurement unit in any organization cannot be studied in isolation of other departments that do participate in the planning activities. 
The theory of constraints (TOC) 
The theory of constraint is one other theory that is presumed to guide the study. According to  Goldratt (1984), organizational performance is dictated by constraints. These are restrictions that prevent an organization from maximizing its performance and reaching its goals. Constraints can involve people, supplies, information, equipment, or even policies, and can be internal or external to an organization. 
The theory states that every system, no matter how well it performs, has at least one constraint that limits its performance – this is the system's "weakest link." The theory also says that a system can have only one constraint at a time, and that other areas of weakness are "non-constraints" until they become the weakest link. TOC, theory helps managers in organizations or people to identify the most important bottleneck in the processes and systems, so that they can deal with it and improve performance. In the context of this study, performance of PDUs is constrained by the constructs of procurement planning. That is need identification, funds and procurement methods used in procuring the goods and services. 
1.2.3 	Conceptual background 
Under this study, two concepts are considered; that is procurement planning and performance of procurement unit. According to Langford (2010), procurement planning is a process whereby procurement practitioners sketch out in advance an arrangement which diagrams a plan as to what, which, when and how purchases are to be conducted in a given period. The plan considers what is to be procured (Goods, Works or Services), which method of procurement to be used based on regulated thresholds, and when and how the processing steps will be conducted. 
According to Osborne & Gaebler (1992), procurement planning involves defining the items needed to be procured, defining the process for acquiring those items and scheduling the timeframes for delivery. It is advisable to create a procurement plan whenever you want to procure items from suppliers. Similarly, procurement planning is the process of identifying and consolidating requirements and determining the timeframes for their procurement with the aim of having them as and when they are required as defined by Lewis and Roehrich (2009).  Lewis and Roehrich (2009), defined procurement planning as a process of determining procurement needs, timing of acquisition, funding of acquisition and determining the process. 
Ohemeng (2009), indicated that Public Procurement Performance is measured in terms of efficiency and delivery time, cost effectiveness with which the organization meets the needs of the public. Since procurement is the acquisition of goods, services or works from an outside external source. It is favorable that the goods, services or works are appropriate and that they are procured at the best possible cost to meet the needs of the purchaser in terms of quality and quantity, time, and location. Therefore, procurement performance is the system concerned with acquiring goods and services efficiently (Weele, 2010).  Oluka (2012) contends that procurement planning involves the process of identifying which business needs can be met by procuring products or services outside the organization. 
Another concept Performance of procurement unit, which is defined by different authors / writers and performance management, has become a key element in modern public sector and in the context of public procurement Ohemeng (2009) indicated that Public Procurement Performance is measured in terms of efficiency, effectiveness and transparency with which the organization meets the needs of the public. Performance measurement; the process of quantifying the efficiency and effectiveness of actions as explained by Neely (2005) has received increasing interest since the late 1980s (Saiz, Bas & Rodrı´guez, 2007). Efficiency can be measured from the purchasing organization’s context where the personnel, management, procedures, policies, and information system issues are considered (Van Weele, 2000). Since the study is about linking procurement planning which is a process itself, then it is feasible to use a systems theory, because of its relevance in giving explanations of performance of the PDU within an entity as whole.   
1.2.4 	Contextual Background 
This study was conducted at the head office of Uganda Prisons Service which is one of the departments of Ministry of Internal Affairs. Uganda Prisons Services is part of the integrated justice system responsible for the safe, secure and humane custody of prisoners who are sentenced to imprisonment and individuals who have been remanded by the courts of Uganda (The Prison Service Act, 2006). The institution derives its mandate from the Constitution and the Uganda Prisons Service Act 2006. Besides custody, the Uganda Prisons Service is responsible for providing social rehabilitation to offenders in preparation for their re-integration back to their local communities upon completion of their sentences. Rehabilitation includes providing prisoners with industrial and agricultural skills they will find useful once out of prison. Regardless of the effort by the Public Procurement and Disposal of Public assets Authority (PPDA) and the acknowledgement, that the procurement department is capable of adding value to the organization still a large number of the internal customers act on their own and in most cases disregard the stage of procurement planning (Agaba , 2010).

According to PPDA Procurement Audit Report 2011, it was established that in the Procurement and Disposal Unit in Uganda Prisons Service, there were cases of inadequate procurement planning, leading to an excessive use of direct procurements, emergency procurement and failure to align procurement with the budgetary process; retrospective procurements and poor record keeping, leading to many procurement documents being untraceable. This greatly affected the performance of the Procurement and Disposal Unit in terms of effectiveness, efficiency and transparency. Inadequate procurement planning, contradicts with rational way of spending public funds and development assistance, which requires the existence of adequate procurement planning. 
1.3    Statement of the Problem 
Uganda Prisons Service has got fully-fledged, trained and experienced personnel managing the Procurement and Disposal Unit and over time, management has extended more support to the Unit. However, despite of the efforts, Uganda Prisons Services’ Procurement and Disposal Unit leaves much to be desired and is thus still subject to several vulnerabilities; record keeping is still poor, and the entity is regarded as a high risk (PPDA Audit Report, 2012-13). Performance of procurement and disposal Unit (PDU) in Uganda Prisons Service has been greatly affected in terms of delivery completion time, most procurements executed are not completed in the estimated time frame. An example is the construction of the energy saving stoves which was never completed yet payments were made; there are complaints of delayed procurements and most of the procurements are done beyond the estimated budget, which could be an indication of poor procurement planning. It is against this background that the research was carried out to explore the possible causes and solutions to the problem in the organization.
1.4 	Purpose of the Study 
The purpose of this study was to establish the relationship between procurement planning and performance of procurement and disposal Units (PDU) at Uganda Prisons Services.

1.5 	Research Objectives  
This study was guided by the following objectives; 
i.	The relationship between procurement needs identification and performance of PDU at Uganda Prisons Service.
ii.	To examine the relationship between funding and performance of PDU at Uganda Prisons Service.
iii.	To establish the relationship between methods of procurement and performance at PDU of Uganda Prisons Service.
1.6 	Research Questions 
The study aimed at answering the following research questions 
i.	 What is the relationship between procurement needs identification and performance of PDU at Uganda Prisons Service?
ii.	What is the relationship between funding and performance of PDU at Uganda Prisons Service?
iii.	What is the relationship between methods of procurement and performance of PDU of Uganda Prisons Service?

1.7 	Hypotheses of the Study 
HI= There is a positive relationship between procurement needs identification and performance of PDU at Uganda Prisons Service.
H2= There is a positive relationship between funding and performance of PDU at Uganda Prisons Service.
H3=There is a positive relationship between Methods of procurement and performance of PDU of Uganda Prisons Service.

Procurement Planning.
 Needs identification
•	Needs aggregation
•	Determination of terms of reference (TOR) or specifications
Funding 
•	Funding release in amounts
•	Time of funding release
•	Confirmation of availability of funds
Procurement methods and procedures
•	Open domestic procurement
•	Direct procurement method
•	Restricted procurement method

Performance of PDUs
•	Spending within or outside the budget
•	Delivery time 
•	Number of complaints on PDU

1.8     Conceptual Framework

Figure 1:  Conceptual framework showing the relationship between procurement Planning and performance of PDU
Source: Adapted from Van Weel (2005) and modified by the researcher
From figure I it is worth noting that procurement performance is the dependent variable that is studied in terms of spending within or outside the budget, timeliness, and number of complaints on the procurement and disposal unit. On the other hand, procurement planning is the independent variable studied in terms of determination of procurement needs identification, funding and procurement methods and procedures. However, both procurement planning and performance of procurement unit cannot be studied in isolation of factors such as urgency level and ethical environment of staff. The PDU of Uganda Prisons Service is just one unit whose services and activities affect the entire Uganda Prisons Service.  The researcher modified the model by putting in constructs that measure the components of the independent and dependent Variables  
1.9 	Significance of the Study
This research was important to the following parties; The PDU’s might be able to embrace procurement planning which will lead to execution of procurement activities on a timely basis and as a result, the unit will be in position to identify the possible causes of complaints and how it could be controlled and enable the entity at large to spend within the budgeted lines. 
The study findings could help the government to identify loopholes within the PPDA Act 2003 that needs amendment as one way of ensuring that tax payers’ money be spent with utmost care. To the researchers that may need to research on a similar topic or variable, this study can act as source of information to facilitate future research. Future scholars, academicians, researchers, may employ the recommendations made in this study as an additional source of information while conducting similar studies on the performance of public procurement since a copy will be part of Uganda Management Institute (UMI) library stock for public use.
1.10      Justification of the Study
There was no empirical evidence highlighting the influence of procurement planning on the performance of PDUs at the Uganda Prisons service. This called for the need to have thorough understanding of the effect of procurement planning on the performance. Without this, the quality of performance is bound to decrease and lead to; failure to align procurement with the budgetary process; retrospective procurements, persistent complaints on the procurement and disposal unit and late delivery and execution of procurement requirements.

1.11 	Scope of the Study 
1.11.1 Content Scope
The study was focused on procurement planning and performance of procurement and disposal unit. Specifically, the study was focused on different steps in the procurement process and measures of procurement performance in Uganda Prisons service. In this study, planning was conceived as the independent variable (IV) and measured in terms of procurement needs identifications, funding release and procurement methods identification and procedure. While performance of procurement is the dependent variable (DV) measured in terms of spending within or outside the budgeted lines, timely delivery and number complaints on the procurement and disposal unit. 
1.11.2   Geographical Scope
The study was carried out at the headquarters of Uganda Prisons Service, located on Parliament Avenue- Kampala. This location was chosen because all procurement decisions for Uganda prisons services are made here and all decision makers who are capable of providing important and strategic information to the study are located in the same place.   
1.11.3   Time Scope
The study focused on the period between 2012 and 2014 because there was an outcry about the quality of performance and it was within this time that concerns about performance of procurement and disposal units were highlighted in the procurement audit reports.    
1.12 	Operational definition of Key Terms 	
Procurement: In this study procurement referred to the formal method employed by UPS in the acquisition of goods, services or works from the suppliers (PPDA, 2003). 

Performance of procurement: The degree of achievement of PDE’s procurement objectives of the right quality, right quantity, right source, right price and the right time. 

Procurement planning: Is that part of the procurement process responsible for the acquisition of works, services and supplies that are required to meet UPS needs in the most efficient, cost effective and timely manner.

Efficiency: Referred to that level of performance that describes a procurement process that uses the minimum amount of resources or materials such as time, man power and information to create the maximum amount of outputs. 

Delivery time: Referred to the total time from when a client makes a request for quotation until the goods arrive at the destination defined on the Performa Invoice. 

Value for Money (VfM): Was considered as the maximum benefit/s obtained from the goods and services Uganda prison service acquires and/ or provides to its customers, within the resources available to it.  

Funding:  This is the approved budget from the Government and other donors towards the cost of the procurements as described in the act. This is what the entity intends to use for payments under the contract resulting from the bidding process. 

Procurement Procedures: These are the methods or steps used by the procuring and disposing entity to acquire goods, services and works. These methods can be competitive and non-competitive. Selecting an appropriate procurement method will assist in obtaining best value for money and managing procurement risk.

Summary Conclusion
This chapter covered the key issues and the general construct that forms the foundation on which other subsequent chapters was based. The issues highlighted in this chapter rotate around activities that are done during procurement planning and performance of procurement and disposal unit. In specific terms procurement planning is studied under the following constructs which form the research objectives on which research is based. Procurement planning was studied in terms of mainly three key activities namely, procurement needs identifications, funding and methods of procurement. In chapter Two, literature on the three dimensions stated in independent variable in relation to performance of PDU is discussed. 

CHAPTER TWO
LITERATURE REVIEW

2.1 	Introduction
This chapter covers a review of the literature on the relationship between determination of procurement needs on performance of PDU of UPS, the relationship between acquisition of funds and the performance of PDU of UPS and the relationship between determining of procurement process and performance of PDU of UPS. In addition, the chapter also gives a review of the theories underpinning the study. The literature review was structured in line with the study objectives.

2.2       Theoretical Review 
2.2.1 	The General Systems Theory (GST)
This study was informed by the General Systems Theory (GST) advanced by Bertalanffy in (1950), which is based on the analogy that, “chaos is the oft-quoted blind play of failing systems, this, in mechanistic and positivistic philosophy, appears to represent ultimate reality, with life as an accidental product of physical processes, and mind as an epi-phenomenon. To avoid chaos, systems must be put in place”. Therefore, the General Systems Theory (GST) is used to explain the behavior of a variety of complex, organized systems. GST is also a process of theory construction that focuses on building universal concepts, postulates, and principles. GST, as a worldview, emphasizes interrelationships between objects. General Systems Theory arose out of the efforts of researchers who were searching for homologies between work in the biological, physical, and social sciences. Different definitions of GST have propagated, depending on the background and focus of the researcher. According to Klir (2002), "General Systems Theory in the broadest sense refers to a collection of general concepts, principles, tools, problems, methods, and techniques associated with systems." In this case, a system donates “a complex of interacting components together with the relationships among them that permit the identification of a boundary-maintaining entity or process Alexander and Stanley (2005). 

