MUNICIPAL DEVELOPMENT AND CITIZEN PARTICIPATION PROJECT
FINAL REPORT JANUARY 1 2000 TO 30 SEPTEMBER 2002
El Salvador SUM Contract No. 7470-806 Co-sponsored by: COMURES-GOES-USAID Table of Contents
Exhibits...... iii
Abbreviations...... iv
Executive Summary...... 1
1. Background and Project Design...... 5 1.1 Introduction...... 5 1.2 Background ...... 5 1.3 Description of the Project Components ...... 9 1.4 Project Inputs...... 10 1.4.1 Technical Assistance Team...... 10 1.4.2 Training, Models, and Publications...... 11 1.4.3 Budget...... 12 2. Project Components...... 13 2.1 Policy Reform and Formulation...... 13 2.1.1 Tax Reforms ...... 13 2.1.2 Decentralization of Rural Road Maintenance ...... 15 2.1.3 Decentralization of the Water Supply Services ...... 16 2.1.4 Municipal Transparency Mechanisms ...... 18 2.1.5 Technical Assistance and Training with National Institutions ...... 20 2.1.6 Nonprogrammed Activities Carried Out...... 22 2.1.7 Problems with the Component ...... 23 2.2 Municipal Strengthening Component...... 24 2.2.1 Financial Strengthening...... 24 2.2.2 Management Capacity...... 28 2.2.3 Municipal Services...... 29 2.2.4 Nonprogrammed Activities Carried Out...... 41 2.3 Local Democratic Development Component: Citizen Participation...... 41 2.3.1 Background ...... 41 2.3.2 Phases and Activities in the Period...... 42 2.3.3 Problems with the Component ...... 48 2.3.4 Nonprogrammed Activities Carried Out...... 50 3. Lessons Learned and Recommendations...... 53 3.1 Key Lesson: Political Will...... 53 3.2 The Content of Project Assistance...... 54 3.2.1 Citizen Participation...... 54 3.3.2 Municipal Strengthening ...... 55 3.2.3 Municipal Services...... 56 3.3 Policy Reform and Formulation...... 58
FINAL REPORT – JANUARY 2000 TO SEPTEMBER 30, 2002 ii 3.3.1 Slow Improvements in the System of Central-Local Government Transfers ...... 58 3.3.2 Tax Reform ...... 59 3.3.3 Private Sector Participation...... 60 3.3.4 Multiyear Investment Plans...... 60
Appendices
A Financial Indicators (Municipal Strengthening Component) B Services Indicators (Municipal Strengthening Component) C Local Democratic Development Component D Publications Models E Final Provisional Budget F Consultants / Contractors G Summary of Municipalities Assisted H Training Events I Strategic Objective Indicators Result
Exhibits
Exhibit 1: Project Municipalities, by Number of Inhabitants...... 8 Exhibit 2: Timing for Incorporating New Municipalities ...... 8 Exhibit 3: Organizational Structure...... 10 Exhibit 4: Training Events Summary...... 12 Exhibit 5: Trends in Municipal Income and Expenditures, 1996–2002...... 26 Exhibit 6: Municipal Investments, by Financing Source, for the 28 Project Municipalities, 1998–2002...... 27 Exhibit 7: Models for Municipal Utility Management in Project Municipalities...... 31 Exhibit 8: Management Indicators of Decentralized Companies...... 34 Exhibit 9: Training Sessions and Number of Participants...... 43
FINAL REPORT – JANUARY 2000 TO SEPTEMBER 30, 2002 iii Abbreviations
AA ATAP Water Management Association for Ataco-Apaneca ACDAU Association of Departmental Councils of Mayors of Usulután ADA Office for Decentralized Administration of Water and Sewerage, ANDA AFI Governmental Accounting System AMSO Metropolitan Area of Sonsonate ANDA National Water and Wastewater Administration ANEP National Association for Private Enterprise CARE Cooperative for American Remittances Everywhere CASALCO Salvadoran Construction Industry Council CDA Departmental Council of Mayors CDL Local Development Committee CECI Canadian Center of Studies and International Cooperation CHF Cooperative Housing Foundation CNSP National Public Security Council COMURES Association of Municipalities of the Republic of El Salvador CONAMYPE National Commission for Micro and Small Enterprises COP Chief of Party CREA Creative Associates International of El Salvador [operates Citizen Participation and Governance Project] DEMUCA Foundation for Local Development and Municipal and Institutional Strengthening of Central America and the Caribbean DevTech Development Technologies, Incorporated DIGESTYC General Office of Statistics and the Census DIMA Municipal Decentralized Company, San Pedro, Honduras DUI Unique Identification Document [number] EHP Environmental Health Project EMASA Municipal Administrative Agency for Water and Wastewater, Suchitoto EMASIC Municipal Administrative Agency for Water and Wastewater, San Isidro, Cabañas ENADE National Conference on Private Enterprise ENDL National Strategy for Local Development
FINAL REPORT – JANUARY 2000 TO SEPTEMBER 30, 2002 iv EPA U.S. Environmental Protection Agency FEPADE Entrepreneurial Foundation for Educational Development FISDL Social Investment Fund for Local Development FODES Fund for Social Development FUNDAMUNI Foundation for Support to Municipalities of El Salvador FUNDASPAD Salvadoran Foundation for Democracy and Development FUNDE National Development Foundation FUSADES Salvadoran Foundation for Economic and Social Development FUSAI Salvadoran Foundation for Integrated Support GOES Government of El Salvador GTZ German Agency for Technical Cooperation IDB Inter-American Development Bank IQC Indefinite quantity contract IR Intermediate Result ISDEM Salvadoran Institute for Municipal Development IUDOP University Institute of Public Opinion, UCA MDCPP Municipal Development and Citizen Participation Project MOP Ministry of Planning NGO Nongovernmental organization PDL Local Development Program PEP Participatory Strategic Planning PSP Private sector participation RED Local Development Network: made up of local development NGOs—FUNDE, FUNDAMUNI, FUSAI, Guillermo Manuel Ungo Foundation (FUNDAUNGO), Latin American Social Sciences Faculty (FLACSO) REF Family Status Registry RTI Research Triangle Institute SACDEL System of Consulting and Training for Local Development SAFI Integrated Financial Management System SAFIMU Municipal Integrated Financial Management System SASA Water Administration System SETEFE Technical Secretariat for External Financing SIFIMU Municipal Financial System SO Strategic Objective
FINAL REPORT – JANUARY 2000 TO SEPTEMBER 30, 2002 v SOCINUS, SEM Intermunicipal public-private solid waste service, Usulután de CV (Sociedad Intermunicipal Usuluteca) SUM Sustainable Urban Management [USAID project] TCN Third-country national Tetralogía, SEM Tetralogía public-private water service, Usulután de CV TOT Training of trainers UACI Institutional Unit for Procurement and Contracting UCA Central American University “José Simeón Cañas” USAID United States Agency for International Development
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Executive Summary
Project Purpose
The Municipal Development and Citizen Participation Project (MDCPP), extended as a task under an indefinite quantity contract (IQC), was designed to assist the government of El Salvador (GOES) in strengthening municipalities by improving services through effective financial management and greater citizen participation in local governance. The key substantive areas targeted in MDCPP were citizen participation, municipal finance and management, and policy dialogue and reform, complemented by locally based urban management training and technical assistance.
The program, funded by the U.S. Agency for International Development (USAID), constituted an innovative approach to technical assistance, integrating assistance in the areas of policy reform, improved municipal development, and governance. This technical assistance covered the period from January 2000 through June 2002.1
Impact of the Municipal Development and Citizen Participation Project
The seven key areas of impact of the Municipal Development and Citizen Participation Project are:
1. Increased involvement of the community in local governance
2. Improved participatory planning processes
3. Increased decentralization of selected urban services
4. Increased local resources for urban services
5. Improved financial management of local governments
6. Improved methods for infrastructure programming
7. Increased capacity for policy analysis and formulation.
Project Background and Organization
The specific purpose of this activity was to enhance the participation of the Salvadoran population in the local democratic process and to improve the capacity of local governments to respond to constituents in selected municipalities.
1 The contract was extended through September 30, 2002, with a no-cost amendment.
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This activity supported four lower-level results which were required to achieve the Intermediate Result of “increased participation in strengthened local governments,” and the democracy Strategic Objective of “more inclusive and effective democratic processes”: (1) policies for more democratic local governments shared by national and local leaders; (2) expanded and improved quality of services; (3) stronger grassroots participation and organizational skills; and (4) more effective participation in municipal decision making.
Project Activities
The activities for each component of the project can be summarized as follows.
§ Policy Reform and Formulation – Included technical assistance and training to move forward with the national decentralization and municipal development strategy and to identify, analyze, and facilitate the reforms and formulation of policies leading to more autonomous and participatory municipal governments.
§ Municipal Strengthening – Included technical assistance and training to develop the administrative, technical, and financial capacity necessary for municipal governments to respond effectively to the needs of their constituents by providing improved, expanded public services on a sustainable basis.
§ Local Democratic Development – Included technical assistance and training to increase and enhance citizen participation in the local democratic decision-making process. This included further developing existing practices such as cabildos abiertos (open town meetings), increasing nongovernmental organizations’ (NGOs’) and community organizations’ access to the democratic process, and identifying new mechanisms for establishing sustainable participatory planning processes (PEP) and mechanisms to evaluate them.
Principal Achievements
Below are highlighted some of the most significant project achievements.
1. Documenting and publicizing successes in pilot programs. COMURES, under a new strategy, has decided to document and systematize field pilot experiences such as water decentralization; PEP; regional waste disposal sites; and automated services such as the Family Status Registry (REF), the Municipal Integrated Financial Management System (SAFIMU II), the Water Administration System (SASA), etc., with the purpose of using them as policy debate examples in pursuit of its national agenda.
2. Increased revenues. The municipalities have increased their revenue collections, applying in an orderly fashion integrated measures such as collecting from all citizens in accordance with the current legal framework, updating the tax registries, implementing effective systems for reviewing balances, and reforming fees.
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3. Municipal services management. Including both the private and the public sectors in the administration, operations, and maintenance of public services such as potable water, and collection and final disposal of solid waste, has contributed to higher levels of sustainability and quality in service provision, and avoided cross-subsidies among municipal services.
4. Capacity building: NGOs and private sector firms. The NGOs and Salvadoran companies have broadened their field of action, assimilating the methodologies of the different administrative instruments developed by the project within the municipal strengthening component.
5. Integrated solid waste services. The traditional method of providing separate services for collection and disposal of solid waste has been transformed into an integrated model, responding to the environmental and health problems that are generated by solid waste. The involvement of regional municipal associations was fundamental in this transformation due to the high capital investment sums required and the limited amount of land available.
6. Municipal customer orientation. Municipal organizational structures are more oriented toward a culture of service and dialogue within the administrative apparatus and toward the citizens. Examples of this transformation include the application of decentralized decision making; the elimination of duplicate functions and incompatible tasks; the introduction of a client service function to rapidly resolve user complaints; the simplification of procedures; and good attention to the public principally in the areas of the Family Status Registry, business and land registry, billing, and taxpayer notification.
7. Improved efficiency. Increases in municipal efficiency have resulted from processes of selecting and contracting personnel based on profiles and job descriptions that clearly define—in writing—the tasks and requirements for each job position.
8. Open access to information. Access to municipal financial and administrative information is no longer limited to the mayor and his or her councilpersons, but is disclosed to the public through open town meetings and open council meetings, among many other ways; thus, there is more transparency and more awareness of the benefits of this new way of working.
9. Creation of decentralized water and wastewater services. The decentralized municipal potable water and sewerage companies of Suchitoto, Cuscatlán EMASA, and San Isidro, Cabañas EMASIC presented their respective First Reports of Work and Financial Status of the Company to the users for approval.
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10. Locally based software training. In conjunction with the Association of Municipalities of the Republic of El Salvador (COMURES), five private companies were prequalified and trained to carry out further implementation and training on the computerized Family Status Registry.
11. Reduced environmental hazards. The project was involved in the planning, construction, and inauguration of two sanitary landfills, in Sonsonate and Usulután.
12. Changes in national policy on citizen participation. The positive experience of the practices developed by the MDCPP in the project municipalities in terms of the facilitation of mechanisms of transparency and citizen participation, as well as the experiences of other institutions that work in the municipal arena, have had an impact on national policies. As evidence of this impact, several of these mechanisms have been included as indicators within the Basic Criteria for Participatory Processes for Local Development, approved by the Social Investment Fund for Local Development (FISDL) Advisory Group.2
13. Violence prevention. The communities, municipal governments, NGOs, and other actors introduced the concept of social prevention of violent situations, this being one theoretical and operative theme of a project being overseen by the National Public Security Council (CNSP). This action is an important outcome and an important step. That is, these entities created or incorporated plans, programs, budgets, and organizational and human resource links in harmony with the project’s objectives.
14. Replicable methodology for decentralization of water services. Within the decentralization process for the potable water services, supported by RTI in the National Water and Wastewater Administration (ANDA) Pilot Plan, the project has developed a methodology to carry out the decentralization process in an orderly, gradual and participatory manner. This methodology is currently being adopted by the Decentralization Unit of ANDA and it also will serve as guide for the Inter-American Development Bank (IDB) loan for a potable water decentralization program.
15. Transparency in accounting. The strengthening of the accounting system and the generation of complete, timely, and trustworthy information has impacted the processes of transparency. Citizens are able to share high-quality information, particularly through informative open town meetings and the rendering of accounts with respect to the execution of the municipal budget.
16. Improved services. Indisputably, the locally operated potable water systems, regardless of their mode of operation, have increased their coverage, hours of service, income, and transparency in management, and have reduced downtime for repairs.
2 Group formed by GOES institutions, COMURES, FISDL, ISDEM, local development NGOs, and private sector associations.
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1. Background and Project Design
1.1 Introduction
This Final Report was prepared for the government of El Salvador (GOES) and the United States Agency for International Development (USAID) Mission in conformance with the requirements of the Research Triangle Institute (RTI) Municipal Development and Citizen Participation Project (MDCPP) contract.
This report summarizes progress achieved during the course of RTI’s implementation of the Sustainable Urban Management (SUM) indefinite quantity contract (IQC) number LAG-I-806- 99-00009-0, Task 806, from January 2000 to August 2002. The report is presented in an executive summary, three main chapters, and a series of appendices.
The first chapter presents some historical context, plus the background of the MDCPP and its predecessor projects (1993–1999), and describes the USAID-funded technical assistance inputs. Chapter 2 provides details on the activities carried out over the 30-month period of performance. Chapter 3 presents the lessons learned and the recommendations assembled by the RTI team carrying out the project.
