USAID GOVERNMENT INTEGRITY PROJECT MONTHLY REPORT SEPTEMBER 2016

SEPTEMBER 2016 This document was produced for review by the United States Agency for International Development. It was prepared by Tt DPK for the USAID Government Integrity Project, contract number AID-519-C-16-00001.

USAID GOVERNMENT INTEGRITY PROJECT

MONTHLY REPORT SEPTEMBER 2016

Contracted under Contract No. AID-519-C-16-00001 Pursuant to Section F.6 of the Contract

DISCLAIMER The author’s views expressed in this publication do not necessarily reflect the views of the United States Agency for International Development or the United States Government.

USAID GOVERNMENT INTEGRITY PROJECT 2 MONTHLY REPORT ACRONYMS

ADM Gestión documental y archívística Archives and Data Management COMURES Corporación de Municipalidades de la República de Municipal Corporation of the Republic of El Salvador CEG Comisiones de Etica Commissions of Government Ethics CSO Organización de la sociedad civil Civil Society Organization FY Fiscal Year FUNDE Fundación Nacional para el Desarrollo GOES Gobierno de El Salvador Government of El Salvador IAIP Instituto de Acceso a la Información Pública Institute for Access to Public Information I+D Innovation & Design, Tetra Tech DPK’s Salvadorian subcontractor IIM Institutional Integrity Model ISDEM Instituto Salvadoreño de Desarrollo Municipal Salvadorian Institute for Municipal Development LAIP Ley de Acceso a la Información Pública Access to Information Law LCAM Ley de la Carrera Administrativa Municipal Administrative Municipal Career Law MOP Ministerio de Obras Públicas Ministry of Public Works OGP Alianza para el Gobierno Abierto Open Government Partnership OMBS Online Merit-based system PGR Procuraduría General de la República Public Defenders’ Office MARD Ministerio de Medio Ambiente Ministry of Environment CNR Centro Nacional de Registro National Registry Center STP Secretaría Técnica y de Planificación de la Presidencia (STP) Technical and Planning Secretariat of the President’s Office TEG Tribunal de Etica Gubernamental Government Ethics Tribunal Tt DPK Tetra Tech DPK UAIP Unidad de Acceso a Información Pública Public Information Office USAID United States Agency for International Development

USAID GOVERNMENT INTEGRITY PROJECT 3 MONTHLY REPORT

INTRODUCTION

Tetra Tech DPK (Tt DPK) was awarded contract AID-519-C-16-00001 to implement the USAID Government Integrity Project on March 3, 2016. The purpose of the project is to work in partnership with the Government of El Salvador (GOES) for effective implementation and compliance with regulations that enhance transparency and accountability in government. This report constitutes the project’s September 2016 bulleted monthly report and outlines the main programmatic and administrative tasks undertaken. The month of September was characterized by the completion of a high volume of key activities initiated in August, particularly with the Institute for Access to Public Information and the continuation of others as described below.

PROGRAMMATIC TASKS

Project Work Planning o The Planning for fiscal year 2017 (FY17) continued with two day long sessions on September 8 and 9. Tt DPK’s home office Contracts Management Director, Rebecca Silva, participated in the workshop. A presentation of the initial proposal of activities for FY17 was shared with the Project COR. o On September 9, the COR, the Project COP and Tt DPK’s Contract Management Director met to discuss planning and budgeting in the coming years. Discussions focused on the need to take into consideration the approved budget, which allocates $1.4 Million to CLIN I activity costs (excluding long-term staff), $1.7 Million to CLIN II activity costs, and $1.9 Million to Grants Under Contract over a three year base period, when developing the project work plan in order to meet the required project results within the budget line items assigned in the contract. These discussions resulted in the following implementation strategy: • Use long-term project staff to implement technical programming to the extent possible; • Use the relatively limited activity costs allocated to CLIN I strategically and only where interventions clearly contribute to achieving project results; • Explore opportunities for CLIN II activities to complement successful CLIN I strategies and group these ideas in one or two proposals over the life of the project to minimize administrative burden on the USAID contracting office; and • Use the grants fund wherever possible to achieve project results and carefully manage and account for in-kind project contributions to grantees to ensure they are properly reported to the grants line item.