In the context of the study, it follows that procurement functions aligned together as a system yield greater performance than they would yield if individually treated, (Dee Ann,2002) notes that the characteristics of the General Systems Theory can be explained in terms of the following features:  the general tendency for systems to integrate into the various environments they are intended for;  the fact that the integration of systems in any environment seems to be centered on the general principles that are present in all systems; and  the imperative for the unifying principles of any system to aim at achieving the goal of unity. Furthermore, Bertalanffy believes that system principles should aim at achieving certain objectives and goals to meet the needs of the environment in which the system functions. Systems theory studies the structure and properties of systems in terms of relationships, from which new properties of wholes emerge. 

2.2.2 	The Theory of Constraint 
This study was informed by the theory of constraints (TOC). TOC is an overall management philosophy introduced by Eliyahu M. Goldratt in his 1984 book titled The Goal that is geared to help organizations continually achieve their goals. The concept was extended to TOC with respectively titled publication in 1999. 
The theory of constraints (TOC) is a management paradigm that views any manageable system as being limited in achieving more of its goals by a very small number of constraints. There is always at least one constraint, and TOC uses a focusing process to identify the constraint and restructure the rest of the organization around it. TOC adopts the common idiom "a chain is no stronger than its weakest link." This means that processes, organizations, etc., are vulnerable because the weakest person or part can always damage or break them or at least adversely affect the outcome.

The underlying premise of the theory of constraints is that organizations can be measured and controlled by variations on three measures: throughput, operational expense, and inventory. Throughput is the rate at which the system generates money through sales. Inventory is all the money that the system has invested in purchasing things which it intends to sell. Operational expense is all the money the system spends in order to turn inventory into throughput. Before the goal itself can be reached, necessary conditions must first be met. 

2.2.3 	Procurement planning and performance of PDU 
As a general planning principle, Chandra (2008) asserts that unlike small projects that involve few activities, complex projects that go beyond a certain threshold level of magnitude should proceed on the basis of a sound formal planning platform without which there may be chaos. Sound formal planning provides the basis for organizing the work on the project and allocating responsibilities to individuals. 

Kramer, Jenkins, and Katz, (2007) observe that planning entails defining the activities, scheduling and sequencing, planning the requisite manpower and staff required in sufficient quantities and quality, planning the money that should be spent in a time-phased manner and finally planning the information system necessary for effective communication to enhance project monitoring and control. Procuring Entities are responsible for carrying out all the procedures pertaining to the complete procurement cycle. It is important to be familiar with the complete procurement cycle and to ensure that there are effective management procedures in place to properly manage each step (Public Procurement Oversight Authority (PPOA), 2009). 

The complete procurement cycle shall include: preparation of procurement plans; preparation of procurement specifications and initiation of the procurement process; preparation of pre-qualification/tender/bid documents; advertisement/initiation of bids; receiving and opening bids; evaluation of bids; adjudication and contract award; notification of contract award; negotiations in areas where applicable; preparation and signing of procurement contract; contract administration; receipt inspection and acceptance of goods, works, services and consulting services; and Storage and Inventory Management (PPOA, 2009). 

Effective management of the procurement function is a precursor to the performance of the system in achieving its intended objectives in both the public and the private sector (Kramer, Jenkins, and Katz, 2007). Different procurement functions and responsibilities such as selection, quantification, product specification, pre-selection of suppliers and adjudication of tenders should be properly managed for the function to realize its objectives (Mendoza, 2008). Procurement should be planned properly and procurement performance should be monitored regularly; monitoring should include an annual external audit. According to Osei- Tutu, Mensah, and Ameyaw, 2011) a reliable management information system (MIS) is one of the most important elements in planning and managing procurement. Lack of a functioning MIS or the inability to use it appropriately is a key cause of programme failure. There are reports of stalled and abandoned projects, poorly implemented works, and returns of unutilized project funds in various parts of the country.
2.2.4 	Procurement needs identification and performance of PDU 
According to Lewis and Roerich (2009), procurement is a means to satisfying business unit requirements, and establishing the business need is one of the key drivers of the entire process. Weele and Arjan (2010) assert that procurement involves a number of activities which must be followed in order to achieve successful outcome. They note that the first step in the procurement process is to identify and fully define the need in relation to the activity. The observation of Weele and Arjan, (ibid)  is indeed in agreement with that of Atkinson (2006) who noted that defining the need for the purchase and specifying what is to be purchased should be given first priority.

Batenburg & Versendaal (2006) observe that procurement needs are special identifying procurement items, in terms of colour, size, quality and other specifications with exclusion of quantity.  Centre of Excellence London (2006) stressed that contracting officer must understand completely what he/she is about to procure.  According to Weele and Arjan (2010), management has to undertake a particular order when identifying a need. Lewis and Roerich (2009), in support of the above notion shared that the process of coming up with a need involves top managers, middle managers and other stakeholders. They identified the process as one that involves brainstorming the problems, which they consider as a priority in all departments of the institution. Besides that, selecting individual start-up problem from the list of issues discussed, identifying related problems to the starter problem; establishing a hierarchy of cause and effects establishing the guiding question, connecting the problems with best solutions you set clear descriptions, verifying identified specific requirements as well as recording the agreed specifications for the need in place. 

Atkinson (2006) adds that poor identification of needs and suppliers may lead to incorrect goods or services being sought or offered, resulting in additional time, effort and cost. This is true in line with the challenges faced at need identification stage of procurement and disposal process of Uganda prison service which typically characterized by lack preparation of estimates, defining purchasing needs in such a ways that can be met only by specific providers and sometimes estimates can be prepared after solicitation are requested. However, this phenomenon can be alleviated by undertaking research to identify potential suppliers, identify or agree to the outcome and determine best purchasing option in terms of policy requirements, risk, cost and other management issues, such as preliminary cost-benefit analysis (Benslimane, 2005). Batenburg (2006) compliments that failure to identify needs through the process may lead to procurements that do not fully meet the need of the agency, potentially incurring wasted time, effort and cost or inefficiencies and sub-optimal assets being procured . 

DCD/DAD (2003) noted that all procurement requirements begin with the perception of a need. For instance, the need to cross a body of water could create a requirement to build a bridge, a ferry, or other transportation systems. At this stage, it is necessary to clearly define the need. Therefore, procurement conformation of the team should be multidisciplinary in order to address the different questions that require answering to facilitate a comprehensive understanding of the need and clearly define the actual requirement. The role of procurement practitioners at this stage is primarily to estimate the procurement lead-time given the most appropriate procurement method that would be suitable for such a requirement. 

Whereas most authors emphasize the identification of a proper need for a successful procurement process, the Department of Public Works, (2006) is more concerned with effectiveness; efficiency and transparency of procurement process as major determinants of successful procurement outcome for the Governments and Development partners for both developed and low developed countries such as Uganda. They emphasized that implementation of successful procurement in low developed countries largely uses external (technical) resources in the execution of the project. It is on that premise that Department of Public Works, (2006) called for complex planning, professional procurement and close monitoring as key priority.

This line of thinking was indeed supported by Murdoch, (2000) who noted that flexibility and “independence” are limited, yet they are a prerequisite in procurement in government institutions. Murdoch, (2000) added that when implementing projects through procurement, the professional profile of the implementation in government agencies shifts from “execution” to “organizing the execution” through planning, purchasing, monitoring and administration. If unfamiliar with procurement, project designers may, in the project’s setting-up phase, seek advice from procurement experts on questions such as procedures to be followed and related delays for procurement exercises they envisage, market situation (competition, sources, shortages, etc.), logistic issues and cost implications that affects the whole process.

2.2.5   Need aggregation and Performance of PDU
Aggregation of procurement needs is done because the aggregated demand, presented in a consolidated way, can minimize the procurement costs that would be incurred when single procurements are done. Besides this, the procuring entities can befit from the economies of scale as a result of making a big procurement once (Thomson, 2007). Indeed in many cases this is a likely market response to aggregated demand presented in a consolidated way to the market. Governments exist to make a tangible difference to the lives of their country’s citizens and residents. Consequently Uganda, like many other countries, is placing greater emphasis on planning and actively managing for better results, improved outcomes and best value for money in the use of public funds. 

According to Kagendo (2012), government spends billions of money each year in the provision of goods and services that are needed to deliver public policy and business objectives. Good public service outcomes depend on good procurement. Properly planned and effectively executed procurement is essential for all agencies. 

Aggregation of need does not necessarily lead to aggregation of supply, and steps can be taken to specify requirements in such a way as to encourage suppliers to bid for distinct elements of the requirement (Grierson and Needham, 2006). Whether or not to do this would depend on features of the users’ requirement Vis a viz the organization, including the costs of letting and managing contracts, but also on the structure and properties of the market. For example the manager may decide, having considered the potential impact of aggregation on the structure of the market that it would not be beneficial to longer-term competition to aggregate or bundle all requirements together in a way that results in sourcing from a single supplier. Some of the key issues to be considered are set out in the following sections (Kakwezi and Nyeko, 2010). 

2.2.6   Determination of Terms of Reference and performance of PDU 
Lynch (2014) notes that once the procurement plan is prepared and approved, the requesting entities should begin submitting their requirements accordingly to the procuring entity for processing. When a procurement requisition is submitted, the first step in processing the request for procurement action is to determine exactly what is required. Although a general idea would already exists as a result of the requirements determination and procurement planning phases, it is at this point that the completed technical specifications or terms of reference should be sent to the procuring entity to start the procurement requisition process. The procuring entity in turn reviews the technical specification or terms of reference for completion. There must be sufficient detail in the description of the requirement to ensure that all prospective bidders or service providers have essentially the same understanding of the requirement. If the specifications are clear, and prepared in accordance with procurement procedures, the solicitation process can begin; if not, the procuring entity must seek clarification in order to finalize the solicitation documents accordingly (Lynch, 2014). 

The proper description of the procurement requirement is the beginning of the procurement process. If done correctly, it avoids disappointments and waste of resources resulting from purchasing goods and services that fail to fulfill the purpose intended because of improperly prepared technical specifications or terms of reference. Completing the technical specifications and terms of reference later than scheduled will have an adverse impact on the execution of the procurement plan and the award of the contract, which in turn will cause delays in acquiring the goods and services. It is important for the procuring entity, in coordination with the requesting entity, to determine in advance if technical expertise will be required to draft the technical specifications or terms of reference and if this expertise exists in-house or will also have to be procured (Lynch, 2014). 

According to the European Commission, SEC (2007), there are several steps involved in developing terms of reference and the contracting process. First is the decision to evaluate, next is organization of the evaluation process, writing of terms of reference, publication of terms of reference and finally the selection of winning proposal. Evaluation design must provide clear and specific objectives and appropriate methods and means for managing the evaluation process and its results." (European Commission, SEC, 2007). Ensuring a good and useful evaluation is very much linked to good Terms of Reference (TOR), planning and a clear idea from the Monitoring Committee of what they want to do with the evaluation. The Terms of Reference (TORs) are the basis of a contractual relationship between the programme and the evaluation experts responsible for carrying out the task. 
2.2.7 	Funding and   Performance of PDU
The procuring and disposing entity has an approved budget from government funds towards the cost of the procurements as described in the act. The procuring and disposing entity intends to use these funds for payments under the contract resulting from the bidding for which this pre- qualification is conducted. After approval of the procurement work plan, the respective user departments will requisition for the procurement of the resources for the planned activities at an appropriate time taking into account the lead-time.  An authorized staff must confirm need of the requisition and after that, the requisition must be approved. Funding must be confirmed available before a method of procurement is selected by the PDU, which must also be approved by the contracts committee, before it is spent (Atkinson, 2006). 

According to Benslimane (2005), public institutions usually work directly with their Central Bank that does the supervisory rule and ensures that only reasonable projects are financed to improve value for money. Deutsch (2006) notes the effect of relying so much to a Central Banks for low developed countries saying that it is highly risky, since their legal tender is affected by the foreign exchange increases and decreases. He adds that where foreign exchange is high, the economy suffers from inflation that affects the general funding. In most cases, the Central Bank adopts a restrictive fiscal policy to reduce money in circulation

2.2.8   Timely release of funds and procurement performance 
Issues to do with timeliness in the disbursement of funds to the government units fasten the procurement process (Masterman, 2006). The procurement unit needs to be assured of funds availability before preparing procurement plans and entering into negotiations with the suppliers. A funding mechanism is necessary to maintain a system that, due to the volume and complexities of public procurement, will invariably consume time and resources. Yet, funding from the same source that funds the awards committees will render the distinction between the two irrelevant. 

2.2.9   Confirmation of availability of funds
The role of confirming the availability of funds in Uganda prisons service is a duty of the accounting officer (PPDA, 2003), in this perspective, the undersecretary under the government of Uganda, Ministry internal affairs. After the funds are available, and a notice of the available funds is made, then procurement plan implementation commences by the user departments through the initiation of the necessary procurement forms to the PDU.  The PDU then executes the procurement process.    
 