Supplementing the text of this report are nine appendices:
Appendix A: Financial Indicators (Municipal Strengthening Component) Appendix B: Services Indicators (Municipal Strengthening Component) Appendix C: Local Democratic Development Component Appendix D: Publications and Models Appendix E: Final Provisional Budget Appendix F: Consultants / Contractors Appendix G: Summary of Municipalities Assisted Appendix H: Training Events Appendix I: Strategic Objectives Result Indicators
1.2 Background
Peace in El Salvador has proved to be lasting; its citizens have developed greater confidence in the legitimacy and openness of the democratic system, and the responsiveness of the government to its citizens has increased.
Fiscal constraints, however, have continued to limit the central government’s ability to meet the rising financial requirements for basic public services. Moreover, the evident lack of efficiency on the part of ministries and other centralized agencies to deliver services in adequate quantity or quality, and the lack of opportunity for citizens to have a voice in government decision making, have led the GOES to see decentralization and greater municipal autonomy
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as a practical way to improve the quality of life of its citizens and to increase their participation in the democratic decision-making process. Between 1998 and 2002, a number of initiatives collectively contributed to a more open climate for municipal development in this country. The change began in 1998 with an increase in the governmental transfer to the municipalities from 1.25% to 6%3 of the national budget, along with a new distribution manual explaining the terms of the transfer. Other factors were the new political space gained by the Association of Municipalities of the Republic of El Salvador (COMURES) among the Executive Branch, the National Legislative Assembly, and—even more relevant—the political parties. Also during this period, the Social Investment Fund for Local Development (FISDL) was created by Executive Mandate as the institution in charge of local development. The Salvadoran Institute for Municipal Development (ISDEM) was reengineered and continues to provide technical and financial assistance to municipalities and to coordinate the plans and programs of the national government with those of the municipalities. Other key actors are the members of the Local Development Network of NGOs (La RED), which participated in preliminary citizen participation activities in the 1993-1999 project period, and now are present in more than a third of the municipalities in the country. Also their policy dialogue strategy contributed tremendously to many of the advances in the local democratic agenda.
In addition, the National Assembly now has a Municipal Affairs Commission, which has a well- focused working agenda with key topics such as municipal taxes, revision of the Municipal Code, a project on citizen participation laws, and discussions and proposals on decentralization legislation.
The current administration (1999-2004) has formally endorsed decentralization in its Five-Year Plan as part of its policy framework (“Las Nuevas Alianzas”) as key for economic and social development. Specifically, the Plan articulates the need to decentralize public sector institutions and to strengthen municipal governments in order to promote decision making on a local level and to strengthen democracy. It further states the importance of fomenting “bottom- up” development, where the loyalty and responsiveness of municipal officials are to the communities they serve, rather than to the central authorities.
In October 1999, the central government, through the National Water and Wastewater Administration (ANDA), turned over the administration of the first potable water system to an intermunicipal private-public company, as proof of its commitment to a national strategy for decentralization and municipal development and to serve as pilot model.
In April 2000, President Francisco Flores formally endorsed the National Strategy for Local Development (ENDL), a document developed under the leadership of FISDL and with the participation of GOES institutions, La RED, the National Association for Private Enterprise (ANEP), the Salvadoran Foundation for Economic and Social Development (FUSADES), universities, and COMURES, and with the technical support of international donor institutions.
3 1.25% FODES transfer prior to 1998; 6% FODES transfer after 1998; 8% FODES transfer request presented by COMURES to the National Assembly in 2001; 20% FODES = to the percentage of the transfer that can be used for administrative expenses: 80% FODES= to the percentage of the transfer that can be used for investment.
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USAID has been supporting municipal development in El Salvador since 1986 and at the same time has supported decentralization and municipal development objectives through several projects in democratic initiatives, health, education, and water and sanitation.
RTI led the USAID Municipal Development Project (Contract No. 519-0388) between September 30, 1993, and December 31,1999. The specific purpose of this activity was to enhance the participation of the Salvadoran population in the local democratic process and to improve the capacity of local governments to respond to constituents in selected municipalities.
As with the 2000–2002 project, this activity supported four lower-level results which were required to achieve the Intermediate Result of “increased participation in strengthened local governments,” and the democracy Strategic Objective of “more inclusive and effective democratic processes”: (1) policies for more democratic local governments shared by national and local leaders; (2) expanded and improved quality of services; (3) stronger grassroots participation and organizational skills; and (4) more effective participation in municipal decision making.
The Municipal Development and Citizen Participation Project extension under the SUM IQC carried forward the momentum of GOES efforts in decentralization and municipal development while consolidating USAID efforts related to municipal development, sustaining and institutionalizing the benefits accrued under the earlier project.
The new project used the previously developed strategies and lessons learned to further strengthen technical and management capacity of the municipalities, increased their legitimacy by enhancing citizen participation, contributed to their sustainability by broadening and increasing the municipal resource base, and increased the municipalities’ control over those resources. As the cornerstone of USAID's policy-based sector approach to municipal development, the project did encourage and facilitate policy reforms at the central and municipal levels and provide technical assistance and training in support of these reforms to FISDL, COMURES, the Modernization Secretariat, municipalities, and other entities involved in the decentralization process.
Funding provided by the 6% transfers and FISDL Inter-American Development Bank (IDB) sources have supported participatory local development plans. This critical financing for municipal-level infrastructure and other projects complemented project-funded technical assistance and training, as well as serving as an incentive to municipalities to implement local-level reforms and allowing citizens to see their participation efforts bear fruit.
The municipalities participating in the project, by number of inhabitants, were as shown in Exhibit 1.
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Exhibit 1: Project Municipalities, by Number of Inhabitants Range Municipalities MDCPP (No. of Inhabitants)1/ in the Country Municipalities % 5000 or fewer 64 0 0 5001 to 10,000 65 2 3.1 10,001 to 25,000 75 17 22.7 25,001 to 50,000 32 3 9.4 50,001 or more 26 6 23.1 Total 262 282/ 10.7
1/ Programa PROMUDE/GTZ, Propuesta de una Tipología de Municipios para El Salvador: Instrumento de Apoyo para la Planificación del Desarrollo Local (January 2002). 2/ Reflects the 28 municipalities in the project in 2002.
The MDCPP has responded to 10.7% of the total municipalities of the country, most of these having fewer than 25,000 inhabitants. Exhibit 2 details the timing for incorporating the municipalities into the project. See also Appendix G, which contains a summary of the 81 municipalities that received technical assistance from the project at least once.
Exhibit 2: Timing for Incorporating New Municipalities Incorporated Incorporated Incorporated Range First Phase Second Phase Third Phase Fourth Phase (No. of Inhabitants)1/ (July 94-June 96) (July 96-June 98) (July 98-Dec. 99) (July 01-June 02) 5000 or fewer
5001 to 10,000 1. Ereguayquín2/ 8. El Porvenir 20. San Pedro 9. Tecapán3/ Puxtla
10,001 to 25,000 2. Mercedes 10. Texistepeque 21. Concepción 30. San Isidro Umaña3/ 11. Olocuilta Batres 31. Sonzacate 3. Puerto el 12. El Carmen 22. Santa Elena 32. San Francisco Triunfo 13. Berlín 23. El Tránsito Gotera 4. San Julián 14. Corinto 24. Sociedad 25. Nahulingo 26. Suchitoto 27. Guaymango
25,001 to 50,000 15. Nejapa3/ 28. San Antonio del 33. Nueva San 16. Jiquilisco3/ Monte Salvador 17. San Francisco 29. Candelaria de la Menéndez Frontera
50,001 or more 5. Usulután 18. Cojutepeque 6. Acajutla 19. Chalchuapa 7. Sonsonate
1/ Projections of 2000 population based on 1992 Census, Dirección General de Estadísticas y Censos (DIGESTYC), 1995. 2/ Ereguayquín withdrew during the first phase. 3/ Withdrew after the third phase.
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1.3 Description of the Project Components
The Municipal Development and Citizen Participation Project was made up of three components:
? Policy Reform and Formulation – Included technical assistance and training to move forward with the national decentralization and municipal development strategy and to identify, analyze, and facilitate the reforms and formulation of policies leading to more autonomous and participatory municipal governments.
? Municipal Strengthening – Included technical assistance and training to develop the administrative, technical, and financial capacity necessary for municipal governments to respond effectively to the needs of their constituents by providing improved, expanded public services on a sustainable basis.
? Local Democratic Development – Included technical assistance and training to increase and enhance citizen participation in the local democratic decision-making process. This included further developing existing practices such as cabildos abiertos (open town meetings), increasing nongovernmental organizations’ (NGOs’) and community organizations’ access to the democratic process, and identifying new mechanisms for establishing sustainable participatory planning processes (PEP) and mechanisms to evaluate them.
Despite the advances made in the mid-nineties, USAID, COMURES, and GOES realized that continued progress was needed in several areas. The areas targeted for improvements under MDCPP included:
· Increasing citizen participation, especially in determining local priorities, improving representation, implementing transparency mechanisms, setting the local agenda, and improving the medium- and long-term vision in order to achieve sustainable municipal governance.
· Improving the revenue base of local governments by providing technical assistance in order to increase own-source revenues, improving expenditure efficiency, and increasing the quality and coverage of municipal services.
· Improving central-local fiscal transfers, by rationalizing and providing resources to supplement the scarce own-source revenue base.
· Continuing development of the institutional capacity of local governments, through the design, development, and delivery of several modules for training in administration, finance, and citizen participation.
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· Ensuring adequate levels of investment in urban infrastructure, by capitalizing on the targets of opportunity identified in the strategic participatory planning process and financially supported by the local governments as a result of the rationalization of their own resources.
· Reforming and formulating policy, by promoting dialogue on tax reforms, decentralization of services such as water supply and road maintenance, and transparency and accountability mechanisms at local levels.
1.4 Project Inputs
As noted earlier, RTI’s assistance team consisted of local consultants for the whole period, as well as several teams of short-term third-country national (TCN) experts, local subcontractors, NGOs, and overseas and domestic training programs (see Appendix F and Exhibit 3 below). In contrast to most technical assistance designs and in keeping with its original design, MDCPP was deliberately thought of as being inter-institutional, to facilitate integrated development of government policies, to encourage integrated evaluation, and to enhance the links between policy formulation and field implementation.
1.4.1 Technical Assistance Team
The MDCPP organizational structure is shown Exhibit 3.
Exhibit 3: Organizational Structure
COMURES and Government of El Salvador USAID (FISDL, ANDA, LA)
RTI Home Office Project Management Oversight Project Administrative Specialist
RTI Chief of Party
Salvadoran Subcontractors LAC and US (NGOs) and Pool of Consultants Pool of Consultants
Municipal Citizen Municipal Services Participation Capacity Building Facilitator Facilitator Facilitator
Municipalities
· The Chief of Party (COP) was the primary counterpart to the heads of the participating institutions (COMURES, FISDL, Ministry of Finance, ANDA, ANEP, and other private sector associations). The COP concentrated on the form, quality, efficiency, and effectiveness of policy issues affecting municipal strengthening and development, citizen participation, and the provision and maintenance of urban infrastructure and services. Of
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special interest were decentralization of urban services, municipal own-source revenues, private sector participation in public services, and tax reform. · The Municipal Capacity Building Facilitator concentrated on local government finance and local institutional capacity building, both for resource mobilization and improved management; multiyear investment plans; and improvements in the financial management support systems.
· The Citizen Participation Facilitator was responsible for overseeing the design, implementation, training, and institutionalization of participatory strategic planning processes at the local level; the development of the Basic Criteria for evaluating participatory planning processes at the national level (described in Section 2); and increased community involvement in local governance.
· The Municipal Services Facilitator addressed the targets of opportunity that arose. Services that were considered targets of opportunity included water, solid waste management, and rural road maintenance. The number of activities in these areas progressively increased during the life of the project.
· In addition, the RTI contract emphasized providing short-term consulting services with small local firms or NGOs and TCNs (see Appendix F). These consulting services were given in the technical areas of community participation, municipal finance and organization, billing and collection systems, cadastres, and solid waste, among others.
1.4.2 Training, Models, and Publications
During the project, RTI developed an aggressive training program with a mix of short-term training courses and workshops. They were designed with four purposes in mind: to create motivation and better attitudes, to promote changes through technical assistance, to support policy analysis, and to develop the skills of local government staff and communities. This program was complemented with a limited number of study tours (an average of 10 participants per year). The training activities included the design of study programs, materials preparation, and training of trainers (TOT); pilot tests of the study programs; and surveys regarding alumni performance.
The training programs begun under MDCPP were able to expand through the mobilization of additional resources from the GOES and other donors as well as through co-financing.
The training was oriented toward action in areas such as participatory strategic planning; transparency mechanisms; information technology, such as the Family Status Registry (REF), Water Administration System (SASA), and Municipal Integrated Financial Management System (SAFIMU II); alternative models for management of potable water and sanitation services; strategic planning for rural road enterprises; strengthening of the lobbying capacity of COMURES; economy, efficiency, and effectiveness in local expenditures; replication of best local practices; and capital investment planning and project planning.
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Exhibit 4: Training Events Summary Number of Area Participants
National Events Municipal Finance and Management 450 Municipal Services 768 Enterprise and Real Estate Cadastre 121 Customer Service 21 Citizen Participation (Leadership, Conflict Resolution, etc.), Information Sharing 1,292 Council Meetings and Rendering of Accounts 5,566 Seminar: Participatory Strategic Planning: An Instrument that Supports Local Governance 283 Others 56 Overseas Events United States: Inter-American Mayors’ Congress (VI, VII, VIII) 7 Chile: Trip to observe the water systems in Santiago 4 Colombia: Seminar “Evaluation of Private Sector Participation in the Water Sector in Latin America,” in Cartagena 4 Nicaragua: Seminar “Progress and Difficulties in Fiscal Decentralization in El Salvador, Nicaragua, Costa Rica, and the Dominican Republic,” in Managua 1 Costa Rica: Trip to observe the functioning of the Property Tax Law 21 Honduras: Trip to observe decentralized water companies in Puerto Cortés, and San Pedro Sula 8 Guatemala: VII Meeting of the Central American Network for Decentralization and Municipal Strengthening in Antigua, Guatemala 1
Additionally, aside from the specialized training, the RTI team developed working models that facilitated and standardized technical assistance that was given to the municipalities in areas such as the Basic Criteria manual, PEP methodology, determination of service costs and subsidies, organization and job descriptions, cadastres, and methods to determine taxable assets, all documents produced on a CD ROM with a search feature.