Strategic Training Program o The Project has conceived a strategic program to systematically train key public officials in selected central and local government agencies, as well as civil society organizations, in subject matters that promote a culture of public integrity El Salvador. To this end, the Project has developed three of five initial modules that will make up this program, including a module on transparency (in collaboration with the IAIP), one on ethics (in collaboration with the TEG) and one on the training of trainers. The fourth module will be designed for civil society organizations and will be executed once USAID approves the scope of work for the subcontract which will develop the module. The fifth module focuses on accountability and is

4 being developed in collaboration with the Secretaría de Participación Ciudadana, Transparencia y Rendición de Cuentas and the IAIP.

Institutional Integrity Model o The Project team and I+D have tailored Tt DPK’s proprietary Institutional Integrity Model (IIM) to the context of El Salvador. The IIM uses an organic systems-oriented methodology to foster a culture of integrity within government institutions as an effective means to enhance outcomes of large-scale reform initiatives. The Salvadorian version of the IIM has six components: transparency, ethics, anticorruption, citizen participation, human resources and accountability. It incorporates El Salvador’s ethics and transparency laws as well as local and international best practices. The next phase, to be led by FUNDAUNGO in conjunction with the Project team, will be to adapt the model to the municipal context.

Objective 1  Institute for Access to Public Information (IAIP) o IAIP’s 2017-2021 Strategic Plan: The Project has continued its support in the development of the IAIP’s 2017-2021 Strategic Plan. On September 29, citizens that have exercised their right to the access of information were invited to participate in a focus group to identify the strengths and weaknesses of the IAIP’s services. IAIP citizen users praised the treatment they received from IAIP officials, thanked the IAIP’s role on appeals, and described how they were able to protect their rights when denied access to public information by a government and/or local institution. Additional focus group sessions will be held in October 2016. o Confidential information guidelines: During the month of September, the legal expert hired to draft the Guidelines to Confidential Information submitted a first draft after an initial review with the IAIP.1 This activity will continue during the month of October. o Transparency and Information Technology: The international consultant specialized in the use of technology for increased transparency, Mr. Ricciardi, submitted his final report after validating it with the IAIP and including the IAIP’s comments. The main recommendations stemming from the report include: a) use social media and mobile phones; b) make the IAIP’s data available to the public in open formats; c) place citizens at the center of any technological innovation efforts; d) be an innovative pioneer in the use of technology rather than the leader; and, e) engage civil society organizations in order to increase their credibility and technical knowledge. o Technology platform: The Project’s local subcontractor, I+D, recommended changes to the scope of work that the IAIP will use to procure the design and development of their information technology platform that the Project will support. o E-learning platform: I+D submitted the final capacity assessment on the training and technology departments within IAIP to upgrade their e-training module. Among others, changes to the IAIP’s e-training module software were also implemented by I+D to allow the IAIP to tailor their training reports to their specific needs. o Training Strategy Roadmap: I+D submitted the final report on the training strategy roadmap for the IAIP. The recommended roadmap includes: a) implement training as a

1 This deliverable provides guidelines to manage, maintain, protect and provide security for confidential information. Although the rule is that all information is public, the LAIP establishes that there is certain information that is confidential in nature. Establishing under what circumstances information has this characteristic is key to the IAIP.

5 strategic process; b) design the training program based on priorities; c) design the IAIP’s general training strategy to cover a medium term period; d) establish an annual training calendar; e) design and implement the training of trainers program; f) influence the National Educational System to advance the access to information and transparency culture; g) design courses with a competency-based approach; h) consolidate the design and implementation of e-learning. o Mapping of Strategic Processes: I+D has delivered the final report of the mapping of five IAIP’s strategic processes including: failure to respond to information requests; sanctions; oversight of implementation of the Law on Access to Public Information (LAIP) by other institutions; and enforcement. The study has clearly identified where the bottlenecks are by using value analysis methods, such as FAST2. This report will be presented to the IAIP’s leadership so that they can decide which process they would like to improve in the next phase of assistance. o Legal reforms to the IAIP: On September 22, the Project team held two work meetings, one with the IAIP’s leadership and another with IAIP’s legal staff. An initial list of areas that may require clarification through legal reforms were prepared. o IAIP’s Archives and Data Management: I+D completed the design and development of 9 Archives and Data Management (ADM) Didactical Guidelines which were validated by the IAIP for their use at the central and municipal levels. o Communications Unit: The Project submitted an assessment of the IAIP’s Communications Unit and Communication and Branding strategy to the Institute’s leadership. o Best practices Workshop: At the request of USAID, the best practices workshop was postponed until a later date.