2.2.10 	Procurement Methods and Performance of PDU
Procurement methods are the procedures used by the procuring entity to acquire goods, services and works. These methods can be competitive and non-competitive. Selecting an appropriate procurement method will assist in obtaining best value for money and managing procurement risk. It will make effective use of both government and private sector resources, and balance critical factors such as: value for money, cash flow rate, timeliness, quality of design and quality of deliveries.  

2.2.11   Direct Procurement method 
Under section 74 of the Procurement Act, a procuring entity may use direct procurement procedure if the following conditions are satisfied: (a) there is only one person who can supply the goods, works or services being procured; (b) there is no reasonable alternative or substitute for goods, works or services; (c) there is an urgent need for the goods, works or services being procured and because of the urgency the other available methods of procurement are impractical. Regulation 62 also requires a procuring entity to record the reasons for the choice of direct procurement. At the same time the procuring entity must engage in negotiations with the identified single source to ensure that the resulting contract meets the requirements of the procuring entity as specified and is at the prevailing real market price. 

A choice must be made whether to use ‘open competition’ where any supplier can participate, or ‘limited/restricted competition, each of which has affects performance of the procurement output. An evaluation of all approaches is important before selection is made to ensure eligibility and avoid conflict of interest. According to Chitkara (2005), quality is a measure of performance of PDU that is related to procurement planning. 

Lewis (2009) and Ashworth (2011) both agree that open bidding as a best approach for tenders as it ensures reliability, quality, flexibility and timing in the tendering process. A number of potential suppliers then submit proposals of what they will provide and at what price. Aqua Group (2001) stressed that number of factors other than the reliability, quality, and flexibility drive the different approaches, and it is important to consider the nature of each procurement requirement on the performance of the procurement unit and then decide on the appropriate approach. According to the scholars, other factors such as repeatability, complexity of procurement process and technicality of the specification or the range of services required (a major property outsource across a varied estate) should be put into consideration. Weele (2010) on the other hand points out the issue of value for money and risk, that is, the value of the procurement or the risk to the authority procurement as major aspects for consideration, whereas Chitkara (2005) considers commonality of what is being procured as most important.

2.2.12 Open domestic procurement method 
According to the PPDA Act 2003, sec 80 (2), open domestic bidding is the method of procurement of goods, works and services which is open to participation on equal terms by all providers through advertisement of the procurement opportunity. This method specifically seeks to attract majorly the domestic providers, although foreign firms are allowed to participate. There are several distinctions between open domestic and open international tendering.

2.2.13   Advertisement
First of all, in open domestic biding the advertisement or invitation of tenders is done only through the local media although this does not stop participation of the foreign providers while with open international bidding, invitation to tender is done through the use of international media but this does not also stop participation of the able local bidders.

2.2.14 Threshold
The second difference is in the threshold values whereby in open domestic tendering, the value at which to take up a certain tender is usually reasonably small so as to enable the local providers who are in most cases not able to compete with the international vendors. In open international bidding, the threshold is usually bigger because in most cases the procurement is expensive and therefore the procurement can easily be provided by the foreign vendors. However, any able domestic vendor who is interested is not stopped from participating. The PPDA Act provides guidelines and conditions for use of the above method including the enforcement mechanism. 
2.2.15   Summary of Literature Review
Literature has stressed the fact that procurement planning with its constructs of need identification, funding and methods of procurements are directly or indirectly linked to performance of PDUs in public institutions. Proper needs identification saves the organization the possibility of procuring the goods and services that are not needed, this increases the procurement costs, and causes the procurement and disposal unit in an organization spending beyond the budget, and increases the number of complaints on the procurement unit. 

Other effects of inadequate procurement planning identified in the literature include loss of economic advantage offered by bulk purchasing, recurring reactive procurement, acquisition of shoddy goods as a result of emergency procurement and loss of stakeholder’s confidence. Therefore, new trends such as; scheduling of available procurement resources, pre-qualification to cover group of contracts, aggregation of procurement requirements, avoiding splitting of requirements, use of framework contracts in procurement where appropriate and undertaking joint procurement with other PDE’s needs to be ushered by Uganda prisons service in order to improve its procurement performance.

This chapter presented a review of the literature according to the research objective developed from the constructs of procurement planning, which are procurement need identification, funding and determination of methods of procurement.  In order to correct the empirical evidence in the context of public institutions primary data is to be obtained from the Uganda prisons services. Therefore, the subsequent chapter discusses the methodology used in data collection and analysis. 
  
                                                              CHAPTER THREE
METHODOLOGY
3.1	  Introduction
This chapter presents the methodology that was used in the study. It therefore consists of the research design, study population, determination of sample size, sampling techniques, data collection methods, data collection instruments, quality control, data collection procedures, data analysis and measurement of variables.
3.2 	Research Design
This study employed a cross-sectional research design. This type of research design was preferred for this study because it permits the researcher to study a large population at a single point in time (Amin, 2005). In addition, the researcher also used a correlation research design to find out the relationship between the studies variables (Sekaran, 2003). In addition, the correlation design enables collection of data from a large population which are comparable since they are not impacted by changes over time. 
The study employed a triangulation of quantitative and qualitative approaches during sampling, data collection, quality control, and analysis. The quantitative approach was used to help the researcher to describe relations as well as testing hypotheses or answering questions concerning the current state of the subject of the study (Amin, 2005), while the qualitative approach was used to enable the researcher to get an in- depth analysis of the problem under investigation.
3.3 	Study Population
The population size for this study consisted of 150 staffs of Uganda Prisons Service (Uganda Prisons Service Personnel Record, 2013). This was the total number of staffs of UPS which consists of; 8 Executive managers that is: Commissioner General of Prisons(CGP) and the Deputy Commissioner General, 02 Directors, and 04 Heads of departments (HOD’s) who are commissioners, 94 Functional Unit Staffs who are assistant commissioners, principals seniors officers and officers, 48 Support staffs(secretaries, sergeants, warders and wardress). This population was chosen for the study because the Uganda Prisons Service (UPS) has the overall responsibility to provide safe custody to offenders and rehabilitate them across the country (Prisons Act, 2006). The UPS was further situated within the overarching Poverty Eradication framework of the Government of Uganda which was articulated in the Poverty Eradication Action Plan (PEAP 2004). 
3.4 	Sample Size Determination and Selection
Uganda Prisons Service headquarters have a total workforce of 150 employees (Uganda Prisons Service Personnel Record, 2011). The researcher determined the sample size from the population using Taro Yamane (1973) method of computing a sample size. The formula was as presented below;
                         Sample size (n) =          N                                                                                                                                                                       
	
                                                            1 + N (e)2
                        Where: N is the total population size understudy i.e. (150) Employees of UPS,
                                  “e”; is the sampling error of (0.05) or confidence level of (95%).
                                  “n” is the required sample for study.
Upon substitution;
                                                  Sample size (n) =    150
                                                   1+ 150 (0.05)2
                                                       n = 109
According to Yamane (1973), a population size of N= 150 would require a sample size of n=109. In line with this discussion, the sample size for the study was (109).
Table 1: Showing Sample Size Selection from the Population. 
Category 	Targeted Population Size 	Sample Size 	Sampling Technique.	
Commissioner General and his Deputy.	02	1	Purposive sampling.	
Directors	02	1	Simple sampling.	
Heads of departments (HOD’s)	04	3	Simple random sampling.	
Functional Unit Staffs	94	68	Simple random sampling.	
Support staffs.	            48	36	Simple random sampling.	
Total 	150	109		
Source: Primary data.
3.5 	Sampling Techniques and Procedure
The study employed both purposive sampling and simple random sampling techniques which are probabilistic and non-probabilistic sampling methods. The researcher used simple random sampling techniques to select Principal Officers, Senior officers, and Administrative staffs and Support staffs. Simple random sampling techniques were used to provide every element in the population an equal chance of being selected as a subject of study Sekaran (2003). It was used because it has the least bias and offers the most for generalization (Amin, 2005). Purposive sampling was used in selecting key informants such as; executive managers of   Uganda Prisons Service owing to their vast knowledge on the study variables. In addition they are believed to possess the relevant information the researcher needs to address the research questions. 
3.6 	Data Collection Methods 
The study employed both qualitative and quantitative data collection methods. This implies that the researcher collected both primary and secondary data; 
3.6.1. Quantitative methods
The Quantitative data collection methods rely on random sampling and structured data collection instruments. In this study quantitative methods were used because they produce results that are easy to summarize, compare, and generalize.  Quantitative research is concerned with testing hypotheses derived from theory and/or being able to estimate the size of a phenomenon of interest.

3.6.2 Qualitative methods  
Qualitative data collection methods play an important role in impact evaluation by providing information useful to understand the processes behind observed results and assess changes in people’s perceptions about the research questions.  Furthermore qualitative methods were used to improve the quality of survey-based quantitative evaluations by helping generate information on which evaluation of the research hypothesis. This study adopted qualitative methods because of the need to reinforce the findings of the quantitative study. 
3.7.	 Data Collection Instruments
The researcher employed both quantitative and qualitative data collection instruments which are discussed as follows;
3.7.1   Questionnaire Survey
The study used structured self- administered questionnaires with close-ended questions to collect data from senior staffs, functional unit staffs and administrative staffs. This helped the researcher to get information easily for subsequent analysis, hence reducing the error gap. It also saves time, easier to administer, eliminates bias and maintains confidentiality since the respondents are not required to indicate their names anywhere (Mugenda & Mugenda, 2005).
3.7.2 	 Interview Guide
The researcher used an interview guide to collect data from the key informants such as the senior management staff. The interview guide permitted the researcher to obtain in-depth information regarding the variables under study. The senior management staffs were asked questions that probed their understanding on procurement planning and service delivery at Uganda Prisons Service. The researcher envisages that conducting interviews was the only sure way of obtaining the opinions of key informants regarding the procurement planning since they lack ample time to respond to the questionnaire. It is also the quickest technique of collecting qualitative data and since questions were repeated clearly to the key informants so that they comprehend them better.
3.7.3 	Documentary Checklist
The researcher used a document checklist to scrutinize various documents containing vital information about procurement which involved reviewing documents such as administrative review action reports, procurement work plans, procurement budget records, monthly reports, contracts committee meeting minutes, procurement budgets plans, (See Appendix C:Procureement File records) during the entire process of the study however, this was done upon obtaining permission from the respective heads of the department of the PDE.  

3.8	 Quality Control of Data Collection Instruments
3.8.1 	Validity
In order to ensure the accuracy and meaningfulness of items in the instruments, the designed questionnaires were presented to the supervisors for comments, after which the necessary adjustments were made. The final questionnaires were administered after a number of corrections as per advice of the supervisors. In this case the supervisors were the experts used in amending the questionnaires. Therefore, the method used in ensuring validity was expert judgment.  
3.8.2	 Reliability
To ensure consistency of the instruments, questionnaire was pre-tested on 5 selected respondents outside the sample size in the study. After, an internal consistency method of the Cronbach’s alpha was employed to determine its reliability. Amin (2005) argues that an alpha of 0.5 or higher was sufficient to show reliability of instruments. The test – retest method was used because it helps in capturing two different meanings of reliability, true consistency and internal consistency given that all the variables had their alpha exceeding 0.5. Besides, it attempts to minimize random errors thereby increasing the reliability of the data collected.  
Table 2: Test for Reliability
Variable	No of Items	Cronbach's Alpha Pre-test	Cronbach's Alpha Based on Standardized Items	
Procurement Need Identification	10	.853	.861	
Funding	11	.834	.837	
 Methods of Procurement	10	.933	.938	
Performance of PDU	9	.703	.830	
Source: 
Cronbach's Alpha for the pretested Questionnaire
The above table shows reliability coefficients from the test. It indicates that: Procurement Need Identification had an alpha coefficient of 0.853 at pre-test and later standardized to 0.861; Procurement Funding had an alpha coefficient of 0.83 at pre-test and 0.837 after standardizing and; Identification of methods of Procurement had an alpha coefficient of 0.933 and later became 0.938 after standardizing. The results also show that PDU performance had an alpha coefficient of 0.703 and 0.830 after standardizing. Since Cronbach Alpha is used to measure internal consistency, the results in the table show that there is a good internal consistency in the items in the scale.
3.9. Research Procedure 
After proposal defense, the researcher got a letter of permission from the school of management science. An introductory letter accompanied with a copy of data collection instruments was taken to Uganda prison service to seek permission to conduct the study within the organization. When the management of the UPS allowed, then the researcher proceeded to administer the research instruments and the researcher established a data collection center within the various departments for receiving copies of the (completed) questionnaires. Consent was also obtained from the key informants such as Commissioners and Directors before they were interviewed. This was after the study had been thoroughly explained to them and their confidentiality assured. 
3.10. Data Analysis
Data was checked to completeness, cleaned, edited, sorted, coded, and computed using a Statistical Package for Social Sciences (SPSS) which made a quick analysis of the data. The researcher analyzed both qualitative and quantitative data.
3.10.1. Quantitative Data Analysis
Descriptive statistics was applied to analyze quantitative data using the mean, mode, median and standard deviation. The hypotheses were tested using inferential statistics of Pearson product moment correlation coefficient because the study aimed at finding out the relationship between the independent and dependent variables.
3.10.2. Qualitative Data Analysis
Qualitative data was analyzed using the content and thematic methods where the researcher used the qualitative data to develop themes and verbal quotations to back up quantitative data. Identified patterns, themes and trends were evaluated and analyzed to establish their usefulness and consistency to the study objectives.
3.11	Measurements of Variables
The researcher used the 5-likert scale type of questions in order to measure the respondents’ perceptions and best describe their reactions to each statement. A Likert scale consists of a number of statements, which express either favorable or unfavorable attitudes towards the given object to which the respondent is asked to respond (Sekaran, 2005).  Each response was given a numerical score indicating its favorableness or un-favorableness and the scores are totaled to measure the respondents’ attitudes. The scale of 1-5 was used to help the researcher measure the extent to which objectives were achieved where by 1 represented strongly disagree 2 = disagree, 3 = neither agree nor disagree, 4= agree and 5 strongly agree. 