Titles of MDCPP models and publications appear in Appendix D with the names of the authors and the dates on which the reports were submitted.
1.4.3 Budget
The provisional budget for the MDCPP is shown in Appendix E.
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2. Project Components
2.1 Policy Reform and Formulation
The objective of the Policy Reform and Formulation component was to develop policies that would be shared by local and national leaders and that would lead to the forming of more democratic and effective local governments. The component by nature was closely related to national and party-level politics.
After the legislative and municipal elections in March 2000, a workshop was held in coordination with COMURES, and with the participation of the members of the Municipal Affairs and Treasury Commissions. The main objective was to share the most important progress achieved through the Project 519-0388 as of 31 December 1999, as well as the work program under the SUM IQC up to June 2001.
The most significant points shared during the workshop were: an analysis and financial trends of municipalities, grouped based on the size of the population and effects of the Social Development Fund (FODES) at local levels; generation of own-source revenues; the need to strengthen local financial capacity through tax reform; and progress made on the pilot potable water decentralization projects. At the same time, studies, methodological guidelines, and manuals prepared under the project were shared with the members of Congress and Commissions to highlight the experiences in the different areas. This event established the groundwork for policy dialogue for the next 18 months under the contract on key issues such as the ones mentioned above.
2.1.1 Tax Reforms
Alternate Options for Local Financing and Financial Management
RTI collaborated closely with DevTech Systems in order to facilitate the cooperation of the pilot municipalities in collecting data for the empirical case studies regarding the different tax proposals.
In addition to this work, four workshops were organized together with NGOs, private sector associations, the Ministry of Finance, FISDL, and ISDEM, to discuss the progress of the studies and obtain feedback that would connect with assistance to GOES and COMURES in updating and modernizing the municipal tax systems, which would incorporate new options for local taxes.
At the same time, a mapping of interests was carried out to obtain input regarding the perceptions and positions of influential stakeholders on the national environment for municipal tax reforms. A key point was to establish the various advantages and disadvantages from their points of view. The results of this mapping helped to identify coinciding and opposing views, as well as allies and main opponents.
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Great emphasis was placed on getting COMURES and the Ministry of Finance to work together to design a new SAFIMU. This effort, and the companion efforts still pending regarding the property tax, have brought the two institutions closer together. They now see the need to work hand-in-hand for their mutual benefit.
During this period, the Board of Directors of COMURES and the Legislative Assembly representatives (within the Municipal Affairs Commission as well as the Treasury Commis- sion) expressed their full support for adopting a property tax. In the case of COMURES, the municipal tax reform is one of the five key points of its agenda for 2000–2003, although there are still doubts regarding the political implications in the national and local environment caused by this new proposal. In response to COMURES, DevTech with RTI help contracted a lawyer who drafted a proposed Property Tax Law; this process had the consensus of all the Departmental Councils of Mayors (CDAs), as well as ANEP and other associations. The term that COMURES set for discussion was January–February 2001; the draft law was discussed at the October 2001 Congress of Mayors. At that time there was a public vote to decide whether this process should continue or not. The result was negative and the initiative was postponed.
At the same time, complete financial information was collected from the 27 municipalities included in the project, and analyzed to assess the differing effects of the FODES allocations. The project prepared a set of recommendations based on the financial analysis to COMURES, producing them in the form of a White Paper. This document led to a more in- depth analysis by DevTech on the distribution of FODES.
All of COMURES’s political lobbying efforts during the last six months of 2001 concentrated on increasing the transfers by the GOES from 6% to 8%. The possible approval of this percentage increase also placed the property tax on the political negotiating table.
In the area of reforms to the Municipal Code regarding citizen participation, the Salvadoran Foundation for Democracy and Development (FUNDASPAD) presented a Decentralization and Citizen Participation Law that would complement the Code. RTI staff commented on the law, at the request of the Municipal Affairs Commission of the Assembly; however, prompt approval of the law is not foreseen, since it is very ambitious and likely will encounter much political resistance.
As part of the effort to improve efficiency, modernization, and transparency in the local governments, technical support was given to FISDL to design an action plan for the development of a new SAFIMU that would better respond to the needs of the municipality and of the GOES. This task required an evaluation of the Integrated Financial Management System (SAFI), SAFIMU, SIFIMU, the Contracting Law, the Accounts Court Law, and the Municipal Code.
A complementary assessment of SAFI was carried out. MDCPP examined its implementation and impact in several municipalities around the country, and recommended improvements.
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SAFIMU II was developed as a result of this analysis and with the objective of introducing an integrated financial information system into the municipal offices of El Salvador. SAFIMU II is an updated technology tool for local governments. It enables administration of the annual budget, reconciliation of daily transactions with the accounting books, optimization of municipal resources, and management of income collected through taxes and service fees. The system helps local governments achieve financial equilibrium, supports decision making, allows control of public investment, encourages transparency in local management, and simplifies administrative processes. Additionally, the system facilitates the availability of timely and trustworthy information for entities related to municipal governments such as the Court of Accounts, Ministry of Finance, FISDL, NGOs, and cooperating organizations.
The system is composed of the following modules:
· Accounting · Budget · Treasury · Registry and Tax Control · Costs of Services
In order to reconcile the system with the demands of the current environment, the requirements of the following institutions and laws were analyzed:
· The Municipal Code · Requirements of the AFI Law and the Ministry of Finance · Controls of the Court of Accounts · Management indicators of interest to cooperating organizations · Functionality of the accounting module for use in potable water service decentralization projects · FISDL requirements · Relationship with COMURES.
The system is operating in the pilot municipality of San Antonio del Monte and is being replicated in another three municipalities under the direct coordination of FISDL, ISDEM, and the Ministry of Finance. There is also funding set aside under the FISDL-IDB program to finance the replication in up to another 20 municipalities in the country.
2.1.2 Decentralization of Rural Road Maintenance
In many countries, including El Salvador, responsibility for maintaining rural or service roads is being reassigned to regionally organized local governments.
With the objective of strengthening local development and devising decentralized service models, road maintenance companies have been created that must operate efficiently and therefore become sustainable in the long term.
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Decentralization of secondary road maintenance is already under way. However, the Ministry in question has not yet defined its role or plan clearly. The only thing that has been achieved is a verbal commitment, without any actions having been taken.
In an effort to improve the performance of existing intermunicipal companies, the project—in coordination with the Entrepreneurial Foundation for Educational Development (FEPADE)— developed a management course for the directors and administrators of SASO, as well as for other municipal enterprises. The participants were trained in administrative skills, decision making, and management skills. The purpose of strengthening their management experience derived from the goal of having a successful pilot decentralization model for rural road maintenance under way, so that COMURES could negotiate further decentralization of resources and equipment from the Ministry of Planning (MOP).
Technical assistance to the Association of Departmental Councils of Mayors of Usulután (ACDAU) was terminated as result of the refusal by some of the Directors to accept the recommendations for managing the road-maintenance enterprise in a financially sustainable manner and to contract suitable personnel through public bidding. MDCPP notified the Board of Directors of this decision by way of a letter, with a copy to the Technical Secretariat for External Financing (SETEFE), FISDL, and USAID, leaving open the option of continuing the assistance when the Association considers it necessary and when it is willing to adhere to the principles of sustainability. The company is operating, but its main clients are not the Usulután mayors, but others outside the department.
In both cases, due to lack of entrepreneurial vision of some members of the CDAs, it was not possible to achieve the expected demonstration results sought.
2.1.3 Decentralization of the Water Supply Services
From the beginning of the project, RTI was involved in a broad range of technical assistance activities with ANDA and the municipalities, with the intention of (1) identifying the existing adequate organizational structures, through which the water system elements could be decentralized; (2) updating the distribution system; and (3) solving technical problems such as the continuous need to subsidize the system. Progress was difficult, for several reasons, as discussed below.
Within the framework of the Modernization Program of the Public Sector that the GOES adopted in 1992, high priority was granted to the water sector. To this effect, USAID/El Salvador and the GOES agreed to carry out a feasibility study to determine the mechanisms and criteria for transferring greater levels of authority and responsibility for the services to local governments, the water and sewerage systems having been identified as the ones most likely to benefit from such decentralization.
Policy assistance to GOES and other entities involved in the pilot projects on the decentralization of the potable water and sanitary sewerage systems concentrated on accompanying the Decentralization Unit of ANDA during a presentation of the possible legal-
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entrepreneurial modes for delivering services. Based on this information, the pilot municipalities and their communities chose the option which fulfilled their needs the best. A set methodology was developed and it has become part of ANDA’s way of pursuing other projects.
This support was complemented by a study tour to Colombia, to participate in a seminar on privatization of potable water and sewerage services in Latin America. The participants included two of ANDA’s technicians, the President of Tetralogía, SEM de CV (a public-private water utility in Usulután; see Section 2.2.3), and one of RTI’s technicians. At the same time, project leaders were preparing a work plan of activities, to be financed by USAID, which would in turn follow up on the legal reforms led by ANDA.
On the administrative side of the reform, both the computer model to be used for invoicing and the indicators to be used in the locally administered systems by the different entities rendering the service were finalized. Also, progress was made regarding the training on the use of the software, offered to 32 persons who worked in 7 pilot projects previously screened by ANDA.
Incorporating local opinion regarding the model that would be developed in the chosen pilot communities involved adapting to their agendas and adjusting to the consultation methods their populations preferred. Although RTI served as facilitator in the consultation process, it was difficult to establish an exact time frame for the transfers, due to the need to adjust to the communities’ schedules. ANDA did not have a clear selection policy for the pilot locations, nor did it have a schedule of execution; as a result, RTI developed some criteria for selecting the pilot systems, and in the end helped ANDA to clearly define a schedule and implement it during the project.
ANDA’s Decentralization Unit has been working on everyday problems and providing a lot of technical support on hydraulic matters, but at the expense of its supervisory role and assessment of the pilot projects.
The consultancy by Richard Noth on the assessment of pilot cases resulted in clear recommendations regarding the role and importance of ANDA’s Decentralization Unit, specifically in terms of identifying and monitoring specific indicators. The recommendations also addressed defining a work schedule for the pilot projects, both those under way and those not yet chosen.
Two RTI staff members, two directors from COMURES, the coordinator of the water network, and key personnel from ANDA went on an observation trip to learn about successful experiences in Santiago, Chile. The objective was to learn more about the decentralization process that this country has carried out in the potable water and sewage subsectors, the process of sale of shares, and the participation of Chilean and international private enterprises in this process.
Additionally, a team traveled to San Pedro Sula and Puerto Cortez, Honduras, in order to find out about the experience of the San Pedro Municipal Decentralized Company (DIMA) with its
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concession of water and sewerage services to a private company. The group also wanted to learn about how the municipality’s Bidding Supervising Unit functions, as well as how the Water Company of Puerto Cortez SEM processes stock sales, and how private businesses participate in the company.
2.1.4 Municipal Transparency Mechanisms
Impact on Public Policy
The activities by the MDCPP in the project municipalities to facilitate the development of mechanisms for transparency and citizen participation, as well as the experiences of other institutions working with municipalities, have had some positive impacts on national policies. As evidence of this impact, several of these mechanisms were included as indicators in the Basic Criteria for Participatory Processes of Local Development (see Section 2.3.2), approved by the FISDL Advisory Group.4
For example, the criteria referring to Transparency in Management and Execution propose the practice of open council sessions, the rendering of accounts, and disclosure of the municipal budget as necessary mechanisms to demonstrate the existence of this criterion within any given process.
Additionally, in reference to the Institutionalization of Participatory Processes, significant weight is given to the existence of a permanent forum for citizen participation, the Local Development Committees (CDLs). Committee members are to represent the distinct sectors and various municipal players. Together with the local government they are responsible for preparing the Participatory Development Plan, implementing it, and updating it on a regular basis.
Also, several of these mechanisms are considered in proposed reforms to the Municipal Code, recently presented to the Legislative Assembly. This proposal, resulting from consultations with representatives of government institutions and civil society organizations, is directed to the strengthening and facilitation of citizen participation, transparency, and citizen ownership of public management at the local level.
In reference to the Municipal Council sessions, a modification to Article 39 is proposed as follows: “The Council sessions will be public, except when it is agreed that it is to be private.” A related addition in another article establishes: “The Municipal Council should listen to and take into account the opinion of its citizens with regard to any affair of public interest, with previous written notice on the part of the interested persons. The participation of neighbors will be by voice but without vote; requiring all to demonstrate the respect and dignity which corresponds to a meeting of such nature.”
4 Group formed by GOES institutions, COMURES, FISDL, ISDEM, local development NGOs, and private sector associations.
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In Title IX of the Municipal Code dealing with citizen participation, the inclusion of a chapter that guarantees the right to information is proposed. Among the articles formulated are the following:
· During the last two weeks of April of each year, the municipal government should report in oral and written form to the citizenry with regard to the management activities it has carried out. This report should include the accomplishment of annual goals, programs and projects executed, and the annual financial report.
· Citizens and municipal organizations have the right to obtain information about: – Any proposals and corresponding resolutions to agreements and ordinances considered by the Municipal Council. – The municipal budget and budget executions of the previous year, duly audited. – Contracts and loans. – Local development plans. – Projects under consideration, both under way and completed. – Municipal actions taken at open town meetings.
This information should be made available for public consultation. Any decisions made or actions taken in a private setting should be made public within a maximum of 30 calendar days.
The proposals for the reform of the Municipal Code that are under consideration in the Legislative Assembly also include articles putting into effect participatory planning for local development and the integration of the Local Development Committees into the municipal environment. This is expressed in the articles as follows:
The Municipal Councils should institute medium- and long-term local development planning, involving citizens and their organizations, as well as the entities of the national government that act in the municipality. The participatory local development plans will establish the strategic lines of development and the priorities for municipal investment.
The municipal government will promote the establishment of a local development committee, bringing together the organizations in the municipality, with the objective of promoting the participation, harmonization, coordination, and mobilization of resources for local development as well as citizen control.
We believe that the systematic exercise of these mechanisms of participation and transparency in various MDCPP municipalities has proven to benefit the democratic process in the country. These mechanisms will be a reference point for implementation on a broader scale if the reform to the Municipal Code is actually passed.