 Government Ethics Tribunal (TEG) o Commissions of Government Ethics (CEG): The subcontractor completed an initial capacity assessment on a sample of CEGs. The assessment included the development of a legal framework, the completion of competency studies in the area of government ethics control, and interviews with members of the TEG, CEG, the Ministry of Public Works (MOP), the Public Defenders’ Office (PGR), the Ministry of Environment (MARN), and the National Registry Center (CNR). The capacity assessment will yield recommendations for strategic interventions and follow-up activities.

 Ministry of Public Works (MOP) o Analysis of information flows and equipment needs of Public Information Office (PIO): The subcontractor held interviews with the access to information officer and other MOP personnel to map the Care and Management of Public Information Process as well as the following procedures: a) information requests; b) recording of information requests; c) management of search for information; d) review of information provided; e) information delivery. An assessment of the costs required to increase the PIO’s productivity was also conducted.

 Open Government and Open Government Partnership o At the request of USAID, the presentation on OGP to USAID Democracy Office staff was postponed until September 19. The Project expert on Open Government provided USAID

2 Known for its acronym F.A.S.T., the functional analysis system technique process is a method for converting the “activities” performed in a system to the “functions” performed by the system for its customers. It is used for process improvement.

6 staff an overview of open government, the OGP and implementation of OGP commitments in El Salvador to date.

 Technical and Planning Secretariat of the President’s Office (STP) o Degree on public procurement and transparency: The Project will be requesting USAID concurrence on a Request for Application (RFA) to issue a grant for the design and implementation of a Public Procurement and Transparency Degree at a University. The scope of work of this RFA was drafted in collaboration with the STP. o Automated merit-based system campaign: The first product of the campaign, the content and graphic design, has been developed.  Target Municipalities o Years 1 and 2: At the July 27 workshop, the Project established a deadline of September 9th for municipalities to submit an agreement signed by the Municipal Council stating their interest to receive technical assistance and training from the Project. The Project received 12 expressions of interest by the deadline in the following order: 1) Cojutepeque; 2) Olocuilta; 3) ; 4) ; 5) Armenia; 6) Santo Tomás; 7) Zacatecoluca; 8) Zaragoza; 9) Sonsonate; 10) San Miguel; 11) San Pedro Perulapán; and, 12) . o Administrative Municipal Career Law (LCAM): Modern civil service systems incentivize public servant professionalism through rules of conduct, rewards for integrity, effective penalties for abuse, and systems for detecting abusive practices. The LCAM responds to these principles and, if effectively applied, can be key to the long term sustainability of the Project’s impact in municipalities. However, there are legal, institutional, and operational issues that impede the full implementation of the LCAM. I+D carried out a comprehensive study to identify those issues by conducting in-depth interviews, including some with ISDEM officials, as well as an analysis of the National Register of the LCAM. Then, on September 21 and 27, two workshops3 were held with a total of 47 participants from over 35 municipalities to discuss the findings of the study and to identify possible solutions.

Objective 2  Broadening the base of civil society organizations (CSOs) o On September 6, the Project designed and organized an open event called “Generating Public Value through the use of Information”. Salvadoran panelists and Mr. Ricciardi shared their vision and experiences with more than 70 representatives of public institutions and civil society organizations that work with youth and journalists. This is yet another effort of the Project to broaden the base of CSOs that become informed about and participate in debating issues related to transparency, government ethics, and anti-corruption.