This chapter concentrated on sets of tools that were used to correct data, and draws a plan of how to collect data and states the tools that were used in data collection and explains the plan of data analysis and presentation which is the basis of the subsequent chapter that covers data analysis and presentation. 

CHAPTER FOUR
DATA ANALYSIS AND PRESENTATION OF FINDINGS
4.1 	Introduction
This chapter presents the results of the study based on the predefined objectives of the study presented in chapter one. These were: to establish the relationship between procurement planning and performance of PDU of Uganda Prisons Service, to examine the relationship between funding and performance of PDU of Uganda Prisons Service and to establish the relationship between methods of procurement and performance of PDU of Uganda Prisons Service. 

4.2  	Response rate
This is calculated by dividing the number of the complete surveys by the total number of respondents that were contacted and then multiplying the results by 100. This same procedure can be done for each item in the questionnaire to determine the response rate for each item. Overall, the study had a high response rate of 93.6% (n=102) while only 6.4% (n=7) never responded. The high response rate assumed was due to the good questionnaire design which was easy to understand by the respondents.
Table 3: Showing the response distribution 
Response	Frequency	%ge	
Response 	102	93.6	
None response 	7	6.4	
Total 	109	100.0	
Source: Primary data 

4.3 	Demographic characteristics 
Under this section the demographics characteristics are presented on gender, age composition, level of education of the respondents, functional units of the organization, years of service in Uganda Prisons Service and occupation.
4.3.1 	Level of Education of the Respondent
The study also looked at the level of education of the respondents as it was assumed that education level is a great determinant of the capacity of the respondents to give accurate information and ability to comprehend the issues the study was investigating as well as their capacity to be productive at the work place in Uganda Prisons Service. The results on the education level analysis are indicated in table 4.

Table 4: Level of Education of the Respondent
	Education level 	Frequency	Percent	Valid Percent	Cumulative Percent	
Valid	Secondary	7	6.9	6.9	6.9	
	Certificate	17	16.7	16.7	23.6	
	Diploma	7	6.9	6.9	30.5	
	Degree	61	59.8	59.8	90.3	
	Masters	9	8.8	8.8	99.1	
	PHD	1	.9	.9	100	
	Total	102	100.0	100.0		
Source: primary data
From Table 4, Majority of the respondents 59.8% (n=61) hold a Degree while others in the sequential order, hold a certificate 16.7% (n=17), Master’s Degree 8.8% (n=9), Diploma 6.9% (n=7), Secondary education 6.9% (n=7) and lastly PHD 0.9% (n=1). The nature of work that an organization does determines the structure of workforce recruited to perform the required tasks towards realization of the organization’s undertaking and vision. For that matter, the statistics on the education status of employees under Uganda Prisons Service demonstrates that the entity placed energetic graduates in key positions which required more potential to push the entity forward and increase on the effective performance of the organization.. 

4.3.2 	Functional Unit of the Organization
The study also looked at the functional unit of the organization in order to establish if the right respondents actually participated in the study as per the sample determined earlier. The results of the analysis on this are indicated in table 5 
Table 5: Functional Unit
	
Function 	Frequency	Percent	
Valid Percent	Cumulative Percent	
Valid	Procurement	9	8.8	8.8	8.8	
	Finance And Admin	11	10.7	10.7	19.5	
	Farms And Industry	13	12.7	12.7	32.3	
	Engineering	46	45.1	45.1	77.3	
	Quarter Master	15	14.7	14.7	92.0	
	Human Resource	8	7.8	7.8	100	
	Total	102	100.0	100.0		
Source: Primary Data
From Table 5, Majority of the respondents 45.1 % (n=46) were in the Engineering department while others in a chronological order, Farms and industries 12.7% (n=13), Finance and Administration 10.7% (n=11), Procurement 8.8% (n=9), Human Resource 7.8% (n=7) and lastly Quarter Master Unit 14.7% (n=15). From Table, it is illustrated that the statistics on the Functional units of employees under Uganda Prisons Service demonstrates that there are more tasks in the Engineering Functional Unit than any other Unit as shown above.

Table 6: Years of Service in Uganda Prison Services
	Class in years 	Frequency	Percent	Valid Percent	Cumulative Percent	
Valid	>1yr	1	.9	.9	.9	
	2-5 yrs	20	19.6	19.6	20.5	
	6-10 yrs	24	23.5	23.5	44.0	
	11-30 yrs	57	55.9	55.9	1000	
	Total	102	100.0	100.0		
Source: primary data
Scrutiny of the years of service of the respondents in Uganda Prisons Service revealed that 55.9 % (n=57) of the respondents had spent 11-30 years in service, 23.5 % (n=24) had spent 6-10 years in service and 19.6% (n=20) had spent between 2-5 years in service and lastly less than a year 0.9% (n=1) as shown in table 4.6 above. 

Majority of the employees had spent more years of service at Uganda Prisons Service implying that employees tend to settle after working in an organization for a long time because of job security and the employer dedicates time and resources to employees so the employees tend to be more efficient and effective in handling their work related duties which leads to performance. 

4.3.3 	Occupation of Respondents
Table 7: Occupation
		Frequency	Percent	Valid Percent	Cumulative Percent	
Valid	Accountants	7	6.9	6.9	6.9	
	Engineers	40	39.2	39.2	46.1	
	Procurement specialists	12	11.8	11.8	57.9	
	Agricultural specialists	23	22.5	22.5	80.4	
	Administrators	20	19.6	19.6	100.0	
	Total	102	100.0	100.0		
Source: primary data
From Table 7 it is illustrated that the statistics on Occupation of employees under Uganda Prisons Service shows that there are more respondents that are Engineers than any other Occupation. Majority of the respondents 39.2 % (n=40) were Engineers followed by Agricultural Specialists 22.5% (n=23); 19.6% (n=20) were Administrators; 11.8% (n=12) were Procurement Specialists and lastly, 6.9% (n=7) were Accountants. 

4.4   The relationship between procurement needs identification and performance of PDU
Data on this objective was analyzed under the question: What is the relationship between procurement needs identification and performance of PDU in Uganda prisons service. The results were as summarized in the table below. Under this objective, frequencies and percentages are used to present the respondents response. Correlation and regression model was also used to establish the relationship and the degree of influence of one factor to the other. 
Table 8: Descriptive of procurement needs identification  
Statements 	Strongly Agree (%)	Agree
(%)	Not Sure
(%)	Disagree
(%)	Strongly Disagree
(%)	Mean	Std. Deviation	
Needs identification is done during the planning phase in  Uganda prisons services	48
(47.1)	31
(30.4)	5
(4.9)	10
(9.8)	8
(7.8)	4.38	1.090	
The procurement plan for  the entire Uganda prisons services is based on the total of needs identified from all user departments  	26
(25.5)	54
(52.9)	12
(11.8)	4
(3.9)	6
(5.9)	3.88	1.027	
After aggregating the needs for the entire Uganda prisons services then terms of reference (TOR) is prepared	4
(3.9)	21
(20.6)	69
(67.6)	6
(5.9)	2
(2.0)	3.19	.685	
The prepared Terms of Reference (TOR) are made clear to the suppliers as much as possible	3
(2.9)	23
(22.5)	54
(52.9)	9
(8.8)	13
(12.7)	3.20	.630	
There is mechanisms to ensure that Terms of Reference (TOR) are followed when procuring within Uganda prisons service	6
(5.9)	5
(4.9)	9
(8.8)	48
(47.1)	34
(33.3)	2.03	1.076	
There is a clear definition for different items and services prepared during the planning phase in Uganda prisons service	29 (28.4)	56
(54.9)	6
(5.9)	7
(6.9)	4
(3.9)	4.09	.785	
There are mechanisms to discuss with prospective suppliers the terms of reference at the planning phase Uganda prisons service	67
(65.6)	21
(20.6)	9
(8.8)	3
(2.9)	2
(2.0)	4.63	.807	
Right quantities are among the terms of reference (TOR) in Uganda prisons service	14
(13.7)	12
(11.8)	8
(7.8)	48
(47.1)	20
(19.6)	2.12	.859	
User departments are allowed to make a provision for goods and services (miscellaneous) during planning phase	64
(62.7)	26
(25.5)	6
(5.9)	3
(2.9)	3
(2.9)	4.42	.949	
Time of delivery is set during the planning phase of procurement in Uganda prisons service	26
(25.5)	48
(47.1)	11
(10.8)	8
(7.8)	9
(8.8)	3.99	.826	
Source: primary data
From table 8 above, the question of whether needs identification is done during the procurement planning phase in Uganda Prisons Services (Mean=4.38) and (SD=1.090). On average majority of respondents disagreed that needs identification is done within Uganda Prisons Service, with the standard deviation of 1.090 meaning that there was a big variation in the respondent’s response. This also means that needs identification is not done during the procurement planning phase, thus likely to affect the performance of PDU in the entity. One interviewee, was asked why need identification was done during the procurement planning, he said that:
‘‘it’s done to avoid speculation which may lead to procurement of goods and services not required at that specified time.’’  
On whether needs identification is done during the planning phase in Uganda Prisons Services the result were (Mean=4.38) and (SD=1.090). This implies that on average majority of respondents disagree that, needs identification is done during the planning phase of procurement. However there was a big variance represented by 1.09 with the individual views of the respondents within the sample. 

When the respondents were asked whether, the procurement plan for the entire Uganda prisons services is based on the total needs identified from all user departments (mean=3.88) and the (SD=1.027). This means that majority of respondents disagreed with the statement, indicating that the activity of need identification did not guide  

After aggregating the needs for the entire Uganda prisons services then terms of reference (TOR) is prepared (Mean=3.19) and (SD=.685). This means that majority of respondents were indifferent on the issue of whether after aggregating the needs for the entire Uganda Prisons Service then terms of reference (TOR) is prepared and this kind of response was not widely spread.  This means that preparation of terms of reference was not based on needs aggregation. 

Whether the prepared Terms of Reference (TOR) are made clear to the suppliers as much as possible (Mean=3.20) and (SD=.630). This means that majority of respondents were not certain whether this was done indicating that terms of references were not made clear to suppliers and this had a small variation. There is a mechanisms to ensure that Terms of Reference (TOR) are followed when procuring within Uganda Prisons Service (Mean=2.03) and (SD=1.076). On average majority of respondents agreed with the statement, indicating that term of reference is followed whenever procurement planning is done. One interviewee indicated that:	
‘‘It is a requirement that the terms of reference be prepared before the procurement of goods and services kick starts, but to his surprise, on many occasions you find that suppliers are not clear with the specificity of the goods to be supplied and sometimes they end up supplying goods not conforming to the specifications or terms of reference in case services.’’  

On whether there is a clear definitions for different items and services that are prepared during the planning phase in Uganda Prisons Service (Mean=4.09) and (SD=.785). This means that majority of respondents disagreed with the statement that there is clear definitions of different items, during the procurement planning phase. On whether there were mechanisms to discuss with prospective suppliers the terms of reference at the planning phase Uganda prisons service (Mean=4.63) and (SD=.807). On average majority of respondents disagreed with the statement that there were mechanisms to discuss with prospective suppliers the terms of references at the planning phase. 

When the respondents were asked whether right quantities are among the terms of reference (TOR) in Uganda prisons service (Mean=2.12) and (SD=.859) majority of them agreed with the statement and there was limited variation in their response. This meant that, the right quantities were among the terms of reference discussed, during procurement planning phase. One interviewee indicated that: 
‘‘At times they get surprised with the quantities of goods supplied to the entity, because many times supplies get finished immediately after delivery making them to believe that goods do not come in right quantities as requisitioned.’’   

On whether the user departments are allowed to make a provision for goods and service (miscellaneous) during planning phase (Mean=4.42) and (SD=.949). This means that, majority of respondents disagreed with the statement.  Also there was high variation in the response within the entire study response on this particular question.  Time of delivery is set during the planning phase of procurement in Uganda Prisons Service (Mean=3.99) and (SD=.826). The interview with one of the top officials in Uganda prisons service revealed that:
‘‘The user department normally makes some underestimates which constrains the operations of the prisons services. He further indicated that, many suppliers deliver the products and services late, which raises complaints about the performance of those in procurement.’’ 