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2.1.5 Technical Assistance and Training with National Institutions
FISDL
In coordination with the National Development Foundation (FUNDE) and FISDL, the project completed a comparative study of a cross-sectional sample of municipalities that used the participatory planning process. This effort included a survey carried out by the University Institute of Public Opinion of the UCA (IUDOP), which served as basis for the study’s conclusions; FISDL financed this survey from its own resources. Aside from comparing the different methods used by the facilitators, the study included a proposed methodology for developing participatory planning in local development processes. The study results helped identify the need for a method to evaluate participatory processes within the framework of the National Strategy for Local Development. At the request of the Advisory Group (Grupo Consultivo) of FISDL, given the variety of experiences and methodologies employed in the country with regard to participatory planning in local development, Gonzalo Darquea was contracted to prepare a proposal of Basic Criteria to consider in terms of the level of development and the sustainability of these processes.
The initial criteria were developed and tested in the 27 project municipalities. Later they were revised by another TCN consultant, Arturo Urrutia, who with the help of Gina Orlich simplified the Basic Criteria, in consultation with NGOs, COMURES, FISDL, and other private consultants. A manual was also developed. The Basic Criteria and the manual were presented to the Advisory Group and adopted as internal policy by FISDL.
Project support activities included permanent participation in the core Advisory Group, to make the ENDL viable in the shortest possible term.
Work promoted by FISDL during the first semester of year 2000 focused mainly on the implementation of the ENDL. This task emphasized citizen participation, as well as strengthening of local capacities and decentralization, topics very similar to those in the MDCPP work plan. Consequently, and by request of FISDL, MDCPP cooperated with FISDL on hiring a consulting service to simplify its Operations Manual as well as to train its technicians, so that it could better implement the recommended changes. In other words, FISDL wanted to be able to respond fast, flexibly, and timely to the communities and local governments.
After the March municipal elections, the project team collaborated to design and coordinate a training event for the 262 recently elected mayors, called “Mayors of the New Century: Leaders in Local Development.”
Project staff participated in work meetings with the Advisory Group and in the implementation of the National Strategy for Local Development. At the same time, local and foreign technical support was provided, as per the requirements set forth by the Advisory Group.
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The diagnosis, assessment, and recommendations regarding FISDL’s data processing systems were completed, adjusted to the new demands of the ENDL.
COMURES
The MDCPP’s work with this association concentrated on supporting the institutionalization of the Program of Voluntary Work with university students for the municipalities, ending with the creation of the University Network in Support of Local Development and the signing of an agreement with COMURES.
Based on demand from the association, the themes and methodology were developed for the courses designed for the newly elected municipal authorities; this activity also included the printing and distribution of the following documents to the 262 municipal governments:
· Municipal Guide · Court of Accounts Internal Control Manual · Description, Organization, Responsibilities and Positions Manual of the Model Municipality of Miraflores · Nine training modules on local development and citizen participation.
At the same time, the transfer of the project´s municipal database to COMURES was initiated. Additional information fields required by COMURES were incorporated to help meet its members’ needs.
MDCPP provided technical support to define the COMURES 2000–2003 work plan; support was also given on the preparation of the action plan, to be financed with USAID funds from Project 0436 Democracy and Governance.
Financial support was given to develop the first steps of the working agenda of COMURES, under five strategic areas:
1. Strengthening of Municipal Autonomy 2. Financial Strengthening of Municipalities 3. Municipal Decentralization and Legal Framework 4. Modernization of Local Governments 5. Contributions to Citizen Security.
The proposed Citizen Participation and Decentralization Law presented by FUNDASPAD was revised, and recommendations were drafted, per the request of the Municipal Affairs Commission of the Legislative Assembly.
An operational assessment of COMURES was conducted with the help of a Chilean Consultant, Mario Rosales, who was the head of the Chilean Mayoral Association. His most important recommendations were adopted, despite some early misunderstanding by COMURES personnel in interpreting some of the recommendations.
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Among the key recommendations were direct contracting with specialized personnel in decentralization of basic services, land use management, and municipal financial strengthening, individuals whom MDCPP initially hired on behalf of the association. COMURES has now budgeted for the salaries of these specialized personnel whose positions previously were funded by MDCPP. These staff add greater technical and analytical capacity to the professional association.
2.1.6 Nonprogrammed Activities Carried Out
Among activities not in the work plan but selected as windows of opportunity were the following.
MDCPP supported the contingency plans promoted by COMURES, FISDL, and 15 MDCPP municipalities that were affected by the earthquakes of January and February 2001.
Project technical personnel participated in workshops with IDB officers, with the objective of contributing the experiences of the project and procedures for technical assistance as criteria for the Local Development Program (PDL) loan negotiations.
In collaboration with the University of Texas (which is in charge of the Modernization Program for the Legislative Assembly), COMURES, and ISDEM, MDCPP organized the country’s first experience with participatory consultation in the legislative approval cycle. The Municipal Affairs Commission of the Legislative Assembly accepted the MDCPP recommendation of having one national and four regional workshops to evaluate the positions of mayors, NGOs, organized citizen groups, and private sector associations on what decentralization is and which activities should be decentralized first. Also, a case study of the experience was published in order to serve as guide to other Commissions in the Legislative Assembly.
National Public Security Council (CNSP)
MDCPP supported the CNSP through two consultations on citizen participation for the special project on Social Prevention of Violence and Delinquency. The most important achievements resulting from this support were:
· Organized and guided the team of national promoters of the Social Prevention of Violence and Delinquency Program. · Coordinated with City Halls and Municipal Councils to accomplish joint actions and to establish cooperation agreements, which will aid in sustainability of the activities developed by the CNSP. · The education component of the project, gathered five groups of teachers belonging to the 18 different educational centers and trained them. · Coordinated with Save the Children by exchanging experiences with the support network “Mothers Against Gangs” of Arizona, involving the National Family Secretariat and the Salvadoran Institute for Protection to Minors.
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· Motivated private enterprises to participate in an educational component, jobs for youth at risk. · Led four workshops for drafting a situation diagnosis on violence and delinquency in the municipalities of Usulután, Sonsonate, Aguilares, and Quezaltepeque. · Organized two courses on training sports promoters, during which 50 people were trained. · Started seven theater workshops for youths living in Usulután, Sonsonate, Quezaltepeque, Aguilares, and Soyapango; approximately 120 youths took part in these workshops.
There were two consultancies in citizen participation (as well as the consultancy to follow up on sports infrastructure activities; see below) overseen by the communities in municipalities where the special CNSP project was instituted. The following results could be observed:
· Activities of the CNSP community promoters were coordinated. · RTI consultants advised on operations and follow-up. · More than 40 communities or sectors within 8 municipalities where this project was being developed carried out violence and delinquency prevention activities. In many of these communities, neighbors had to be organized to work together. · More than 100 activities per month were carried out, including meetings, lectures, sports tournaments, interviews with municipal authorities, workshops with groups of youths, etc. · Diagnoses, prevailing conditions, and risk maps were drafted in the eight municipalities, with the participation of community leaders.
The communities, municipal governments, NGOs, and other actors were introduced to the concept of prevention of violent situations. An important outcome was that these entities created or incorporated plans, programs, budgets, and organizational and human resource links that matched the CNSP project objectives.
A consultancy in August 2000 to address technical aspects linked with quality control of sports infrastructure produced very practical activities. The consultants’ report incorporated the requirements of community leaders, topographical considerations, best engineering options, and budget factors. More than 20 sports infrastructure facilities were built using this quality- control approach. This consultancy also was used to monitor and track responsibilities and construction activities that involved FISDL.
Another aspect of the consultancy was the planning of criteria and a preliminary draft of the projects that would be carried out during 2001.
2.1.7 Problems with the Component
The earthquake delayed project activities in 15 MDCPP municipalities according to the approved work plan. The situation was restored nearly to normal in April 2001.
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Due to the emergency, political confrontations emerged, generating tension among COMURES, FISDL, and the Executive Branch. The first two institutions took opposing positions: COMURES defended the importance of municipal government in the process of reconstruction, whereas FISDL defended the GOES regarding the centralization and management of resources. This situation caused difficulties in implementing the actions contemplated within the ENDL, stopped the work of the Advisory Group, obstructed the contingency plans intended to deal with the emergency, and influenced the loan-negotiation process.
Likewise, in some MDCPP municipalities, there was disagreement among some mayors and the CDLs, as the mayors were not willing for citizens to participate beyond identifying and updating priorities.
Representatives of the Legislative Assembly, COMURES, FISDL, ISDEM, the Local Development Network, ANEP, FUSADES, and the National Commission for Micro and Small Enterprises (CONAMYPE) began discussing aspects of municipal decentralization, but this process was obstructed many times by partisan politics. The important point, however, is that they did begin to debate the problem, and at project end were working toward coordination, agreement, purposeful attitudes, and creative alternatives to promote decentralization.
One of the four municipalities later selected in 2001, Ojos de Agua in Chalatenango, under contract with the Foundation for Support to Municipalities of El Salvador (FUNDAMUNI), declined to sign a Cooperation Agreement or to participate in the project. This decision resulted from differences of opinion between the mayor and members of the Municipal Council.
2.2 Municipal Strengthening Component
2.2.1 Financial Strengthening
The Municipal Strengthening Component of the MDCPP had as its objective the improvement of the financial, administrative, and technical capabilities of the municipalities to respond adequately to citizen expectations and provide quality services.
In terms of their financial status, the municipalities receiving project technical assistance from January 2000 to June 2002 had the following characteristics:
1. Fourteen that had already participated in the project for a year received technical assistance matched to their specific requirements, especially in municipalities in which there were changes in the local authorities in the 2000 elections.
2. Ten that had already participated in the project for a year received follow-up assistance on previous work.
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3. Three of the four municipalities that were incorporated into the project in 2001 were provided complete technical assistance by NGOs, applying the different technical assistance modules developed by the project.
4. In the microregion of Corinto, Cacaopera, and Joateca, technical assistance was delivered in collaboration with FUNDAMUNI.
The municipalities in group 3 were selected via a process of applying specific criteria and having each candidate municipality present key financial information.
Technical assistance was provided to the municipalities by a combination of direct assistance from specialized project staff, contracts with NGOs, and contracts with local small businesses and consultants.
All the technical advisors received training from RTI in the technical assistance methodology developed under MDCPP.
The automation, flexibility, and simplicity of the internal municipal processes and the production of trustworthy and timely information on municipal management for citizens have been important aspects of the technical assistance within this component.
Additionally, assistance to the municipalities was guided by the principle of financial sustainability. The focus was on increases in local own-source revenues and the responsible management of current municipal spending, so that surpluses or current savings would be available for maintaining and broadening coverage of services.
Income Generation, Spending Reductions, and Current Savings
Strengthening the municipalities’ financial management encompassed, on the one hand, activities related to improving in local collections by broadening the tax base, updating tax registries and fees for services, and applying an integrated billing system; and on the other hand, ensuring responsible spending of municipal current revenues—i.e., lowering spending or at least maintaining ceilings in areas showing the greatest growth in outlays.
The technical assistance was targeted to current income and expenditures to obtain additional resources or current savings, so that the municipalities could use these funds to improve services, avoiding subsidies from current revenues and the use of funds originally assigned for investments in local development.
Exhibit 5 shows municipal current income and spending trends during the period 1996 to June 2002.
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Exhibit 5: Trends in Municipal Income and Expenditures, 1996–2002
GROUP OF 27 MUNICIPALITIES Consolidation of Income, Spending and Current Savings Period 1996 - 2002 (US Dollars )
13.000.000
8.000.000
3.000.000
96 97 98 99 00 01 02 /1 -2.000.000
CURRENT INCOME CURRENT SPENDING CURRENT SAVINGS
Exhibit 5 demonstrates that from 1996 to June 2002, the amount of tax revenues and fees collected in the 27 project municipalities increased from US$4.5 million in 1996 to US$12.6 million in 2001, or an absolute increase of US$8.1 million during the period. In other words, the municipalities tripled their tax collections during the period. From January to June 2002 the income level had reached 54% of last year revenues.
An examination of the 20% FODES transfers that the municipalities received for operating expenses during the same period reveals that the US$342,611 the municipalities obtained in 1996 increased to a total of US$2.7 million in 2001—an increase of US$2.6 million in absolute terms or 756% in relative terms. This increase originated in 1998 with the 6% government transfer; the transfer affected local collections because the municipalities, given the greater availability of external funds, reduced their efforts to collect taxes and fees themselves.
Current spending increased insofar as the municipalities had greater resources from the 20% FODES and from their own collections, growing from US$4.9 million in 1996 to US$12.8 million in 2001, an increase of US$7.9 million or 161% during the period.
From January to June 2002, the expenditures were 1.35% greater than the current income, generating a negative balance in the current account during the first semester of 2002.
Analyzing the balance in current accounts annually throughout the six-year period, one observes current account deficits in of US$431,548; $422,985 and $207,845 in 1996, 1997 and 2001, respectively, but current savings of US$658,970, $259,966 and $77,929 in 1998, 1999 and 2000, respectively.
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Municipal Investment
Exhibit 6 presents municipal investments, by financing source, during1998 to June 2002.
Exhibit 6: Municipal Investments, by Financing Source, for the 27 Project Municipalities, 1998–2002
MUNICIPAL INVESTMENT BY FINANCING SOURCE GROUP OF 27 MUNICIPALITIES PERIOD 1998-2002 /1 - (US DOLLARS)
14.000.000
12.000.000 12.596.602 12.489.594 10.000.000
8.000.000 6.937.661 6.000.000 5.604.922 4.000.000 3.908.412
2.000.000
0 1998 1999 2000 2001 2002 /1 OWN RESOURCES FODES/FISDL/OTHERS TOTAL INVESTMENT
1/ Financial information as of June 30, 2002
Exhibit 6 illustrates that during 1998 to June 2002, municipal investments increased from US$4.9 in 1998 to $12.6 million in 2001, an increase of $7.7 million or about 157%. During the first semester of 2002, total municipal investment had reached 45% of the amount invested in 2001.
With regard to sources of local financing, the majority of investments were financed with 80% of FODES and FISDL grants, representing 80% in 1998, and 99% in 2001 of total investment. The investment financed with own source revenues has decreased from 20% to 1% for the same period.
It is important to point out that the FODES increase and the availability of greater external financial resources for investment had a negative consequence in the use of own source revenue for this purpose and also diminish the incentive to generate currents savings.
Appendix A presents graphs, charts, and an analysis of the specific related trends in collection of own income; income, spending, and current savings; municipal investment; municipal remuneration; and municipal delinquency, for the different groups of municipalities that were integrated into the project.
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2.2.2 Management Capacity
Providing municipal services of high quality and with adequate coverage requires, in addition to financial resources, appropriate technical and administrative capacity among municipal employees. Thus, project activities to strengthen these capacities were oriented to improve and integrate the key planning instruments such as the annual work plans and activity-based budgets. The activities both responded to investments proposed in the participatory strategic plans and the multiyear investment plans, and consolidated the implementation of double-entry bookkeeping systems.