3 Comasagua, Guazapa, , San José Guayabal, Santo Tomás, , San Matías, Antiguo Cuscatlán, San Marcos, Suchitoto, Quezaltepeque, , , Huizúcar, San Martín, Zaragoza, Cojutepeque, La Libertad, San Bartolomé Perulapía, San José Villanueva, Olocuilta, Oratorio de Concepción, El Carmen, , Panchimalco, Zacatecoluca, Sacacoyo, Armenia, , San Pedro Perulapán, Ciudad Arce, Aguilares, San Juan Opico, Santa Tecla, Monte San Juan, , Colón, Sonsonate y El Rosario.

7 Grants Program  Third-party litigation for corruption complaints and use of the right to access information o During the reporting period, USAID approved the scope of work to issue a non- competed grant to FUNDE and the RFA was submitted to grantee so that the proposal could be prepared. The purpose of the grant is to strengthen legal assistance and identity protection provided by the Center for Anticorruption Legal Assistance (ALAC) to people that are fearful of retaliation or that encounter difficulties in submitting a corruption complaint or public information request. During the life of the grant, FUNDE will provide legal advice in at least 1,000 anticorruption cases in the areas of public information requests, corruption complaints, and appeals to the IAIP. o The project submitted a request for concept papers to USAID. The RFA seeks to issue citizen oversight grants that monitor implementation of: a) public policies, programs, and national-level projects in public works, environment, security, natural resources, public services, education, health and or human rights; b) electoral transparency and transparency of designation of public officials; c) implementation of national legislation and specifically, transparency, ethics and anticorruption laws; and, d) implementation of international treaties and initiatives. ADMINISTRATIVE TASKS o During the month of September, the technical team participated in presentations given by the Project subcontractor in process mapping, ethics commissions, IIM, technology platforms, e- learning, and LCAM, in order to ensure cross-cutting understanding and approaches on Project issues.

FINANCIAL REPORT o Expenditures for the month of September amounted to $373,760. The total amount invoiced through September is $1,006,964.

OCTOBER ACTIVITIES Annex 1 of this report outlines the calendar of events planned during the period October 16 – November 30 as well as the expected role of USAID and media.

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USAID Government Integrity Project Monthly Calendar of events ANNEX I

Expected Time USAID Date: COR/ participants: Media Event title Place From/ Description Activity/Project speaking M/D/Y AOR (names and expected to role positions) October A8.1 Provide Technical assistance Meeting with Public to draft the Public Consultation of the Information Officers for confidential Information 9:00 am - Confidential consultation of the TBD TBD information COR Officers and No No 12:00 pm Information IAIP’s Confidential guidelines to be used legal team of Guidelines Information Guidelines by the IAIP in the the IAIP training provided to government entities •CSOs that participated in the Create conditions for A3.1 Issue grant for preparation of CSOs that prepared the implementation of the report Yes (CSOs the Alternative Report Dissemination and dialogue platforms • CSOs that will and other CSOs to dialogue workshop to Hotel between government work with convene participate in the discuss Civil Society October 17 Sheraton 1 – 4:30 p.m. agencies and civil Yes young people, Yes the press CICC initiatives and Organizations alternative Presidente society on key women on a be active actors during report to the MESICIC transparency and • CSOs different the visit of the experts accountability issues interested in date) from the Organization open of American States. government initiatives, and • Journalists Development of IAIP´s October 18, 8:30 am – Give leadership of A11.1 Provide IAIP TBD COR No No 2017-2021 Strategic Plan 2016 12:10 m IAIP an opportunity to technical assistance department

Expected Time USAID Date: COR/ participants: Media Event title Place From/ Description Activity/Project speaking M/D/Y AOR (names and expected to role positions) discuss strategic to IAIP to develop and heads and political, economic their five year staff and social issues with strategic plan. opinion leaders November Public Information Officers from central and Best practices workshop A1.6 Provide municipal on access to public Showcasing of best technical assistance November 8:00 am- 1:30 level, IAIP information and TBD practices by public to organize and COR Yes Yes 22 pm Comisionados, signature of MOUs with information officers implement a best Secretariat for municipalities practices workshop Transparency; Mayors from the 11 municipalities Once printing of the A4.2 Provide Ethics Law for logistical support for Public presentation of children is completed, the printing and Members of Ethics Law for children TBD TBD TBD the Project will COR Yes Yes distribution of copies the TEG and teaching material support TEG with of the Ethics Law for their distribution in a children public event