On average majority of respondents disagreed to the statement indicating that, time of delivery was not discussed during the planning phase of procurement. However, on average Mean=3.592.  Most of the means for the seventeen questions that were used to test for Procurement need identification and Performance of Uganda Prison Service  range between m=2.029 and m=4.627. When measured against the five points likert scale, all the ten items translate to the agreement to the positive statement. The average mean for all the means for the ten positive statements was m=3.592 which altogether translates to an agreement to the statement that can be used to determine the Performance of PDU in Uganda Prisons Service.   

One interviewee was asked questions concerning the need identification, why it was done and the following was revealed:
‘‘It is done to avoid speculation which may lead to procuring goods and services not required. User departments convey a meeting to identify exactly what is required by the entity in terms of quantity, quality and when it is required and how much it may cost and the method of procurement required”

The same respondent also said that;
 “Terms of references for services or specifications in case of supplies mean a detailed description of the required item or service required by the user department. It is mainly done to enable the service provider to understand exactly what is required by the entity and for what purpose.” 

One respondent said that: 
‘‘there are many activities that take place during need identification and these include , user department convey meeting , to identify what exactly they need, in terms of quantity, quality and when they will be needed, the estimated cost, the time required and the appropriate method of procurement to be used.

The Pearson Correlation Coefficient (r) 
Pearson correlation coefficient (r) is a technique used for investigating the relationship between variables. The Pearson correlation coefficient lies between -1 and +1. The closer r is to +1 means it’s a strong positive relationship and strength of relationship. However to make a conclusion Pearson correlation coefficient was used to test for statistical significant relationship between Procurement needs identification and Performance of  PDU in Uganda Prisons Service. 

Table 9: Correlations between Procurement need identification and PDU Performance	
		Procurement need identification	PDU performance	
Procurement need identification	Pearson Correlation	1	.49	
	Sig. (2-tailed)		.613	
	N	102	102	
Performance of PDU	Pearson Correlation	.49	1	
	Sig. (2-tailed)	.613		
	N	102	102	
Source: primary source 
From the table  above, the results on the relationship between Procurement needs identification and performance of PDU in Uganda Prisons Service indicated r = 0.49.  This shows that there is a moderate positive relationship between procurement need identification and performance of PDU in Uganda prisons service. Meaning that to some extent any mishandling of the stage of procurement needs identification can have an impact on performance of PDU within the entity.  However, the relationship is not statistically significant, since p=.613>0.05.
Table 10: Regression model summary between Procurement Needs Identification and Performance of PDU
Model Summary	
Model	R	R Square	Adjusted R Square	Std. Error of the Estimate	Change Statistics	
					R Square Change	F Change	df1	df2	Sig. F Change	
1	.49a	.240	.20	.709	.04	.258	1	101	.613	
a. Predictors: (Constant), Procurement need identification	

From the table 10 above, it is indicated that R2= 0.240, between procurement needs identification and performance of PDU in Uganda Prisons Service.  This means that 24% of the variance in performance of PDU is explained by the component of procurement needs identification. Implying that to some extent procurement needs identification is significant predictor of the performance of PDU within the Uganda Prisons Service. Therefore, in order to improve the performance of PDU within Uganda Prisons Service, there is need to improve needs identification during the planning phase in the entity. 
Table 11: ANOVA for Procurement needs identification
ANOVAb	
Model	Sum of Squares	Df	Mean Square	F	Sig.	
1	Regression	.130	1	.130	.258	.613a	
	Residual	53.724	101	.502			
	Total	53.853	102				
a.	Predictors: (Constant), Procurement need identification	
b.	Dependent Variable: Performance of PDUS	
Source: primary data 

The table 11 above reports how well the regression equation fits the data. The table indicates that the regression model predicts performance of PDU in Uganda prison service very well. Since the P value (0.613) is greater than   at 5% level indicating that procurement needs identification is not a strong predictor of performance of PDU in Uganda Prisons service.

Table 12: Procurement need identification and performance of PDU 	
Coefficientsa	
Model	Un standardized Coefficients	Standardized Coefficients	t	Sig.	
	B	Std. Error	Beta			
1	(Constant)	4.620	.468		9.861	.000	
	Procurement need identification	.78	.150	.52	.521	.604	
a. Dependent Variable: Procurement need identification	

The table 12 above shows the necessary information to predict the performance of PDU in Uganda Prisons Service from Procurement needs identification, as well as to determine whether Procurement needs identification contributes statistically significantly to the model by using the sig value. Since the P value (0.604) is greater than   at 5% level of significance thus indicating that procurement needs identification positively contributes to PDU performance in Uganda Prison Service, though not significantly. 
4.5 	The relationship between funding and performance of PDU
Data on this objective was analyzed under the question: What is the relationship between funding and performance of PDU in Uganda prisons service. The results were as summarized in the table below. Under this objective, frequencies and percentages are used to present the respondents response. Correlation and regression model was also used to establish the relationship and the degree of influence of one factor to the other. 

Table 13: Descriptive of Procurement funding and Performance of PDU 
Funding
	Strongly Agree (%)	Agree (%)	Not Sure (%)	Disagree (%)	Strongly Disagree (%)	Mean	Std. Deviation	
Enough funds are allocated to the procurement budget of Uganda prisons service	2
(2.0)	7
(6.9)	7
(6.9)	65
(63.7)	21
(20.6)	2.06	.854	
Allocated funds to procurement budget comes in time within Uganda prisons service	10
(9.8)	4
(3.9)	6
(5.8)	50
(49.0)	32
(31.4)	1.76	.648	
Availability of funds within the Uganda prisons service is communicated to the PDU in time by the Accounting Officer.	24
(23.5)	51
(50.0)	10
(9.8)	3
(2.9)	14
(13.7)	4.08	.670	
There is no hindrances to the PDUs work after a notice of funds availability is made	19
(8.5)	19
(8.5)	44
(43.1)	7
(6.9)	13
(12.7)	3.55	.804	
Accounting Officer normally signs and gives confirmation of availability of funds of the PDE in the PP form 5	4
(3.9)	19
(8.5)	43
(42.2)	25
(24.5)	11
(10.8)	3.02	.771	
Normally the funds allocated to procurements within Uganda prisons service come in time	1
(1.0)	14 (13.7)	8 
(7.8)	61
(59.8)	18
(17.6)	2.21	.926	
Funds allocated to PDU in Uganda prisons service depends on the procurement plan/budget	6
(5.9)	14 (13.7)	71 (69.6)	9
(8.8)	2
(2.0)	3.13	.727	
Funds allocated to PDUs within Uganda prisons service depends on the state of government revenue in the release budget	21
(20.6)	44 (43.1)	11
(10.8)	16
(15.7.5)	10
(9.8)	3.80	1.081	
Sometimes procurement contracts signed is frustrated by government release of funds to the Uganda prisons service	10
(9.8)	18
(17.6)	40
(39.2)	21 (20.6)	13
(12.7)	2.81
		.817	
Uganda prisons service sometimes experiences costs of contract termination as a result of unavailability of funds	2
(2.0)	5
(4.9)	15
(14.7)	55 (53.9)	25
(24.5)	1.96	.757	
Prisons services sometimes receives funds in form of conditional grants	32
(314)	40
(39.2)	15
(14.7)	7 
(6.9)	8
(7.8)	4.03	.861	
Source: primary data
On whether enough funds are allocated to the procurement budget of Uganda prisons service (Mean=2.06) and (SD=0.854). On average most respondents agreed that there are enough funds allocated to the procurement budget of Uganda prisons service. Also majority of respondents agreed that allocated funds to procurement budget comes in time within Uganda prisons service (Mean=1.76) and (SD= .648), and this response did not have a wide variability. One interviewee while answering the questions relating to funding and performance of PDUs said: 
“The funds received in the Uganda prisons service would be enough, but the biggest challenge was the timely release of these funds from government.’’ 
To him his concern was on the release of funds from central government which determines the spending, ‘‘at times we spend more because we commit the entity expecting government to release funds in time and what actually happens is that work is not done in time hence making it hard for the institution to accommodate big numbers of offenders.’’  

On whether availability of funds within the Uganda prisons service is communicated to the PDU in time (Mean=4.08) and (SD= 0.670). Majority of respondents also agreed that availability of funds within the Uganda prisons service is communicated to the PDU in time. This means that, funds released is communicated whenever received to the unit. 
On whether there is no hindrances to the PDUs work after a notice of funds availability is made (Mean=3.55) and (SD=.804). Majority of respondents disagreed with the statement and this means that there are some hindrances to the PDUs work after a notice of funds availability is made. One of the interviewee said that: 
“Funds availability to those supposed to use it comes late, a situation that greatly affects    the performance of the entity, inadequate government funds release and inadequate budgeting on our side through the budgeting planning process is a big challenge.” 
On whether the accounting Officer normally communicates and gives confirmation of availability of funds of the PDU in the Prisons Service (Mean=3.02) and (SD= .771). On average majority of respondents is not certain implying that there is no confirmation massages sent for availability of funds. Whether, normally the funds allocated to procurements within Uganda Prisons Service come in time (Mean=2.21) and (SD= .926). On average respondents agreed with the statement meaning that funds allocated normally reach in time once released. 

On whether funds allocated to PDU in Uganda Prisons Service depends on the procurement plan / budget (Mean=3.13) and (SD=.727). Majority of respondents were not certain implying that it’s not clear whether funds allocated to procurement depends on the size of the budget. On whether funds allocated to PDUs within Uganda prisons service depends on the state of government revenue (Mean=3.80) and (SD=1.081). On average majority of respondents disagreed with the statement that funds allocated to PDUs within Uganda prisons service depends on the state of government revenue in the government.  

On whether sometimes procurement contracts signed is frustrated by government release of funds to the Uganda Prisons Service (Mean=2.81) and (SD= .817). Majority of respondents agreed with the statement, indicating that sometimes procurement contracts signed is frustrated by government release of funds to the Uganda Prisons Service. Uganda Prisons Service sometimes experiences costs of contract termination as a result of unavailability of funds (Mean=1.96) and (SD= .757). 

Majority of respondents with limited variability agreed   that with Uganda Prisons Service sometimes experiences costs of contract termination. The means for the Eleven statements we used to test for Procurement funding and Performance of PDU in Uganda Prison Service range between m=1.765 and m=4.078. When measured against the five points likert scale, all the eleven statements translate to an agreement to the positive statement. The average mean of all the mean for the nineteen positive statements was m=2.947 which altogether translates to an agreement to the statement that can be used to determine the performance of PDU in Uganda Prison Service.
The Pearson Correlation Coefficient (r)
Pearson correlation coefficient (r) is a technique used for investigating the relationship between two sets of data. The Pearson correlation coefficient lies between -1 and +1. The closer r is to +1 means it’s a positive and high correlation. However to make a conclusion Pearson correlation coefficient was used to test for statistical significant relationship between Procurement funding and PDU Performance of Uganda prison service.

Correlations matrix between Procurement funding and PDU Performance
The table below shows Pearson’s Correlation coefficient r= 0.21*. This means that there is weak positive relationship between procurement funding and performance of PDU.  This implies that, there exists a relationship between the two variables, thus one cannot neglect the fact that to some extent funding can cause a disruption in performance of PDU within Uganda Prisons Service. 

Correlation between Procurement funding and performance of PDU
Table 14: Correlation between Procurement funding and performance of PDU
		Procurement funding	PDU performance	
Funding	Pearson Correlation	1	.21	
	Sig. (2-tailed)		.212	
	N	102	102	
Performance of PDU	Pearson Correlation	.21	1	
	Sig. (2-tailed)	.212		
	N	102	102	
Correlation is significant at the 0.05 level (2-tailed)
Table 14: ANOVA for Procurement funding and Performance of PDU.
ANOVAs	
Model	Sum of Squares	Df	Mean Square	F	Sig.	
1	Regression	.783	1	.783	1.579	.212a	
	Residual	53.070	101	.496			
	Total	53.853	102				
a. Predictors: (Constant), Procurement funding	
a.	Dependent Variable: PDU performance	
Source: primary data 
The table above reports how well the regression equation fits the data. The table indicates that the regression model predicts the performance of PDU in Uganda prison service very well. Since the P value (0.212) is greater than   at 5% level of significance thus indicating that the regression model statistically significantly predicts the performance of PDU in Uganda Prisons Service. 

Table 15: Funding and Performance of PDU
Coefficients	
Model	Un standardized Coefficients	Standardized Coefficients	t	Sig.	95% Confidence Interval for B	
	B	Std. Error	Beta			Lower Bound	Upper Bound	
1	(Constant)	2.828	.179		15.770	.000	2.472	3.183	
	Funding	.101	.080	.121	1.257	.212	.058	.261	
a. Dependent Variable: PDU performance	

The table above shows the necessary information to predict performance of PDU in Uganda Prisons Service from Procurement funding, as well as to determine whether Procurement funding contributes statistically significantly to the model by using the significance value. Since the P value (0.212) is greater than   at 5% level of significance thus indicating that funding contributes statistically significantly in prediction of the performance of PDU in Uganda Prisons Service.