The strengthening of the accounting system and the generation of complete, timely, and trustworthy information meant that this high-quality information could be shared with citizens, particularly through informative open town meetings and the rendering of accounts for the municipal budgets (see Appendix C).
In addition, the project helped establish functional organizations and to simplify administrative procedures. Examples include the Institutional Unit for Procurement and Contracting (UACI), Tax Registry and Control, Municipal Services Unit, etc.
Appendix A 2a presents the budget and accounting systems that were in use in the MDCPP municipalities at project end. Twenty-two of the 27 assisted municipalities had formulated their budgets based on management areas (activity-based budgeting), while the remaining 5 continued with their traditional budgeting methods.
With regard to the accounting systems used by the municipalities, one had introduced the SAFIMU system, 18 were using the government’s SAFI, one was in the process of introducing SAFI, and 2 were using SAFI coding within a traditional system.
Of the 20 municipalities that had introduced or were in the process of introducing the double- entry bookkeeping system, 19 were generating financial statements; of the 19, 16 had updated them through various dates in 2002, the remaining up to 2001.
Appendix A 2b summarizes the status of the principal prerequisites to introduce the integrated SAFIMU system. Among the elements are updated cadastres, reconciliation of current accounts, periodic delivery of collection notices, bank account reconciliation, updated personal property inventory, and updated real estate inventory.
Finally, Appendix A 2c summarizes activities planned and executed, by groups of municipalities as they were incorporated into the project.
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2.2.3 Municipal Services
Support to Decentralization Policies: ANDA
MDCPP compiled a set of case studies, lessons learned, and recommendations for the ANDA pilot projects. Project staff supported and documented the potable water and sanitation pilot projects, as well as supporting ANDA’s Decentralization Unit. Finally, staff accompanied ANDA representatives to discussions and public debates on the Preliminary Draft Water Law and the potable water sub-sector. See Section 2.1.3. for more details.
Management of Municipal Services
Based on the costs and earnings studies of municipal services, the project staff determined that solid waste collection and treatment services represented on average 54% of the total deficit in municipal services, even excluding sanitary waste disposal. Furthermore, it was also determined that the Family Registry department was one of the municipal services with the highest level of assistance to citizens. These transactions took approximately 30 minutes per person when the information was easily available in the respective books. When it was not readily available, citizens had to wait longer, up to days, at enormous human resource cost, given the limited technical assistance and scarce use of technology to provide this service. Another service that was targeted was potable water, given the willingness of the Salvadoran government through ANDA to initiate the decentralization process.
In short, it was decided to continue emphasizing technical assistance for solid waste collection and treatment services, decentralized administration and operation of potable water services, and the automation of the Family Registry.
For these basic services, the project’s technical assistance efforts were directed at increasing coverage and improving the quality of services. To do so, decision makers were exposed to new methods of management and operation of services, as well as a business orientation that included the participation of local actors—i.e., community representatives and the Municipal Council.
The project thus supported local governments and community leaders by presenting management models so that, according to their abilities and needs, they could then define their own model for provision of services. By project end, the following models were in operation: two public-private partnerships, eigth decentralized municipal companies, one corporation, two micro-regional companies and two nonprofit associations (see Exhibit 7 below).
Decentralization of Potable Water and Sewerage Services
As part of the ANDA Pilot Plan, the project helped ANDA develop a methodology to carry out the decentralization process for potable water services in an orderly, gradual, and participatory manner. This methodology was adopted by the Decentralization Unit of ANDA and also will
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serve as guide in the aforementioned IDB loan for the potable water decentralization program. The principal steps, which are presented graphically in Appendix B 1, are as follows.
1. Verify key player interest in the process.
In order for this process to be successful, it is necessary to guarantee from the beginning the will of the local players (Municipal Council and community) to participate actively and willingly in the process.
It is thus imperative that the Municipal Council be adequately informed about the content of the Pilot Plan for Decentralization of Potable Water and Sewerage Services and the steps to followed, as well as the commitments and responsibility that they will assume.
When the Council is clear about the process, a similar presentation is made to the leaders and local organizations and then the process proceeds to the next stage.
2. Assess potable water and sewerage services.
With the objective of learning about the technical and financial situation of the service, a small baseline diagnostic of the system is conducted from which ANDA obtains technical-operating and commercial-financial information such as: description of the components of the system, volume of water produced at the source, hours of service, pumping hours (when applicable), operating personnel, direct operating and maintenance costs, projects under design or execution, number of users, coverage, urban population data, consumption, and monthly billing.
The information is processed by the Decentralization Unit, the financial viability of the initial decentralized management is established, and the results are presented to the key players.
3. Define management model.
In this phase, the different alternatives of service provision—from direct provision by local governments to service provision through a private third party, NGO, or user association—are presented and analyzed with the key players.
4. Form the entity and negotiate an agreement.
Once the management model has been defined, support and guidance is provided in preparing and discussing any statutes needed for creating decentralized municipal companies and NGOs. Legal advice is also offered for the structuring and registration of public-private partnerships and corporations of variable capital. In the case of public-private partnerships, legal and financial advice to facilitate the sale of private stock is included. This assistance would be provided in the future by the Decentralization Unit of ANDA or contracted services by them.
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Simultaneous with the legal establishment of the new operator, the Decentralization Unit, using the assessment of each system as a base, drafts a delegation agreement that proposes the goals and management indicators required by each specific decentralized system. The agreement is analyzed and adjusted in joint discussions with the new operator and representatives of the users.
5. Install the new business.
This phase involves activities such as renting office space, and acquiring office equipment and software (a computer, a database of users, and billing software are indispensable).
6. Supply training and technical assistance.
Training and technical assistance supplied depend on the needs and specifics of each individual business.
As noted above, several different participatory models were implemented and systematized to administer and operate the described services. The primary types are listed in Exhibit 7; the text following the exhibit tells more about these models and the specific systems that were developed under them.
Exhibit 7: Models for Municipal Utility Management in Project Municipalities No. of Company Models Companies Public-Private Partnership 2 Corporation 1 Municipal Decentralized Company 8 Nonprofit Association 2 Microregion 2 TOTAL 15
Public-private partnership, SEM de CV. This type of association allows the participation of any public institution, in this case the municipal government, in association with private individuals (who may or may not be users of the service).
The management, administration, and organization function through a General Assembly of Stockholders, a Board of Directors, and an organizational structure led by a General Manager and corresponding technical-administrative units. To belong to the General Assembly or the Board of Directors, one must be a be a stockholder or a stockholder’s legal representative.
The capital assets of these companies are reflected by stock, divided into two types: (1) stock destined to be underwritten by private individuals—that is, the stocks are sold to the general
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public, giving preference to users of the water supply; and (2) public stock corresponding to the stock purchased by the municipality.
These companies are established in a manner similar to that of a corporation, through public deeds recorded in the Business Registry.
In the menu of models of the ANDA pilot project, this type was adopted in the municipalities of San José Villanueva, in the department of La Libertad, and in the six municipalities in the department of Usulután which are served by the Tetralogía system.
Tetralogia, SEM de CV, in its 2½ years of operation at this writing, had achieved a 51% increase in the number of users served and a 99% increase in service income as compared to the previous system under ANDA.
It is important to mention that during this period, total costs also increased 159%, of which 86% was due to the operating costs of the system being the primary factor the increase in cost of electric energy. During 1999 and with the full ANDA energy subsidy there were increase in revenues of US$12,588 and US$64,926 in 2000. In 2001, ANDA paid only 50% of the energy subsidy, which had a significant negative impact on the company’s finances, and losses of US$53,958 in 2001, this as result of the impossibility of changing in the current services fee. (see details in Appendix B 2a).
The Villanueva, SEM de CV, system was the second to be decentralized. Initially, it was thought of as a service provision company in the form of an association among the municipalities of San Juan Talpa, San Pablo Tacachico, and San José Villanueva. Thus, the ANDA pilot decentralization concept was presented to them and the alternatives for administration and operation of a potable water and sewerage system were shared with the members of the Municipal Councils. Of these municipalities, only the Municipal Council of San José Villanueva accepted the challenge, signing an agreement on delegation of functions on April 30, 2000.
To date, the efforts of the company have produced a 14% increase in the number of users attended and a 132% increase in income (see details in Appendix B 2b).
Corporations. It was expected that only one or two service entities using this model would be developed. With that in mind, one corporation of variable capital was created, composed of former employees of the Decentralized Administration of Water and Sewerage (ADA, SA de CV) of ANDA. It included professionals from various disciplines with broad experience in the different management areas needed in the provision of potable water and sewerage services. However, as of this writing, an agreement to operate a system had not been signed with ANDA.
As with the other models, the company created with former employees of ANDA has the autonomy to organize itself in the manner it considers most appropriate. However the agreement on delegation of functions would establish goals and indicators to achieve, as well
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as investments and repairs to the infrastructure that would have to be made, and the required legal mechanisms and procedures.
Decentralized municipal companies with citizen participation. The legal basis for creation of these companies is Articles 3, 4, 13, 14, 15, 16, 30, 31, and 125 of the Municipal Code, which enables municipalities to authorize the creation of autonomous decentralized entities to provide services related to the use of natural resources. Article 16 of the same Code states that these entities will have their own legal status.
In the case of potable water and sewerage services, the Municipal Council chooses to decentralize these functions and institutes a decentralized municipal company. The company operates with the technical, financial, and administrative flexibility required for providing this type of service. For this reason, it is necessary that these companies allow for ample citizen participation and apply transparent management, at the same time seeking technical, business, administrative, and financial efficiency.
The management and organization of this type of company consists of a General Assembly, which is the highest level of authority of the company, along with a president who is its legal representative. A General Manager, empowered to carry out the operating and administrative functions of service provision, is also selected and is supported by various administrative and technical units.
These companies are subject to audits applicable to the municipalities and to complementary audits by ANDA.
Within the pilot project driven by ANDA, this management model was being used in the municipalities of Suchitoto, San Isidro, Tacuba, Comalapa, Nueva Concepción, and Santiago de la Frontera. Additionally and under other initiatives, this model was adopted in the municipalities of San Julián and Caluco. (Some management indicators can be found in Appendices B 3a and B 3b.)
Nonprofit associations. In this model, an NGO, foundation, or association provides the water and sewerage services.
This model is recommended for cases in which the municipal government shows no interest in managing the system, or in areas in which a dedicated group with a viable population base is interested in managing these services independent of the local government. This model has been used in the water supply system known as Plan de la Laguna. There ASEVILLA, a nonprofit association formed by citizens and industry located in the Plan de Laguna sector in the jurisdiction of Antiguo Cuscatlan, is responsible for managing the system. The model is also exemplified by the Water Management Association for Ataco-Apaneca (AA ATAP), which was formed by citizens representing both communities, and one representative of each participating municipality. Information on these companies can be found in Appendix B 4.
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Microregions. Another type of organization in use is associations of municipalities within microregions. The goals of this model are to seek economies of scale, to use more qualified personnel, and to carry out environmental protection efforts jointly. Two examples are the Microregion of Juayua, composed of the municipalities of Juayua, Nahuizalco, and Salcoatitán; and the Microregion of La Paz, composed of the municipalities San Rafael Obrajuelo, El Rosario, Santiago Nonualco, San Juan Nonualco, San Antonio Masahuat, and San Pedro Masahuat.
Exhibit 8 summarizes management indicators of the different decentralized companies that were operating at project end.
Exhibit 8: Manageme nt Indicators of Decentralized Companies
Administration Users Assisted Hours of Service Collection (US$) Company Before After Before 2002 % Before 2002 Before 2002 % TETRALOGIA ANDA Muni. 3,180 5,417 70% 2 hrs/day *1/ 23,299 53,827 131% VILLANUEVA ANDA Muni. 403 16% 24 hrs/day 24 hrs/day 2,506 3,383 35% 347 SAN JULIAN Muni. Muni./Users 933 76% 2 hrs/ e. 2 days 24 hrs/wk 1,275 7,004 447% 530 CALUCO ANDA Muni. 199 42% 24 hrs/day 24 hrs/day 1,000 78% 140 561 EMASA ANDA Muni./Users 1,107 20% 24 hrs/day 24 hrs/day 5,879 8,660 47% 925 AA ATAP ANDA Muni./Users 1,125 1,491 33% 24 hrs/day 24 hrs/day 7,347 8,569 17% EMASIC ANDA Muni./Users 369 9% 5 hrs/day 18 hrs/day 1,918 7,037 267% 339 ASEVILLA ANDA Users asocc. 123 5% 24 hrs/day 24 hrs/day 24,457 27,123 11% 117 EMSAGUAT ANDA Muni./Users 2,000 327% NA 24 hrs/day NA NA NA 468
*1/ Mercedes Umaña, Berlín, and Alegría 12 hrs/day; Santiago de María 6 hrs/day; Tecapan and California 6 hrs/week.
Exhibit 8 shows that introducing new management models did impact the provision of potable water services. In all cases, coverage increased, in one case by as much as 129%; in three cases around 70%; and in five cases in the range of 5% to 30%.
Reviewing the income received before decentralization and current income, it can be seen that in four cases current income increased 100% or more; in the two other cases, income increases of 62% and 12% were achieved.
Finally, the hours of service improved substantially; the project supported this type of improvement with activities as detailed in Appendix B 5. The location of these companies is presented graphically in Appendix B 6.
Collection and Treatment of Solid Waste
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With regard to solid waste, as noted earlier, RTI emphasized an integrated focus for solving the problem of solid waste, from transportation and collection to the final disposal of the waste. This included searching for new alternatives to the provision of services, such as the organization of associations of municipalities; and the creation of companies with participation from the private sector and/or the community, with the objective of seeking efficiency and quality in service provision. Some examples are the association of San Francisco Gotera, Morazán; the association of San Isidro, Cabañas and Chalchuapa; and the Usulután and Sonsonate waste recollection and disposal projects.
The technical assistance methodology for this service is outlined below (see Appendix B 7 for schematic).
The first phase of this methodology began with a request from the Municipal Council to improve the service to be followed for the modernization of the service, as well as emphasizing the need for the service to be self-sustaining. The presenters also noted that the solution to the solid waste problem was to integrate the collection, transportation, and final disposal. Finally, they emphasized the importance of involving other municipalities or private businesses, particularly in the disposal stage, given the sizable investment required.