4.6 	The relationship between Methods of Procurement and Performance of PDU
Data on this objective was analyzed under the question: What is the relationship between methods of procurement and performance of PDU in Uganda prisons service. The results were as summarized in the table below. Under this objective, frequencies and percentages are used to present the respondents response. Correlation and regression model was also used to establish the relationship and the degree of influence of one factor to the other. 
Table 16: Identification of Methods of Procurement and Performance of PDU 
Statement	Strongly Agree (%)	Agree
(%)	Not Sure
(%)	Disagree
(%)	Strongly Disagree
(%)	Mean	Std. Deviation	
During the planning phase different procurement methods are determined  for particular goods and services	28
(27.5)	53
(52)	8
(7.8)	7
(6.9)	6
(5.9)	4.14	.732	
Procurement methods determined during procurement planning depends on  the degree of agency of goods and services	3
(2.9)	27
(26.5)	45
(44.1)	17
(16.7)	10
(9.8)	2.96	.974	
Some procurements are  done according to the nature of goods and services required by Uganda prisons service	57
(55.7)	31
(30.4)	3
(2.9)	6
(5.9)	5
(4.9)	4.59	.551	
Quality specification dictates the plan for the method  and who to supply the products and services identified	62
(60.8)	25
(24.5)	5
(4.9)	4
(3.9)	6
(5.9)	4.71	.458	
Lead time dictates the methods of procurement the Uganda prisons service plans to use	20
(19.6)	70
(68.6)	8
(7.8)	1
(1.0)	1
(1.0)	4.22	.591	
The methods of procurement does not matter in Uganda Prisons Service	6
(5.9)	3
(2.9)	3
(2.9)	30(29.4)	60
(58.8)	1.50	.700	
Budgeted cost dictate the procurement method to be used in Uganda prisons service termination of procurement methods requires consideration to promote competition and	5
(4.9)	8
(7.8)	3
(2.9)	60
(58.8)	26
(25.5)	1.93	.774	
Estimated value of works, services or supplies is the key determinant for selecting procurement methods	9
(8.8)	24
(23.5)	55 (53.9)	9
(8.8)	5
(4.4)	3.38	.690	
During the planning phase criteria’s to evaluate suppliers are determined, which determines the procurement methods to be 	3
(2.9)	19
(18.6)	60
(58.8)	18
(17.6)	2
(2.0)	3.07	.693	
The size in terms of cost of procurement contracts dictates  the  plan for the procurement method to be used	17
(16.7)	73
(71.6)	1
(1.0)	10
(9.8)	1
(1.0)	3.93	.812	
Source: Primary Data
During the planning phase different procurement methods are determined for particular goods and services (Mean=4.14) and (SD=.732). Majority of respondents disagreed with the statement meaning that in Uganda Prisons Service, procurement methods are not determined during planning.  One interviewee said that:
 “Some of the determinant of the method is the estimated cost of the required items, some items such as food for prisoners, constructions, purchase of ammunitions are classified procurements conducted under classified procedures of procurement.” 

Procurement methods determined during procurement planning depends on the degree of agency of goods and services (Mean=2.96) and (SD=.974). On average majority of respondents agreed with the statement meaning that procurement methods used depends on the degree of agency of goods and services. Some procurement is done according to the nature of goods and services required by Uganda Prisons service (Mean=4.59) and (SD=.551). On average majority of respondents disagreed with the statement, which imply that procurement within the Uganda Prisons Service is not done according to the goods and services required. 

Quality specifications dictates the plan for the method and who to supply the products and services identified (Mean=4.71) and (SD=.458). Majority of respondents disagreed with the statement meaning that quality specification is not considered during the selection of method to be used.  Lead time dictates the methods of procurement the Uganda Prisons Service plans to use (Mean=4.22) and (SD=.591). 

Averagely majority of respondents disagreed with the statement implying that lead time is not considered during the selection of method of procurement. The methods of procurement does not matter in Uganda Prisons Service (Mean=1.50) and (SD=.700). Consistently with other prior findings majority of respondents agreed with the statement implying that the method of procurement does not matter in Uganda Prisons Service.  This is also supported by one interviewee who said that: 
“It’s the practice of those in the procurement unit to keep information of the method and why they used a given method during the procurement of goods and services for the entity and in most cases, it’s guided by the PPDA Act, 2003 and as amended of 2014.’’
Budgeted cost dictate the procurement method to be used in Uganda Prisons Service and determination of procurement methods requires consideration to promote competition (Mean=1.93) and (SD=.774). On average most respondents agree with the assertion, indicating that budget cost and determination of procurement method occurs because of need to promote competition. Estimated value of works, services or supplies is the key determinant for selecting procurement methods (Mean=3.38) and (SD=.690). On average majority of respondents were not sure whether estimated value of works, services or supplies determines the selection of a procurement method.

During the planning phase criteria’s to evaluate suppliers are determined, which determines the procurement methods to be used (Mean=3.07) and (SD=.693). On average most respondents were not certain on whether during the procurement planning, criteria’s to evaluate suppliers are determined. This means that the criteria to evaluate suppliers are not done at the procurement planning phase.  The means for the ten statements we used to test Identification of Methods of Procurement and Performance of PDU in Uganda Prison Service range between m=1.50 and m=4.76. When measured against the five points Likert scale, all the ten statements translate to an agreement to the positive statement. The average mean for all the mean for the ten statements was m=3.442 which altogether translates to an agreement to the statement that can be used to determine the Performance of PDU in Uganda Prison Service.
One of the interviewee said that: 
“Different methods have different implications on the lead time, which is directly linked to when goods and services become available to user departments and normally when there are delays in release of funds, it causes the procurement unit to delay in the process which in most cases results into complaints.” 

The Pearson Correlation Coefficient (r)
Pearson correlation coefficient (r) is a technique used for investigating the relationship between two sets of data. The Pearson correlation coefficient lies between -1 and +1. The closer r is to +1 means it’s a positive and high correlation. However to make a conclusion Pearson correlation coefficient was used to test for statistical significant relationship between identification of methods of procurement and Performance of PDU of Uganda prison service.

Table 17:  Correlations matrix between identification of methods of procurement and PDU Performance	
		Identification of methods of procurement	PDU performance	
Methods of procurement	Pearson Correlation	1	.41	
	Sig. (2-tailed)		.669	
	N	102	102	
Performance of PDU	Pearson Correlation	.41	1	
	Sig. (2-tailed)	.669		
		102	102	
Correlation is significant at the 0.05 level (2-tailed)
Source: primary source 
From the table above, results on the relationship between identification of methods of procurement and PDU Performance of Uganda Prisons Service (r=0.41). This shows that there is a moderate positive relationship between identification of methods of procurement and performance of PDU in Uganda Prisons Service. Thus poor performance within the PDU in Uganda Prisons Service is related to the procurement method identified during the procurement planning phase. 

Table 18: Identification of methods of procurement and performance of PDU
Model Summary	
Model	R	R Square	Adjusted R Square	Std. Error of the Estimate
	Change Statistics	
					R Square Change	F Change	df1	df2	Sig. F Change	
1	.41a	.168	.158	.709	.01	.183	1	107	.669	
a.	Predictors: (Constant), identification  of methods of procurement	

Table 18  provides the R and R squared values, the R value represents the simple correlation and is 0.41, which indicates substantial degree of correlation and the R squared value indicates a how much of the total variation in identification of method of procurement can be explained by performance of PDU. R2= 0.168 meant that, identification of methods of procurement contributes to 16.8 % of the variance in performance of PDU in Uganda Prisons Service. To the management of Uganda Prisons Service, it is advisable that in order to improve performance of PDU in the entity they should be conscious in the selection of the procurement method to be used in procuring the goods and services.   

Table 19: Identification of methods of procurement PDU performance
ANOVAb	
Model	Sum of Squares	Df	Mean Square	F	Sig.	
1	Regression	.092	1	.092	.183	.669a	
	Residual	53.761	101	.502			
	Total	53.853	102				
a. Predictors: (Constant), identification of methods of procurement	
b. Dependent Variable: PDU performance	

The table above reports how well the regression equation fits the data. The table indicates that the regression model predicts performance of PDU in Uganda Prisons Service very well. Since the P value (0.669) is greater than   at 5% level of significance thus indicating that the regression model significantly predicts the performance of PDU in the entity.
Table 20: Methods of procurement and PDU performance
 Coefficients	
Model	Un standardized Coefficients	Standardized Coefficients	t	Sig.	95.0% Confidence Interval for B	
	B	Std. Error	Beta			Lower Bound	Upper Bound	
1	(Constant)	3.192	.369		8.660	.000	2.461	3.922	
	Methods of procurement	.038	.088	            .041	.428	.669	.212	.137	
a.	Dependent Variable: PDU performance	

The table above shows the necessary information to predict performance of PDU in the entity from identification of methods of procurement, as well as determining whether identification of methods of procurement contributes significantly to the model by using the sig value. Since the P value (0.669) is greater than   at 5% level of significance thus indicating that identification of methods of procurement contributes statistically significantly in prediction of the performance of PDU in the organization.
 
This chapter concentrated on the data analysis and presentation of results realized in answering the research objectives and research questions where regression and correlation statistical models where used to identify the relationship between the two variables which is the basis of the subsequent chapter that covers summary findings, discussion of findings, conclusions and recommendations. 

CHAPTER FIVE
SUMMARY, DISCUSSION, CONCLUSIONS AND RECOMMENDATIONS

5.1 	Introduction 
This chapter presents the discussion, conclusions and recommendations arising out of the research findings. The findings are presented according to objectives which were; to establish the relationship between procurement needs identification and performance of PDU, to examine the relationship between funding and performance of PDU and to establish the relationship between methods of procurement and performance of PDU of Uganda Prisons Service.

5.2 	Summary of findings 
5.2.1 	The relationship between procurement needs identification and performance of PDU 
Regression results were R2= 0.240, between procurement needs identification and performance of PDU in Uganda Prisons Service. The correlation results indicated a moderate positive relationship between procurement needs identification and performance of PDU in the entity and that 24% of the variance in performance of PDU were explained by the procurement needs identification practices in the organization. Further, it was revealed that needs identification was not done during the procurement planning phase yet it was a requirement. It was also established that the activity of needs identification did not guide the procurement plan of the entity yet it was supposed to in order to have better performance of the unit. In addition, results showed that terms of reference were not drawn basing on the needs identified and quantities were made not basing on needs of different user department in the entity. The findings further revealed that preparation of terms of reference was not based on needs aggregation. 
It was also noted that terms of reference were not properly communicated clearly to the suppliers or service providers of the organization. The findings of the study further revealed that there were no mechanisms within the entity to ensure that Terms of Reference (TOR) were followed when procuring for the entity. It was also revealed that, Uganda prisons service lacked a practice of clearly defining different items and services in right quality and quality during the planning phase of the entity. 

5.2.2 	The relationship between funding and performance of PDU 
From the study findings it was revealed that there was weak positive relationship between procurement funding and performance of PDU and R2= 0.04, between procurement funding and performance of PDU in Uganda Prisons Service.  It was established that 4% of the variance in performance of PDU is explained by the variation in procurement funding within the entity. Also it was revealed that the entity received enough funds whose availability and requisitions was not properly communicated to the PDU in time. There were hindrances to the issue of funding PDU activities which greatly affected the performance of PDU. 

It was not clear whether; the accounting officer signed and gave confirmation of availability of funds to the PDU. It was also indicated that normally funds allocated to procurements within Uganda prisons service come in time. The study findings further revealed that, funds allocated to the entity depends on the approved procurement plan and budget estimates they present to Ministry of Finance. However, it was also established that, the release of these funds depends on the state of government revenue that is when the government is in good state it releases funds in right amounts. Finally, it was established that sometimes procurement contracts signed are frustrated by government funds release. It was further established that Uganda Prisons Service sometimes experienced costs of contract termination as a result of unavailability of funds to implement procurement activities, and that the entity did not receive any funds in form of unconditional grants. 

5.2.3 	The relationship between methods of procurement and performance of PDU 
There is a moderate positive relationship between methods of procurement and Performance of PDU in Uganda Prisons Service. R2= 0.168, between procurement methods and performance of PDU in Uganda Prisons Service. It was established that methods of procurement used contributes to 16.8 % of the variance in performance of PDU in the entity. It was revealed that during the planning phase different procurement methods are not determined for particular goods and services. Procurement methods are determined during procurement planning and they depend on the degree of agency of goods and services. It was also established that some procurements are not done according to the nature of goods and services required by Uganda prisons service.
	
Quality specification does not dictate the plan for the method and who to supply the products and services identified. Lead time does not dictate the methods of procurement the entity plans to use. It was also established that the methods of procurement did not matter in Uganda Prisons Service since most procurements are categorized as classified procurements. It was established that budgeted cost dictate the procurement method to be used in Uganda prisons service. Determination of procurement methods requires consideration to promote competition and it was established that urgency of the procurement and estimated value of works, services or supplies is the key determinant for selecting procurement methods.
	