During a process such as this one, if the community itself has not identified solid waste collection and disposal as a key problem, it is very difficult to truly make a qualitative change in the services. Any attempt to attain sustainability, efficiency, and improved coverage will be difficult without citizen participation from the outset of the program.
When this vision had been shared and the players involved had formally agreed to carry a solid waste project forward, the diagnostic stage was initiated. At the diagnostic stage, critical points of the waste collection system were examined: institutional aspects (administrative and legal); financial aspects, from the point of view of sustainability; and technical aspects, from the point of view of planning and resource use. The purpose of this exercise was to develop service indicators and an action plan to improve the service.
Finally, the design of the waste disposal site included determining the technical aspects for the site selection; designing the sanitary landfill; and addressing administrative, legal, and environmental concerns.
Usulután Solid Waste Collection and Disposal Project
This project was originally conceptualized to improve the solid waste collection services for the municipality of Usulután. To that end, it was proposed that machinery and garbage containers be purchased, although no consideration had been given to the final disposal of the solid waste. The project design was financed by the National Reconstruction Secretariat with USAID/El Salvador funds in 1996.
In mid-1997, USAID, RTI, and the municipality of Usulután together decided that this project would not resolve the environmental problems of the municipality and that the concept of the
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project should be modified to include a solution to the problem of final disposal in the form of a sanitary landfill at the regional level. The mayors of Usulután, Santa María, Santa Elena, Concepción Batres, Ereguayquín, San Dionisio, Jiquilisco, and Puerto el Triunfo were invited to meet regarding the project. Of these, only Usulután, Concepción Batres, Ereguayquín, and Puerto el Triunfo accepted the invitation to participate. Next, a consultant was contracted to select the most appropriate site from environmental, technical, and social perspectives. This process was delayed from mid-1997 to November 1998 due to the following:
· The municipality of Usulután had made an offer for land located on the road to Santiago de María but after the necessary studies had been completed, the offer was rejected.
· The first selection was optimal in terms of access, but it was located too close to the urban area of Ereguayquín. Public pressure required the selection to be modified (December 1997).
· The land selected as a second option required two price assessments from the Ministry of Finance in order to be acquired by the municipality (April 1998).
· The original access road defined for the land required various complementary work to guarantee its functionality.
Parallel to this process, the municipalities worked through USAID to include the project within a U.S. Environmental Protection Agency (EPA) pilot initiative in Central America. This involved modifying the design to a sanitary landfill with partial recycling of solid waste in order to obtain more financial resources and the technical support of the EPA. This process was delayed until the end of 1998 when this project, along with two others at the Central American level, were selected for the pilot project.
At this time, EPA financed a technical-economical study for the design of the sanitary landfill through the Cooperative Housing Foundation (CHF) in Guatemala for a sum of US$45,000, for which the firm SM GROUP was contracted. During the process of designing the sanitary landfill, the municipalities, with the support of RTI’s staff in El Salvador, the Ministry of the Environment and Natural Resources and the EPA made technical recommendations such as soil analysis, environmental impact and operational cost study that were not done by the contracted firm.
Based on the estimated costs (see Appendix B 8), and after analyzing the investment needs and the alternatives for administration and service operation, the municipalities involved in the project jointly formed the public-private company SOCINUS, SEM de CV.
At this writing, the municipalities had invested US$314,285 of their own and GOES funds. Additionally, they received a USAID donation of US$571,428 to initiate construction of 25% of the sanitary landfill’s first cell. The municipality had contracted the manager and the necessary personnel and had initiated collection, transport, and disposal services in the municipalities of
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Ereguayquín and Concepción Batres. Pending is the creation of demand for services in Usulután and Puerto el Triunfo, which did not want to contract for all three services.
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Sonsonate Solid Waste Collection and Disposal Project
The Sonsonate project was designed to cover the need for final disposal of solid wastes of the Metropolitan Area of Sonsonate (AMSO) for 26 years, for a total investment sum of 29 million colones.
To carry out the project, the municipality of Sonsonate awarded a contract for construction of the sanitary landfill. The initial stage, which was completed for US$354,882, was financed by USAID and included:
· Terracing for the construction of the cells and lagoons necessary for the first year of operation · Control booth and collection platform · Perimeter fence, access road, and surface drains · Leach water pumping equipment
For the operation and administration of the sanitary landfill, the municipality authorized a contract with private company.
Finally, other microregional efforts have been supported and to date are progressing more rapidly.
Some of the most relevant actions in the area of solid waste are summarized in Appendix B 9 and presented graphically in Appendix B 10.
Additional efforts have been made to integrate private sector participation (PSP) into public services, through an invitation to the General Manager of the Salvadoran Construction Industry Council (CASALCO) to present the experiences with the Usulután solid waste collection and disposal project and the future projects planned for other departments of the country. The objective is to identify interest on the part of private companies in co-investing or working under contract in this type of service. The main obstacle for any transaction materializing has been the unwillingness of some mayors to have a private company as a partner.
Automation of the Family Status Registry Service
It is common practice for citizens to come to the Family Status Registry Department in a municipality and present some reference data in order to obtain a birth certificate, marriage certificate, etc. Next, the employees proceed to locate the certificate of interest in one or more books. This process requires anywhere from 30 minutes to one or more days.
Once the document is located, a photocopy is made or the text is manually transcribed (by use of a manual typewriter), depending on the transaction requested. This arrangement normally requires much time to assist the public and produces many complaints from dissatisfied citizens tired of waiting.
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Because of these problems, and taking into consideration the fact that the Family Status Registry is generally the public office with the greatest public contact—completing a significant number of transactions daily related to birth, marriage, divorce and death certificates— MDCPP proposed the design of the Automated System for the Family Status Registry, to contribute to the modernization of local governments.
To develop the system, the project relied on the valuable collaboration, vision, and commitment of the municipalities of Cojutepeque and Olocuilta, which served as pilot municipalities.
So that the new system would be designed in accordance with the Salvadoran judicial framework, the existing Manual for the Family Status Registry was analyzed and the following laws and regulations were studied:
· Law of Replacement of Books and Certificates of Civil Registry · Temporary Law of the Family Status Registry and of the Patrimonial Rules of Marriage · Dispositions of the Family Code related to Unmarried Unions · Decree of the Creation of the National Registry of Naturalized Persons · Law of the National Registry of Naturalized Persons · Rule of Law of the National Registry of Naturalized Persons
In December 1999, a detailed presentation on the birth module of the REF system was made to the President of the National Registry of Naturalized Persons, who agreed that the system included all of the elements necessary for the registry of birth certificates and thus did not object to the continuation of the project.
By project end, the REF civil service employees were able to use current technology to complete their duties. Without getting up from their desks, they could register in only a few seconds: births, marriages, divorces, deaths, adoptions, replacements, and adjustments of birth records.
Offices of the Family Status Registry. Some of the functions of REF are:
· Online registration of certificates · Printing of tickets and birth certificates · Statistical reports: – Demographic – Digital certificates – Services offered
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· Searching by name, father’s name, mother’s name, last names, birth date, “x” dates, age, ID number, and Unique Identification Document (DUI) number.
The system allows members of the public to receive what they need in only a few minutes, providing a better service image for this municipal department, and thus reducing citizen complaints. There are now electronic backups for REF information and the physical books will last longer since they are handled less often. The number of people satisfied with the service provided by REF is expected to continue to increase.
Again, much of the success of the project is due to the support of the mayors, managers, and administrators and to the great interest and dedication of the civil service employees working with REF.
The REF System User Manual was completed and instructs users in the appropriate use of the system, serves as a reminder of specific functions that are not used on a regular basis, and further facilitates the training of new personnel. Also, the Programmer Manual serves as a guide for the system developers on how the program is structured; how the applications function; and how to maintain, update, and carry out technical support for the system.
In 2000 and 2001, the REF System was presented to the COMURES Board of Directors with the goal of obtaining support for the replication of the system in other municipalities that had requested it but were not part of the group served by RTI. Also, the system was presented to the National Registry of Naturalized Persons and to the Secretary for the Modernization of the State with the goal of defining what infrastructure would be needed to consolidate REF at the national level. Furthermore, the project coordinated with institutions such as the Foundation for Local Development and Municipal and Institutional Strengthening of Central America and the Caribbean (DEMUCA), the Peace Corps, and the System of Consulting and Training for Local Development (SACDEL), so that they could provide technical support to municipalities that were outside of the target group but that had expressed the will to modernize this service (see Appendices B 11 and B 12).
By project end, the REF system had been implemented in 43 municipalities. In other words, one of every six municipalities in the country had the REF system installed.
The level of efficiency that has been reached in the municipalities which have the REF system installed demonstrates the capacity of these municipalities to confront the challenges implied by decentralization.
The REF system has been functioning in El Salvador for over three years and thanks to its acceptance, thousands of certificates are registered each day with the system.
In conjunction with COMURES, an announcement was published in the major-circulation newspapers to invite information-technology companies to prequalify for certification under the REF methodology. In response, six companies were prequalified and later trained and certified in the use of the system (see Appendix B 13).
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These same companies would be charged with implementing the system and conducting training in the municipalities on a national scale.
2.2.4 Nonprogrammed Activities Carried Out
The following activities were carried out beyond the tasks listed in the formal work plan:
· Support to the ANDA Decentralization Unit in defining its decentralization process.
· Coordination with the Local Development Network, Water and Sanitation Network of El Salvador, ANDA, Environmental Health Project (EHP), and USAID, with the aim of drafting a Program of Promotion and Support for Reform of the Water Resources Sector in El Salvador. · Direct participation in the follow-up committee for the implementation of water resources reform program.
· Consulting to evaluate the management of the water systems decentralized by ANDA and the documentation of experiences.
· Training of CARE technicians in management and operations of a potable water and sewerage system.
· Follow-up to the updating of the tax registries carried out by Chalchuapa with municipal own-source revenues.
· Completion of a management and financial assessment for Nueva San Salvador.
· Collection of information, analysis, and projections, and formulation of a proposed tax on company income and property in Nejapa.
2.3 Local Democratic Development Component: Citizen Participation
2.3.1 Background
The 1994–1999 phase of MDCPP had a significant impact on the perceptions and attitudes of the Salvadoran municipal authorities with respect to citizen participation. Because the achievements of the current phase also result in part from the work of the 1994–1999 period, we give some background here.
During the earlier phase, some important changes took place in terms of opening opportunities for citizen participation in decision making. For example, some mayors and council members who previously had been opposed to more openness agreed to permanent procedures to permit the institutionalization of transparency mechanisms, as well as greater participation in MDCPP. Moreover, among citizens with a history of distrust and lack of belief
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in municipal management, achievements were made in integrating Local Development Committees as a new mechanism for citizen participation, establishing agreed-upon development agendas, and systematically carrying out transparency exercises such as presentations of the municipal budget and rendering of accounts in the budget process.
Furthermore, through exchanges of municipal development experiences with other facilitating institutions, participatory planning was established as the ideal method to unite citizens with their authorities and establish participatory processes and permanent mechanisms permitting their institutionalization.
The results obtained during the 1994–1999 demonstrated numerous successes, such that more than 15 municipalities approached RTI to solicit similar technical assistance in 2000– 2002. To the extent that other institutions now facilitate similar processes in their work environments, it can be seen that the theme is viewed positively by key national actors in local development in El Salvador.
2.3.2 Phases and Activities in the Period
In accordance with the component’s work plan and the technical assistance agreement with the municipalities where the MDCPP was under way, activities were developed to achieve the following results: Increasing citizen participation in local governments and institutionalizing the transparency mechanisms. Thus, the following activities were developed.
Election-Related Activities (1 January 1 to 30 June 2000)
Pre-election discussions of local issues. In coordination with other institutions, RTI supported public forums for presenting local agendas and development plans of the different party platforms in four municipalities: San Julián, Jiquilisco, Puerto el Triunfo, and Olocuilta. In addition, the project facilitated meetings between Local Development Committees and candidates for mayor and Municipal Council.
Post-election meetings. Achievements and projected activities carried out by the project were presented to the newly elected mayors and their CDLs, as a preliminary step before the signing of cooperative agreements among RTI, the municipalities, COMURES, and USAID.
Training Program for Councilpersons, Municipal Officials, and Community Leaders
The evaluations carried out in December 1999 with each Local Development Committee, with the participation of municipal officials and councilpersons, clearly identified the need to strengthen the knowledge and capacities of the local actors. Therefore, in response to a request made by FISDL, a jointly produced training program on Local Development and Citizen Participation (in the municipalities of Project 0388 Municipal Development and Citizen Participation Project, funded by USAID) was conducted. Taking into consideration the evaluation results, identified needs, and available resources, RTI expanded the training program promoted during the previous phase. Two important changes were made. RTI:
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§ Developed training session in each project municipality.
§ Expanded the themes covered, to include subjects such as general municipal topics, municipal budgets, and local development (with a focus on gender and decentralization) into the program.
Exhibit 9 presents the training sessions that were carried out and the number of participants for described program.
Exhibit 9: Training Sessions and Number of Participants Number of Participants Number of Number of Training Partial Total Number of Municipalities Sessions Full Participation Participation Participants
28 252 975 225 1200
As noted in the exhibit, 975 persons (councilpersons, municipal officials, members of Local Development Committees, and community leaders) had participated in all nine training sessions, thereby qualifying to receive a training diploma. Another 225 persons received partial training; they were, however, given copies of the training modules on general municipal topics, Municipal Budgets, Decentralization, and Local Development with a Focus on Gender that had been prepared in support of the workshops.
The nine training topics were as follows:
· Citizen Participation · Conflict Resolution · Communication and Teamwork · Democratic Leadership · Project Administration · General Municipal topics · Municipal Budgets · Local Development with a Focus on Gender and Decentralization
Strategic Participatory Planning Process
Beginning in October 2000, strategic participatory planning processes were initiated in the municipalities of Acajutla, Concepción Batres, Santa Elena, San Antonio del Monte, San Francisco Menéndez, San Julián, and Candelaria de la Frontera under the guidance of Ecuadoran consultant Gonzalo Darquea.
In January 2001, the municipalities of Guaymango and Suchitoto were incorporated into the project. In Suchitoto, the efforts were carried out in three zones, in accordance with the municipality’s land management plan.
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The municipalities were selected based on Mr. Darquea’s recommendations, which in turn were based in part on the results of his application of the aforementioned measurement tool developed by him upon the request of the FISDL Advisory Group: Application of Basic Criteria for Strategic Participatory Planning. The tool indicated that only those two municipalities in addition to the ones mentioned above had the appropriate conditions for successfully developing the process.