It was established that during the planning phase criteria’s to evaluate suppliers are determined, and their implementation did not depend on the procurement methods to be used. It was established that, the size in terms of cost of procurement contracts does not dictate the procurement method to be used in the entity. 
	
5.3   Discussion of findings 
5.3.1. The relationship between needs identification and PDU performance
The key findings from the data analyzed, indicate that identification is not done during the procurement planning phase, thus likely to affect the performance of PDU in the entity. Needs identification is done during the planning phase of procurement. Terms of references were not made clear to suppliers and this had a small variation. The right quantities were among the terms of reference discussed, during procurement planning phase. It was revealed that, terms of reference were not drawn basing on the needs identified and quantities were made not basing on needs of different user department in the entity. The findings further revealed that preparation of terms of reference was not based on needs aggregation. Although terms of reference were made in any way, they were not properly communicated to the suppliers or service providers of the organization. The findings of the study further revealed that there were no mechanisms within the entity to ensure that Terms of Reference (TOR) were followed when procuring for the entity. 

It was also revealed that procurement needs identification was significant predictor of performance of PDU in Uganda prisons service.  Yet it results showed that needs identification was not done during the procurement planning phase and it was a requirement according to Lewis and Roerich (2009) who asserts that procurement was a means to satisfying business unit requirements and establishing the business need is one of the key drivers of the entire process of procurement planning. 

The findings further revealed that preparation of terms of reference was not based on needs aggregation.  This was contravening literature according to Lynch (2014) who notes that once the procurement plan is prepared and approved; the requisitioning departments should begin submitting their requirements accordingly to the procuring plan for processing meaning that a careful analysis of the terms ought to be done before needs aggregation. Again, when compared with Weele and Arjan (2010) who echoes Atkinson (2006) who noted that defining the needs for the purchase and specifying what is to be purchased should be given first priority, there was a disagreement between primary and secondary data. 

The findings of the study further revealed that there were no mechanisms within Uganda Prisons Service to ensure that Terms of Reference (TOR) were followed when procuring for the entity. When compared with literature, findings did not agree with literature, for instance, Lynch (2014) notes that if the specifications are clear, and prepared in accordance with procurement procedures, the solicitation process can begin, in essence, this means there is need to have mechanisms within Uganda Prisons service to ensure that Terms of Reference are followed, a situation which was noted to be contrary to what was happening within the organisation.

It was also revealed that, Uganda prisons service lacked a practice of clearly defining different items and services in right quality and quantity during the planning phase of the entity. This finding also shows a contradiction with the literature for instance when Lewis and Roehrich (2009) talk about the view that determining the procurement evaluation criteria considers eligibility, experience, capacity, technical and quality requirements,  this translates into clearly defining different items and services in right quality and quantity. This was however lacking hence a deficiency in the organization. This too did not agree with Weele and Arjan (2010) who noted that procurement involves a number of activities which must be followed in order to achieve successful outcome. 

It was further revealed that the mechanisms to discuss with prospective suppliers on the terms of reference were inadequate during the planning phase in Uganda Prisons Service. This did not rhyme with Lynch (2014) who emphasized that there must be sufficient detail in the description of the requirement to ensure that all prospective bidders or service providers have essentially the same understanding of the requirement. Since literate considers discussions with suppliers about the terms of reference to be essential, then the findings were inconsistent with literature. 

It was established that, right quantities and good quality are among the terms of reference (TOR) supposed to be communicated to bidders. This was in line with what Lynch (2014) reiterates to be essentials of good contracting processes. Indeed quantity is one of the key parameters based on which contract performance can be assessed to have been successful or not.  

It was also revealed that quantities and time of delivery were not clearly stated among the terms of references within Uganda prisons services. When compared with what Ashworth (2011) noted that at the end of the procurement planning stage, a clear determination of the terms of reference, technical specifications or statement of work (depending on the procurement category) should be possible, including an estimate of the budget, and, most importantly, the procurement lead-time, this indicates primary findings not being in agreement with literature and to that effect were inconsistent. This situation could result into long lead times, a situation which is not desirable. 

5.3.2 	The relationship between funding and performance of PDU 
There was a weak positive relationship between procurement funding and performance of PDU. That   the entity received enough funds whose availability and requisitions was not properly communicated to the PDU in time. It was not clear whether; the accounting officer signed and gave confirmation of availability of funds to the PDU. The funds allocated to the entity depended on the approved procurement plan and budget estimates they present to Ministry of Finance. It was found out that sometimes procurement contracts signed are frustrated by government release. It was further established that Uganda Prisons Service sometimes experienced costs of contract termination as a result of unavailability of funds to implement procurement activities. 

It was noted by Atkinson (2006) that an authorized staff must confirm need of the requisition and after that, the requisition must be approved. Funding must be confirmed available before a method of procurement is selected by the PDU, which must also be approved by the contracts committee.  
There were hindrances to the issue of funding PDU activities which greatly affected the performance of PDU. This means the entity did not seem to adhere to the advice given by Masterman (2006) who notes that the issues to do with timeliness in the disbursement of funds to the government units helps in improving the process of procurement. Once issues to do with funding are not addressed through proper channels, one would expect procurement not to meet the expectations.  

It was not clear whether; accounting officer normally signed and gave confirmation of availability of funds of the PDU. Literature however notes that it is the role of the accounting officer to confirm the availability of funds in accordance with the PPDA (2003). With accounting officers concealing information to do with availability of funds, one would definitely expect variations in performance of the unit, a situation which was not desirable to the entity. 

The study findings further revealed that, funds allocated to PDU in Uganda prisons service depends on the procurement plan/budget they present to the central government through ministry of internal affairs. This was in line with the law for instance according to PPDA (2003), it is stipulated that after approval of the procurement work plan, the respective user departments will requisition for the procurement of the resources for the planned activities at an appropriate time taking into account the lead-time.  

It was also indicated that normally the funds allocated to procurements within Uganda Prisons Service come in time. This rhymes well with the literature where it was asserted that issues to do with timeliness in the disbursement of funds to the government units help in improving the process of procurement (Masterman, 2006). It was further noted that the procurement unit needs to be assured of funds available before completing the procurement processes and entering into negotiations with the suppliers. 
However, it was also established that, the release of these funds depends on the state of government revenue that is when the government is in good state it releases funds in right amounts. This however denotes that funds were released on time despite the deficiencies in other processes like communication of the availability of funds noted earlier. This accounts for why the study revealed that sometimes procurement contracts signed were frustrated by government release of funds. These points to the fact that there were incidences where funds were released and the concerned officers did not communicate availability of funds thus curtailing the performance of the PDU. 

It was further established that Uganda Prisons Service sometimes experienced costs of contract termination as a result of unavailability of funds to facilitate the suppliers, and that entity does not receive funds in form of unconditional grants.  Mastermind (2006),  notes that lodging a complaint about funding should be done by presenting all source documents which include a clear statement regarding what is supplied, copies of, or references to, information to support the funding as well as statement regarding what you are to achieve if such goods are acquired. 

5.3.3 	The relationship between methods of procurement and performance of PDU 
There is a moderate positive relationship between methods of procurement and Performance of PDU in Uganda Prisons Service. It was revealed that during the planning phase different procurement methods are not determined for particular goods and services. Procurement methods are determined during procurement planning and they depend on the degree of urgency of goods and services. It was also established that some procurements are not done according to the nature of goods and services required by Uganda prisons service.
 Quality specification does not dictate the plan for the method and who to supply the products and services identified. Lead time does not dictate the methods of procurement the entity plans to use. It was also established that the methods of procurement did not matter in Uganda Prisons Service since most procurements are categorized as classified procurements. According to Masterman (2006); the poor performance of procurement is likely when stakeholders supposed to be engaged in participating in the process are not involved. 

Procurement methods are determined during procurement planning and they depend on the value threshold and degree of urgency of goods and services. This was in agreement with literature where the tenet of good performance of PDU looks at urgency or timeliness of delivery. This finding is a reflection of the literature where it was noted in the PPDA Audit Report (2012-13) most of the procurements were not carried out within the time period, there were complains of delayed procurements and most of the procurements were not performed in time.

It was also established that some procurements are not done according to the nature of goods and services required by Uganda Prisons Service. This agrees with Lewis and Roehrich (2009) who note that when determining the procurement evaluation process, four main areas namely eligibility, experience, capacity, technical and quality requirements must be considered. Here, the nature of goods and services is not mentioned as key determinant of the method of procurement. 
	
Quality specification does not dictate the plan for the method and who to supply the products and services identified. This agrees with literature where it is noted by Masterman (2006) that the poor performance of procurement is likely when stakeholders supposed to be engaged in participating in the process are not involved. This means that even with the specification of quality, engagement of stakeholders remain of valuable importance. Chitkara (2005) also notes that quality assurance is a determinant on the approach of procurement considered. Lewis (2009) and Ashworth (2011) both agree that open bidding is the best approach for tenders as it ensures more participation of suppliers, reliability, quality, flexibility and timing in the tendering process. This also reiterates the importance of quality in procurement. 

Lead time does not dictate the methods of procurement the Uganda prisons service plans to use. To the contrary, KPMG (2012) observes that lead time information can be used to effectively plan procurement orders so that products arrive at desired times prescribed in the terms of reference. 

It was also established that the methods of procurement did not matter in Uganda Prisons Service. This does not agree with literature for instance it was asserted that in deciding to take any of the procurement approach, a public entity will need to consider the value and risk of the purchase as well as the outcome that it intends from the procurement. It was further asserted that a public entity's policies and procedures need to include guidance to staff to ensure that they understand when they are able to go directly to a supplier to procure goods or services. This still emphasizes the need to determine methods of procurement which the Uganda prisons services was not doing. 

It was established that budgeted cost dictate the procurement method to be used in Uganda Prisons Service determination of procurement methods requires consideration to promote competition. This finding agrees with literature where Ashworth (2011) notes that at the end of the requirements, a clear determination of the terms of reference, technical specifications or statement of work (depending on the procurement category) should be possible, including an estimate of the budget. This means that a budget remains essential and whatever is done is done in accordance with budget thus it remains indispensable. 

It was established that estimated value of works, services or supplies is the key determinant for selecting procurement methods. This finding agrees with Caldwell (2009) who notes that the public procurement enables the public sector organizations to acquire goods, services and works from third parties. 
	
It was established that during the planning phase criteria’s to evaluate suppliers are determined, and their implementation did not depend on the procurement methods to be used. This finding does not agree with Lam (2003) who notes that successful procurement cannot be successful if one does not take on activities in their order of implementation. This means suppliers need to be evaluated and this will determine the method of procurement. 

5.4	 Conclusion 
The study focused on the relationship and effects of procurement planning and performance of PDU in the Uganda Prisons Services. Procurement planning was analyzed using three constructs needs identification, funding and methods of procurements used in the entity. 

5.4.1. The relationship between needs identification and PDU performance
Inadequate practices like failure to conduct needs identification during the procurement planning phase and having procurement plans which are not guided by proper needs identification and aggregation can have a negative effect on performance of PDU, since in best practice, terms of reference and quantities of different user departments should be drawn based on the needs identified.
 
5.4.2. The relationship between funding and PDU performance
Though results showed that procurement funding predicted less in variation of performance of PDU within the entity, the factor of timeliness of release of funds and communication about the availability of funds need to be attended to since delays in release of funds can affect PDU activities and consequently, its overall performance. 

5.4.3. The relationship between methods of procurement and performance of PDU.
It is important that the procurement method takes into consideration the aspect of having all concerned stakeholders involved in the procurement exercise, since it was also established that identification of methods of procurement contributed 16.8 % of the variance in performance of PDU in the entity.

 5.5. 	Recommendations  
From the above conclusions the researcher makes the following recommendations to improve performance of PDU in Uganda Prisons Service 

5.5.1. Needs identification and performance of PDU
•	Management of Uganda Prisons Service should emphasize needs identification from different user departments in order to get real requirements of each department. This would help in reducing the issue of complaints basing on procuring unwanted goods and services.  
•	Management of Uganda prisons service should set clear terms of reference and properly communicate them to prospective suppliers. This can minimize complaints basing on suppliers delivering goods not based on specification in terms of quality. This will help in reducing complaints from departments.    

•	Management of Uganda prisons service should design proper mechanisms to ensure that during execution or implementation of procurement plans there is strict comparison with pre-set terms of reference to avoid delivery of goods not needed in the entity.
 
•	Management of Uganda Prisons Service should emphasize the issue of defining products and services in terms of quality and quantity together with delivery terms. This would help in minimizing the complaints based on delivery of goods and services that do not conform to specifications.  
 
5.5.2. Funding and Performance of PDU 
•	Timeliness of release of funds from government was a key factor affecting performance of PDUs and it is therefore recommended that government should ensure that all the necessary and budgeted funds are released on time. This will help to improve the timeliness of the execution of the budgeted activities and result in overall improvement in performance of PDUs.

•	Management of Uganda prisons service should ensure there is effective communication of the availability of funds. This will help reduce the complaints among staff about funds release, the officers responsible for the execution of the various activities will do so on time since they will be informed and the number of complaints will subsequently reduce thus better performance of PDU.
•	The central government needs to ensure that adequate funds are released to the management of Uganda Prisons Services. This will help to ensure that the entity can better afford to pay for the services it needs given the availability of funds, this will also help to reduce the number of complaints and improve the overall performance of PDU and the entity. 

5.5.3. Procurement methods and Performance of PDU
•	Management of Uganda prisons service should select a method of procurement that minimizes on budget. This would help in reducing on over spending on the budget that is characterized by PDU in Uganda Prisons service.

•	Management of Uganda prisons service should select a method of procurement basing on the value thresholds, nature of goods and agency of the products. This would help in reducing the number complaints from the different user departments.   
5.6	Areas for Further Study 
Basing on the gaps identified in the study the researcher recommends further research in the following areas 
i.	An examination of factors other than budget management that affect the quality of service delivery in institutions of higher learning. 
ii.	Management contributions and performance of public organisation
5.7  	Contribution of the Study
The study has brought to light how procurement planning affects the performance of Procurement and Disposal Unit (PDUs) in Uganda Prisons service. The performance of Procurement and Disposal Unit (PDUs) is greatly influenced by the way procurement planning is done. Other public institutions may appreciate the fact that adequate procurement planning comprised of the need identification, funding and selection of method of procurement, effective yields good performance in terms of spending within budget, timeliness of deliveries and minimizes the number of complaints on PDUs which greatly improves on service delivery.
5.7 	Limitations of the Study
Unwillingness of some respondents to fill questionnaires and allow interviews to be conducted was the main limitation in this study. Some respondents feared that they were spied on, however, the researcher tried as much as possible to explain to them the purpose of this research and some how many of them provided the information
 This study coincided with the busiest schedule of the organisation; this made data collection quite hectic, but the researcher used his goodwill as a former employee of the same entity such that respondents gave him valuable time and filled the questionnaires. 
Finally, there were limited studies done locally in the area of procurement planning and performance. This made reviewing of the literature quite difficult, but the researcher used literature from international sources where substantial research on the same topic was available.

	

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Ulrich, K. T., & Eppinger, S. D. (2012). Product design and development . (5th ed.). New York: McGraw-Hill. OCLC WorldCat Permalink: http://www.worldcat.org/oclc/706677610 Uncertainty retrieved on 21st  May, 2014.
Van Weele, A. J. (2006). Purchasing and Supply Chain Management: Analysis, Strategy, Planning and Practice (4th Ed.) Australia Thomson 
Von Bertalanffy, L. 1968. General Systems Theory: Foundations, Development, Applications. New York: George Braziller
Wardani, M., Messner, J. & Horman, M. (2006) Comparing Procurement Methods for Design-Build Projects. Journal of Engineering and Management, 132 (3), 230- 238.
Waters, D. (2004). Introduction To Supply Chain Management, (2rd Edition), Pal grave Macmillan, London. 
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Whitchurch, G. G., & Constantine, L. L. (2003).  Systems theory.  In P. G. Boss, W. J. Doherty, R. LaRossa, W. R. Schumm, & S. K. Steinmetz (Eds.), Sourcebook of family theories and methods: A contextual approach (pp. 325-352).  New York: Plenum Press
Appendix I:        Research Questionnaire

Dear Respondents,
I  am  Kibogo Paul; I am a student of Masters in Management Sciences–Procurement and Supply Chain Management(PSCM) option of Uganda Management Institute (UMI) and as part of the requirements for the attainment of my masters’ degree, ‘am conducting a study  entitled “ Procurement Planning and Performance of Public Institutions: a case of Procurement and Disposal Unit Uganda Prisons Service. You’re requested to participate in this study by answering the following questions to the variables under study. The data gathered will be employed in writing an academic research report and all information provided will be held confidential.
Thank you very much. 
SECTION A:   BACKGROUND INFORMATION
Where alternatives are provided, tick the appropriate box.
1. Kindly indicate your gender          a) Male                                         b) Female                 
2. Please indicate your age group 
a)  18-29 years                                                                                         b) 30-39 years               
c)  40-49years                                                                                          d) 50-60 years               
3. Please indicate your level of Education
a)  Secondary                                b) Certificate                             c) Diploma               
d)  Bachelor’s Degree                   e) Master’s Degree                    f) PHD
4. Please indicate the functional unit of the organization under which you fall.
a) Procurement               b) Finance & Administration                   c) Farms &Industries           
d) Engineering                e) Quarter Master               f) Human Resource            Others   
5. For how long have you worked with Uganda Prisons services?
a) Less than 1 year            b) 2-5 years              c) ≥ 5-10 years            d) ≥10-30years         
7. Please indicate your Occupation 
a) Accountant                  b) Engineer                        c) Procurement Specialists

d) Agriculturalist                     e) Administrator                                  f) Others                                          
SECTION B: PROCUREMENT NEEDS IDENTIFICATION, FUNDING AND DETERMINATION OF PROCUREMENT METHODS
Please, tick to what extent you agree or disagree with the statement below based on the rankings;
Scale	Strongly Disagree (SD)	Disagree (D)	Not Sure (NS)	Agree (A)	Strongly agree (SA)	
	1	2	3	4	5	

	Statements 	
BA	Procurement need identification 	SD	D	NS	A	SA	
1	Needs identification is done during the planning phase in  Uganda prisons services 	1	2	3	4	5	
2	The procurement plan for  the entire Uganda prisons services is based on the total of needs identified from all user departments  	1	2	3	4	5	
3	After aggregating the needs for the entire Uganda prisons services then terms of reference (TOR) is prepared	1	2	3	4	5	
4	The prepared Terms of Reference (TOR) are made clear to the suppliers as much as possible						1	2	3	4	5	
5	There is mechanisms to ensure that Terms of Reference (TOR) are followed when procuring within Uganda prisons service	1	2	3	4	5	
6	There is a clear definitions for different items and services are prepared during the planning phase in Uganda prisons service	1	2	3	4	5	
7	There are mechanisms to discuss with prospective suppliers the terms of reference at the planning phase Uganda prisons service	1	2	3	4	5	
8	Right quantities are among the terms of reference (TOR) in Uganda prisons service	1	2	3	4	5	
9	User departments are allowed to make a provision for goods and service (miscellaneous) during planning phase	1	2	3	4	5	
10	Time of delivery is set during the planning phase of procurement in Uganda prisons service	1	2	3	4	5	
BB	Procurement funding	
1	Enough funds are allocated to the procurement budget of Uganda prisons service 	1	2	3	4	5	
2	Allocated funds to procurement budget comes in time within Uganda prisons service	1	2	3	4	5	
3	Availability of funds within the Uganda prisons service is communicated to the PDU in time by the concerned officers 	1	2	3	4	5	
4	There is no hindrances to the PDUs work after a notice of funds availability is made	1	2	3	4	5	
5	Accounting Officer normally signs and gives confirmation of availability of funds of the PDE in the PP Form 20	1	2	3	4	5	
6	Normally the funds allocated to procurements within Uganda prisons service come in time	1	2	3	4	5	
7	Funds allocated to PDU in Uganda prisons service depends on the procurement plan/budget	1	2	3	4	5	
8	Funds allocated to PDUs within Uganda prisons service depends on the state of government revenue in the country	1	2	3	4	5	
9	Sometimes procurement contracts signed is frustrated by government release of funds to the Uganda prisons service	1	2	3	4	5	
10	Uganda prisons service sometimes experiences costs of contract termination as a result of unavailability of the funds	1	2	3	4	5	
11	Prisons services sometimes receives funds in form of conditional grants						
BC	Identification of Methods of Procurement	
1	During the planning phase different procurement methods are determined  for particular goods and services in Uganda prisons service	1	2	3	4	5	
2	Procurement methods determined during procurement planning depends on  the degree of agency of goods and services 	1	2	3	4	5	
3	Some procurements are  done according to the nature of goods and services required by Uganda prisons service	1	2	3	4	5	
4	Quality specification dictates the plan for the method  and who to supply the products and services identified 	1	2	3	4	5	
5	Lead time dictates the methods of procurement the Uganda prisons service plans to use 	1	2	3	4	5	
6	The methods of procurement does not matter in Uganda Prisons Service	1	2	3	4	5	
7	Budgeted cost dictate the procurement method to be used in Uganda prisons service termination of procurement methods requires consideration to promote competition and transparency	1	2	3	4	5	
8	Estimated value of works, services or supplies is the key determinant for selecting procurement methods	1	2	3	4	5	
9	During the planning phase criteria to evaluate suppliers are determined, which determines the procurement methods to be used	1	2	3	4	5	
10	The size in terms of cost of procurement contracts dictates  the  plan for the procurement method to be used	1	2	3	4	5	
BD	Performance of PDU 						
1	The PDU in Uganda prisons service spends within the budget	1	2	3	4	5	
2	The PDU in Uganda prisons service strictly follows the TOR set during procurement planning	1	2	3	4	5	
3	The PDU in the Uganda prisons service procure goods in time 		 	1	2	3	4	5	
4	The PDU in Uganda prisons service minimizes the costs of procurement incurred by the organization	1	2	3	4	5	
5	The PDU in Uganda prisons services ensures that users departments do complain about goods and service procured	1	2	3	4	5	
6	There are fewer complaints about the goods and services procured by PDU in Uganda prisons service 	1	2	3	4	5	
7	The number of complaints from user departments about procurement requirements  in Uganda prisons service has reduced	1	2	3	4	5	
8	PDU avails procurement requirements to different user departments in time	1	2	3	4	5	
9	The Uganda prisons services PDU pays suppliers timely	1	2	3	4	5	

Thank you for your time

Appendix Two:        INTERVIEW GUIDE 
This interview guide is aimed at assessing the procurement planning and performance of public institutions: a case of procurement and disposal unit Uganda prisons service. You have been selected to contribute to this study. In your capacity as an employee of Uganda prisons services, you have useful information to contribute to the completion of this study. 
Instructions:

Where options are given, answer by ticking in the box corresponding to the option that best suits your opinion. Otherwise, fill your answer in the spaces provided.
SECTION A: BACKGROUND INFORMATION
Name of the person …………………………………………………… (Optional)
Job title…………………………….………………………………….. (Specify please)
SECTION B: PROCUREMENT NEEDS IDENTIFICATION 
Do you think procurement needs identification is done in Uganda prisons services? 
Yes    			No			 Do not know 
If yes, what do you think makes them do the needs identification when doing procurement planning?
………………………………………………………………………………………………………………………………………………………………………………………………………………
What are the activities done during  this phase of needs identification ………………………………………………………................................................................................................................................................................................................................................................................................................................................................................................................
What do you understand by the terms of reference (TOR) done during procurement planning?
………………………………………………………....................................................................................................................................................................................................................................
Are you comfortable that the TOR is followed during procurement execution?
Yes                                                   No 
If no, what do you think makes this happen?

………………………………………………………....................................................................................................................................................................................................................................
SECTION C: funding in Uganda prisons services
Do you think Uganda prisons services receives enough funds allocation from government? 
Yes                                                   No 

If no, what do you think is cause of this?
………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………
Do you think this has had an impact on performance of the PDU in Uganda prisons services as in availing goods and services and how? 
………………………………………………………………………………………………………………………………………………………………........................................................................
Section D: PROCUREMENT METHODS  
Who determines the procurement methods to be used?
………………………………………………………………………………………………………………………………………………………………………………………………………………Do you think the methods of procurement used has an effect on availability of goods and services and how? ………………………………………………………………………………………………………
What factors are considered during determination of method of procurement?
........................................................................................................................................................................................................................................................................................................................
Section E: Performance of PDU 
How do you rate the performance of PDU in Uganda Prisons Service? 
……………………………………………………………………………………………………………………………………………………………………………………………………………
What do you depend on to measure performance of PDU in Uganda prisons service?
………………………………………………………………………………………………………………………………………………………………........................................................................
Any information you would like to share with us? 
………………………………………………………………………………………………………………………………………………………………........................................................................
Thank you!

Appendix III:     Documentary Review Checklists

Document analysis is a social research method and is an important data collection tool in its own right and is an invaluable part of most schemes of triangulation research. Documentary review work involves scanning available of written material (documents), 
Documentary review will be undertaken to establish the following;
List of Documents that the researcher intends to review at UPS includes the following:

No.	Title of Document	Particulars	Remarks	
1	Bid documents for the various procurements.			
2	Multi annual procurement plans, Annual and periodic procurement work plans			
3	Procurement Budget plans and thresholds.			
4	Evaluation report and minutes.			
5	Copy of the signed contracts.			
6	Copy(s) of any addendum to the solicitation document and contracts committee approvals.			
7	Procurement requisitions Specifications/TOR/SOW			
8	Price schedules			
9	Record of issue of bid documents/fee paid and fee not paid.			
10	PP Form 33 -Record of pre-bid meeting where necessary.			
11	Records of any administrative reviews/reports handover certificates/payment receipts if it is a disposal.			
12	PP Form 209 and 210, record of contracts committee decision and minutes.			
13	Delivery notes, tax invoices.