The municipalities had already carried out participatory processes leading to coordinated development agendas. The project, in turn, assembled the following set of activities to complement the decisions and actions already in place:
· Structure the technical team · Conduct a baseline assessment · Carry out district and city diagnosis workshops · Hold a citizens’ assembly in the municipality · Organize sectoral coordination roundtables · Prepare sectoral diagnostic and competitive strategies · Carry out institutional diagnostic · Form the Local Development Committee · Prepare strategic plan · Systematize and edit of information in the PEP document · Monitoring: basic criteria progress line · Publicly present the PEP to local and national actors
Below are highlighted some specific relevant aspects of this development process.
1. Due to the earthquakes in January and February 2001, it was critical to incorporate risk mitigation and the development of emergency plans into the processes. Thus, in the municipalities where the PEP was developed, the corresponding adjustments were made—i.e., emergency plans were developed in those municipalities without one, and updated priorities were identified and incorporated, in a consensual manner and to the extent possible, into the municipal budget.
2. RTI was charged with ensuring that emergency plans existed in the MDCPP municipalities that had been affected by the earthquakes. Several municipalities were being assisted by other institutions, but it was necessary to facilitate the development of emergency plans in San Pedro Puxtla, El Carmen, Cojutepeque, Olocuilta, and Mercedes Umaña, which lacked such plans. This task was carried out even though those municipalities had very low scores on the evaluation done with the Basic Criteria instrument.
3. In June 2001, agreements were signed to roll out the MDCPP in the municipalities of San Isidro, Sonzacate, and San Francisco Gotera. The latter two were assisted through subcontracts with FUSAI and FUNDAMUNI, respectively.
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4. Some highlights of local stakeholders’ initiatives during the development of the participatory planning processes included:
– San Antonio del Monte and Candelaria de la Frontera presented the participatory strategic planning methodology to representatives of governmental and nongovernmental organizations, with the purpose of increasing the number of strategic alliances and requesting more resources and technical assistance.
– San Antonio del Monte established agreements with seven institutions to give follow-up assistance in carrying out its strategic plan, resulting in a total of ¢2,987,855 in additional investment resources and technical assistance besides the funds taken from the municipal budget.
– The Municipal Council of Candelaria de la Frontera presented its multiyear investment plan (the budget projections and presentation were both prepared by RTI) in each village of the municipality. Project staff were accompanied by CDL representatives, who were responsible for consulting with the citizens before negotiating the final budget. Through minutes of the meetings signed after each consultation, the citizens expressed their support and consent for the Municipal Council to negotiate the financing of the multiyear investment plan with a commercial bank.
At project end, participatory strategic plans had been developed in 11 municipalities, and the Zonal Plan of Montepeque in Suchitoto was completed. In the municipality of Nueva San Salvador, where the process was initiated in February 2002, the process was 50% complete and will be concluded under the guidance of FUNDE, as expressed in an agreement signed by the Mayor’s Office, RTI, and FUNDE.
Definition of Basic Criteria for Participatory Processes of Municipal Development
As noted above, at the request of the FISDL Advisory Group, given the variety of experiences and methodologies employed in the country with regard to participatory planning in local development, Gonzalo Darquea was contracted to propose some basic criteria to consider in determining the level of development and the sustainability of these processes.
This exercise required holding consultative workshops with the key players and studying the different participatory development plans. The first instrument, which considered nine criteria, was approved on an experimental basis in the MDCPP municipalities. Through workshops in which community leaders and municipal authorities actively participated, the first baseline data were collected.
After six months of follow-up to this instrument, the results were made known to the FISDL Advisory Group. With the technical assistance of the Chilean consultant Arturo Urrutia, six final criteria were defined and the final instrument was developed. This final instrument contained
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the criteria, as well as the means of verification and numeric benchmarks for the baseline and later progress.
At this writing, FISDL was using the Basic Criteria instrument nationwide to determine the need for technical assistance and to direct funds to the municipalities to implement the participatory planning processes and strategic plans (see Appendix C).
Training on the Application of the Basic Criteria for Strategic Participatory Planning and Production of the Basic Criteria Manual
Training was given to the FISDL Advisory Group on how to use Basic Criteria for the proposed participatory strategic planning. This training also included the technical team at RTI, municipal advisors and general managers at FISDL, and municipal advisors from COMURES. In addition, 28 NGO representatives participated in similar activities in some of the MDCPP municipalities, as did representatives of the CDAs.
Thus, the technical teams and Local Development Committees where the PEP processes were developed were trained in the use of this instrument to ensure appropriate follow-up by the local players.
Twelve training workshops were conducted. Themes covered included:
· Clarifying what the criteria are and what indicators are relevant for quantifying progress in the participatory processes. · Reviewing the suggested means of verification. · Explaining the weight of each indicator within the baseline, as well as the possible evaluating situations to be confronted in the municipalities when applying it.
Additionally, the manual describing how to apply the Basic Criteria was handed out to organizations dedicated to assisting participatory local development processes and to local players such as the municipal governments and the Local Development Committees. It was designed as a didactic instrument describing how to arrive at the baseline and then adequately monitor the processes as they unfold.
Assistance to Local Development Committees
In accordance with the 2000–2002 project work plan, technical assistance (consolidation and strengthening) to the Local Development Committees continued. Activities included expanding the committees, drafting statutes, procuring legal recognition, and drafting work plans, as well as handling relations between these civil society representatives and the Municipal Councils.
Representatives of the CDLs actively participated in open council meetings, rendering of accounts, information sessions, and other activities that required citizen participation.
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With regard to the institutionalization of transparency mechanisms, the following activities took place.
Open Council Meetings
This effort began during the latter half of 2000. Putting this mechanism into practice required preparing the Municipal Councils on matters such as handling effective meetings, drafting working agendas, and drafting regulations for the development of these sessions. It also required that the council members of the MDCPP municipalities attend open council meetings at the San Salvador City Hall, whose Municipal Council institutionalized this mechanism in 1999.
Initially, these activities were developed in 16 municipalities. Four of the MDCPP Municipal Councils decided they had received enough training to be able to initiate meetings in another four municipalities. This turned out to be impossible, however, because of lack of political will on the part of the local authorities.
It was also necessary to carry out information-dissemination activities with the communities in order to tell them about the startup of these open council sessions and to train the Local Development Committees regarding the role of the citizens.
By the end of the period, 19 municipalities had complied with the written commitment subscribed to under the agreement. Thus, during the project, over 200 open council sessions were held (see Appendix C).
Some Municipal Councils that at the end of 2000 had expressed some insecurity (due to low levels of education) about their ability to carry out these sessions, overcame their fears and successfully implemented this transparency mechanism—which, as noted earlier, is now being considered for inclusion in the Salvadoran Municipal Code—and received very high marks from the citizens who attended the open council sessions.
Rendering of Accounts
RTI offered technical assistance so that the Municipal Councils could render accounts before the citizens regarding the execution of the municipal budgets each year. The assistance concentrated on collecting and classifying information, and on designing the presentation format for the rendering of accounts event, in such a way that it would be readily understood by the participants.
Eighteen MDCPP municipalities rendered accounts of their budget performance before their citizens. In some municipalities—such as Concepción Batres, Suchitoto, El Carmen, and Berlín—these presentations were made by sector. By the end of the period, 24 MDCPP municipalities had carried out a total of 38 rendering of accounts exercises. Also, 10 Municipal Councils from localities affected by the earthquakes of January and February 2001 rendered accounts of the aid received and their management of the emergency to their citizens.
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Informative Discussions
Seventeen Municipal Councils made use of this mechanism to inform and consult with the population regarding development activities in the municipalities.
Participatory Budgets
Among the activities that were carried out during the last quarter of 1999 and are common practice now, the project’s local democratic development component facilitated the drafting of investment budgets for 2001 and 2002, coordinating with the Municipal Councils and representatives of the Local Development Committees in 17 municipalities.
The participatory budgets were closely related to the participatory strategic planning processes. That is, first the municipalities identified project priorities by location and sector through a diagnostic exercise. Then they prioritized the projects based on criteria such as the availability of funding, technical and financial feasibility, and willingness of the community to share responsibility. Finally, the municipal budgets were based on the agreed-upon priorities.
Citizen Surveys
A citizen referendum was carried out in the municipality of San Antonio del Monte, to obtain feedback on the operation of a recycling and solid waste disposal project.
This mechanism was also used to consult on the distribution of earthquake-relief aid received in the municipalities of San Antonio del Monte, San Julian, and Texistepeque.
2.3.3 Problems with the Component
Strategic Participatory Planning Processes
Strengthening of the processes for municipal participatory strategic planning was very important in this phase of MDCPP, even though activities initially were delayed by the earthquakes. At the time of the disaster, the municipalities had established their priorities and built their annual budgets bsed on them. Thus, it became necessary to repeat the diagnostic workshops in order to verify or change the priorities and to seek agreement between the citizens and the Municipal Councils on the changes in the budget. Technical staff from RTI were trained by an international consultant in how to include elements of risk mitigation in the municipal participatory strategic plans and in the work carried out by the CDLs.
As a result, the end of the period saw strengthened social networks, greater citizen participation, incorporation of citizen requests in some municipal governments, inclusion of risk prevention and disaster mitigation in the updated plans, and joint management actions by CDLs and municipal governments.
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On the other hand, the relevant units of some municipalities did not become sufficiently involved in the process. Meetings were held between RTI and the Municipal Council in these cases to try to obtain some formal commitments.
In some municipalities, the citizen participation process did not involve the municipal councilors in the working groups for building consensus. This omission made it difficult to carry out the action plans. To overcome this situation, municipal officials who were willing to do so were trained to give follow-up support to the working groups.
The mayor of Santa Elena linked establishment of the working groups for building consensus building to the creation of the Seed Money Fund for the support of small activities identified by the communities during the PEP process, but resources for the Seed Fund were never forthcoming. The project attempted to negotiate for these resources with other cooperating agencies, but these types of negotiations are slow. Meanwhile, the credibility of the process remains at risk in Santa Elena.
Assistance to Local Development Committees
The changes and takeovers by political parties within the local governments resulting from the elections caused some estrangement in several municipalities between the CDL and the new local government, bringing the participatory process that was under way to a standstill.
Except in the municipalities of Puerto el Triunfo and Cojutepeque, MDCPP was able to persuade not only the members of the six Municipal Councils, but also the representatives of the CDLs, to open up to dialogue, integrating citizen participation into areas of municipal governance they felt had not incorporated such representation previously.
Institutionalization of Transparency Mechanisms
As noted previously, members of several Municipal Councils were uneasy about holding open council sessions because of their low levels of education and therefore insecurity about their abilities. MDCPP responded with special workshops so they could learn to handle the meetings effectively, even completing a trial run before the real meetings.
Some Municipal Councils were stymied by opposing views within the council, requiring meetings to clarify the reasons for the disagreements.
Conflicts arising between the newly elected local authorities and the Local Development Committees delayed putting transparency mechanisms into action. To compensate, meetings were arranged between the actors and alliances were established with other NGOs that were well known in the municipalities, serving as mediators based on their existing relations with both groups.
Some municipalities did not follow the recommendations to prepare supporting material during the development of transparency mechanisms such as rendering of accounts and
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disclosure of the budget. Project support was offered again for preparing and duplicating these materials.
2.3.4 Nonprogrammed Activities Carried Out
In the course of the project, the following activities, which were not initially contemplated in the work plan, responded to specific requests and windows of opportunity in the area of citizen participation in crime prevention, a theme which was prioritized in the COMURES agenda during the Mayors Council of 1999, 2000 and 2001. The activities developed were as follows.
1. Support was given to the Pro-Children and Youth Committee of Sonsonate. MDCPP contracted with the international consultant Rey Martín Cedeño to lead two workshops: Violence and Crime Prevention Program “SAVE” (28 participants) and “Decisions and Challenges” (34 participants). In addition, the training manual developed for the “SAVE” program was translated from English to Spanish and given for the use of the CNSP and the judges in the western part of the country.
2. After these training sessions, the Pro-Children and Youth Committee initiated workshops on violence and delinquency prevention in the schools of Sonsonate.
3. MDCPP also helped introduce the subject of citizen participation during the training sessions for the newly elected municipal authorities given by COMURES.
4. Support to the National Public Security Council: The CNSP solicited MDCPP advice and support for developing a special project, Social Prevention of Violence and Crime, in connection with MDCPP’s municipal strengthening and citizen participation components. This project covered the areas of education, employment, sports, cultural activities, and neighborhood organization and leadership.
CNSP sought the experience of RTI in this area because of MDCPP’s existing links with Mayors’ Offices and various activist community groups.
MDCPP support to CNSP was offered through two consultations, one on citizen participation and one to facilitate the assessments, supervision, and follow-up to the sports infrastructure work identified as a priority—with community participation—during 2000 and 2001. The most relevant results of this support were:
– Organized and directed the team of promoters for the Social Prevention of Violence and Crime project. – Coordinated with Save the Children to carry out an exchange of experiences with the support network “Mothers Against Gangs” of Arizona, involving the National Family Secretariat, the Salvadoran Institute for the Protection of Minors, and the Ministry of Education. – Coordinated with the Mayors’ Offices and Municipal Councils to carry out joint actions and to establish cooperative agreements supporting (1) the community’s
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efforts to develop the sports, culture, and neighborhood organization components; and (2) coordination between the municipality and the National Civil Police. – Involved 82 community organizations in the Social Prevention of Violence and Crime project. – Designed and supervised 49 social infrastructure projects such as sports facilities, community houses and recreational areas identified by the community organizations for the prevention of violence and crime.
5. Technical assistance to Candelaria de la Frontera in creating a Municipal Plan for Citizen Security:
Responding to a need identified in the municipality’s participatory strategic plan, RTI facilitated this initiative through the Canadian Center for Study and International Cooperation (CECI), an institution which had conducted similar efforts in Saragoza and La Libertad.
A proposed plan was built through a series of workshops and working meetings with the municipality’s Consensus-Building Work Group on Citizen Security. This inter-sectoral group, which united over 20 people who lived or worked in the locale, had identified this primary step that should be taken to improve citizen security and inter-sectoral coordination. It should be noted that the municipality had proven to be a model in terms of citizen participation.
This effort also was justified by the municipality’s levels of violence and crime and by its geographic proximity to the border with Guatemala, which made it vulnerable to other types of crime such as drug trafficking, smuggling and sale of contraband, and kidnappings.
When it was completed, the principal components of the plan were: (1) a diagnostic, (2) a municipal Citizen Security Policy, and (3) Citizen Security Action Plans. The Policy and the Action Plans, which were a democratic approach to citizen security, were apolitical in character. They encompassed citizen participation; agreement among the population, the local government, and the central government; and sharing of responsibility by all in preventing violence and crime.
6. Development of pilot citizen financial watchdog committees (controlarias ciudadanas):
The project’s local democratic development component, given its emphasis on transparency mechanisms, established links with the Citizen Participation and Governability Project that Creative Associates International (CREA) was undertaking with USAID funding. The purpose was to form citizen financial watchdog committees in three municipalities: San Antonio del Monte, Santa Elena, and Concepción Batres.
These municipalities were selected because (1) they had already shown willingness to allow citizen participation and to introduce greater transparency; and (2) they were
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affected by the earthquake of January 2001, which meant that they would have to begin allocating both donated and own resources for physical reconstruction.
The objective of the effort was to help citizens be vigilant toward municipal management and thereby prevent corruption, whether by public officials or by private agents charged with carrying out projects with public funds.
The first step was to draft and obtain approval for a municipal ordinance that could serve as a judicial framework for the existence, election, and functioning of citizen financial watchdog committees. After discussion and approval of this instrument by the respective Municipal Councils, the committees were elected, as established in the ordinance, and then received the training they needed to fulfill their functions.
Each of the municipalities identified a project beginning in the first trimester of the year so that they could take responsibility for financial accountability from the moment of public bidding and assignment of the work.
This exercise was also extended to the municipalities of San Francisco Javier in Usulután and to the northeast microregion of Chalatenango formed by the municipalities of Arcatao, Nueva Trinidad, San Isidro Labrador, Nombre de Jesús, and San Antonio de la Cruz, which were receiving technical assistance for their participatory processes through FUNDAMUNI.
At project end, this effort was well into the development stage and was receiving technical assistance and monitoring from CREA.
7. PEP technical assistance for Santa Tecla, La Libertad: This was a pilot effort to develop a PEP in a metropolitan area with a complex social environment and multiple problems. The effort was coordinated with FUNDE and also received financial contributions from the municipality itself.
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3. Lessons Learned and Recommendations
MDCPP was designed to influence policy reforms and to transform processes related to municipal strengthening and citizen participation, which were closely linked to the ongoing policies of the GOES. As such, it required and achieved broad collaboration with the pertinent El Salvador counterpart institutions, inter-institutional teams, working groups, and committees.
The GOES has made progress in its political agenda since 1999, when the new government took office and established its policy directions.
The progress achieved is due in part to consensus-building efforts made in the interest of furthering policy development, the strengthening of COMURES, and the 1994–1999 project inputs and achievements. However, despite all the benefits—which involved practices more than policy development—much remains to be done.
The lessons learned below cover the period of existence of the 2000-2002 portiojn of the project. The lessons are organized as follows: (1) key lesson; (2) lessons about the content of the assistance; and (3) lessons in policy reform.
3.1 Key Lesson: Political Will
The overriding lesson from the project is that successful implementation depends on the political will of the local governments and their citizens to make changes, in most cases regardless of the commitment from other levels of government.
The project was fortunate that the GOES and COMURES maintained a consistent goal of decentralization and community participation even after the 1999 presidential elections. Moreover, the key actors in the GOES municipal arena remained largely the same over the life of the project, and new actors that arose, such as the Local Development Network, added useful new ingredients and trust, allowing for continuity and contributing to stable working relations in the sector.
At the end of the 1994–1999 period of the project, we stated that “commitment must be accompanied by will and an example of this is the work that has been carried out in the 10 municipalities incorporated during the past year, whose work is now as advanced as that of the initial 18 municipalities. The reason is that the second set of municipalities demanded technical assistance rather than having to be convinced to accept it.” At this writing, we again confirm that statement based on the results and achievements not only in these 28 municipalities, but also in three municipalities—San Isidro, San Francisco Gotera, and Sonzacate—that were incorporated most recently, between July 2001 and June 2002 (see evidence presented in Appendices A 2a, A 2b, B 11, and C).
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Recommendation
Any new initiative on technical assistance should consider the importance of self- determination to participate in the program. The response of technical assistance should be based on demand in future interventions.
3.2 The Content of Project Assistance
The project’s experiences and those of the country at large during 2000–2002—particularly political circumstances and natural disasters—clearly show how technical assistance should focus in order to succeed in the municipal sector and in local development. Nevertheless, a number of improvements could be made. Below we describe briefly some content-based approaches, challenges, and corresponding lessons learned.
Typically, programs such as this one have been seen in terms of their various components, each with its own expected results, and with the sum of all the results leading to the benefits sought.
MDCPP proved the value of integrating elements and components, a feat that was accomplished with one instrument at the source: the participatory strategic planning process. Certainly isolated results in service provision or in municipal finance, for example, could have been achieved without PEP, but sustainability could not have been. Therefore, although we have grouped the lessons learned below for ease of review, we note the high level of interaction and overlap among the various areas.
Recommendation
Any new Municipal Strengthening Activity should be design and implemented in an integral fashion: The Participatory Strategic Planning Process has to be the main axis from where the different interventions come from. It should be the base of the any local work plan regardless of the area objective to be work on. Opting for this approach ensures the success and sustainability of the municipal program.
3.2.1 Citizen Participation
1. The expressed and manifest will of Municipal Councils to permit citizens to be represented in the municipal development processes is an elemental condition for sustainability.
2. The PEP process has required at least 18 months of sustained technical assistance in the municipality and has also needed specialized technical assistance in the areas which the local players identify as priorities for development.
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3. The will of the local governments to render accounts to citizens and to hold open council sessions demands a commitment from the authorities and officials to put in order and update their financial/administrative information. 4. In the PEP process, access to municipal financial and administrative information cannot be limited but rather must be disclosed to the public through open town meetings, open council meetings, and other forums. In addition, there must be awareness and openness among both municipal authorities and citizens about implementing new ways of working.
5. In the municipalities that have introduced the PEP process, the local authorities are more likely to invest the 80% of FODES completely in the priorities agreed upon by the citizens and the local government, based on the PEP instrument. (see Appendix G)
6. During national emergencies such as the 2001 earthquake, municipalities with good participatory process had very limited number of transparency and relief distribution problems. These municipalities that have coordinated efforts between the municipal government and the CDLs should be strengthened and should be presented to the rest as successful experiences to serve as an example.
Recommendations
The PEP process should be developed in no less than 18 months of sustained technical assistance in the municipality and should include specialized technical assistance in the areas which the local players identify as priorities for development.
The municipalities that have coordinated efforts between the municipal government and the CDLs with Basic Criteria above 6.5 should be strengthened and monitored at least once every three months during the next year. These municipalities should serve as models to the rest as successful experiences.
The municipal technical diagnosis included in the PEP should be carried out by sector specialists and include a database of the information collected, if possible in electronic form, as well as the corresponding technical recommendations based on the findings. For more details see the technical diagnosis in the PEP in Santa Tecla, La Libertad.
3.3.2 Municipal Strengthening
7. When local governments share with others their positive experiences in introducing modernization measures and transparency mechanisms, resistance diminishes in local governments otherwise less inclined to implement them.
8. Increases in FODES transfers from the central to the local level, when unaccompanied by appropriate regulations to increase locally generated resources, have the effect of lowering collection rates and reducing citizens’ sense of responsibility for paying taxes.
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9. The introduction of means to respond rapidly to user complaints, the simplification of transactions, and a good public service such as: Mechanized Family Status Registry, Registry of Companies and Property, mechanized billing systems, notification to contributors, are simple examples of the transformations and modernization at the local level are possible.
10. Municipal productivity increases when personnel are selected and contracted based on work profiles and descriptions that define in writing the tasks and requirements for each position.
11. To the extent that municipal officials and their political parties remain interdependent, political patronage will constitute an obstacle to achieving greater levels of professionalism and healthy administrative apparatus. This situation also can keep Municipal Councils from making decisions about using tax revenues and service fees, updating systems, and developing a civil service roster.
12. The lack of municipal management indicators prevents establishing maximum limits for current spending.
13. The identification of priorities within the PEP process may generate expectations that exceed the financial capacity of the municipal administrations.
14. Although it is recognized as an important part of overall efficiency and good management, customer service generally has been neglected in the municipal environment in El Salvador. Only a limited number of major organizations working with municipalities to date have focused on customer service. RTI found a high level of interest in customer service among mayors, council members, and municipal employees, and widespread willingness and enthusiasm regarding implementing mechanisms to improve customer service.
Recommendations
The following key methodologies can be used to generate current savings that will result in healthy local finances, and as a consequence, improve public services and lead to more local investment:
– The 80% of FODES that is transferred annually to the municipalities should be totally earmarked for financing projects prioritized in participatory processes in which the civil society certifies the decisions made by the local governments, supported by participatory strategic plans.
– Within five years, the 20% FODES should be replaced gradually by municipal own- source revenues, with 100% of the resources to be invested in local investment projects prioritized in a participatory manner.
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– Municipalities with insufficient own-source revenues should seek associations with other municipalities and private sector partners in the interest of self-sustainability.
– The 80% FODES should be delivered only if the previous year’s allocation was fully disbursed.
In the interest of accountability and credibility with citizens, it is critical for the municipal processes for contracting goods and services to be fully transparent. For this reason, relevant legal instruments, such as the Acquisitions Law and its reforms, should be totally enforced and accompanied by a strong commitment to introduce citizen financial watchdog groups as part of the citizen participation and transparency mechanisms in this area.
Organized municipal structures need to be oriented to a culture of service and dialogue between the administrative apparatus and toward citizens. Decentralized decision making, the elimination of duplicate functions and incompatible tasks, The introduction of means to respond rapidly to user complaints, the simplification of transactions, and good public service should be a priority. All these making use of the available modern information technologies.
In reference to the possible financial expectations generated by the PEP process one option is for local authorities to look for creative forms of additional financing—such as private sector participation, or the use of appropriate and responsible commercial or international loans—for projects identified in the PEP that are potentially financially self-sustaining and have the approval of the citizen.
3.2.3 Municipal Services
15. Most municipal services operate at substantial deficits. Mayors and council members are usually aware that the full cost is not being recovered in the delivery of services. However, they are usually surprised at the high levels of subsidy.
16. Including the private sector and non profit organizations in the administration, operations, and maintenance of public services has resulted in greater levels of sustainability and quality in the provision of services, avoiding the use of funds to subsidize other services.
17. The traditional manner of collecting and disposing of solid waste as separate services works far less well than an integrated model. For example, integrated services in the MDCPP pilot municipalities have responded better to the environmental and health problems generated by garbage, and have encouraged municipalities to attempt such projects with regional cooperation due to the high investment sums required.
18. Private sector participation in the provision of public services has been limited because local governments and citizens alike associate the participation of private sector providers with an increase in tariff rates, as happened with electric energy and telephones.
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19. Analysis of individual municipal services permitted the identification of the costs and subsidies and thus encouraged the adoption of measures to enable sustainability. 20. Monitoring and evaluation of the performance of service providers is almost impossible at present because there is no set standards and no monitoring.
Recommendations
Performance standards need to be established for all the services provided by the municipalities. The values should be determined based on Latin American standards and adjusted to local conditions.
The promotion and inclusion of the private sector and NGO in the provision of municipal services must be a key element in any new strategy. Lack of financial resources, and technical capabilities demands it, otherwise improved quality and quantity of services would take too long.
3.3 Policy Reform and Formulation
3.3.1 Slow Improvements in the System of Central-Local Government Transfers
The GOES is moving in the right direction on fiscal decentralization but at a slow rate. The problems with the current system have been documented and may be summarized as follows:
· Lack of formal criteria for allocating transfers, but with an increasing tendency, at least in part, to use poverty alleviation as a target.
· Lack of incentives built into the grant system to promote better resource mobilization at the local level.
Key recommendations for intergovernmental transfers include:
Recommendations
· Promote an overall Fiscal Decentralization Policy reform must be promoted. This initiative should take into consideration a property tax reform, intergovernmental transfers (FODES) and municipal credits exhibits, all linked to a clearer specification of expenditure assignment at local level.
· Examine alternative allocation schemes and make changes in the existing FODES. The purposes would be (1) to give local governments greater discretion in their use of the funds, but also (2) to maintain some means of limiting certain grants to particular uses (because of concern that recipient jurisdictions will not use them well). Impacts of the transfers should be measured in a timely manner. This recommendation is consistent with ANEP’s recommendations in its last National Conference on Private Enterprise (ENADE 2002) proposal.
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· Publicly discuss the DevTech study of potential changes to the FODES distribution formula and system, initially with the FISDL Advisory Group key actors and later with other national actors.
· Improve FODES administration, including ensuring monitoring and evaluation.
· Improve planning and programming of FODES allocations, by means such as indicating amounts of FODES funding a regional government is likely to receive in the following year, or making multiyear allocations.
3.3.2 Tax Reform
The process for improving, rationalizing, and streamlining taxes has moved slowly but with solid steps and general support. The process has been appropriate, having used a participatory, informative, and empirical methodology through which all key actors took part. Concrete data were used to show probable income generated, probable amounts to be paid, etc. Consensus was obtained from all mayors, and from all political parties represented. The tax law proposal was completed but no one made the initial move to take the legislation to the National Assembly for discussion and approval.
Recommendations
Identifying what prevented the tax legislation from becoming law, it is important to mention that even though the initiative was discussed with:
§ Mayors § Congressional representatives § Private sector associations § NGOs § Universities, among many others.
It is also clear that it was never presented and discussed with the Board of Directors of each political party, where political decisions are really made.
This step was taken only after the fact, when the mayors had declined the initiative based on instructions from their political parties.
Analyses of the technical options have been finalized. What remains to be done is to convince society in general of the urgency and need. There is the need tto use an existing organization such as the National Development Commission (CND) or the Grupo Consultivo chaired by FISDL as a convenor. This entity must be seen as being an "honest broker" and having sufficient stature to place a meaningful imprimatur on policy decisions and legislative proposals.
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Also, the Ministry of Finance has to be involved as a key player in the fiscal decentralization strategy, given the national budgetary implications of such agenda. 3.3.3 Private Sector Participation
A high level of effort was devoted to bringing together the private sector and the municipalities. COMURES and ANEP developed close working relationships, and a framework for the participation of the private sector in the provision of public services was completed with its corresponding procedural guides, but at the local level there is still a lot to be done.
As noted, most mayors still resist the idea of allowing the private sector to provide any service, whether it is already being provided by the municipality or is proposed as a new service. It seems to be generally accepted that the municipality has to be the only provider of services. This belief may be related to the idealization about the term “decentralization” as a drive to move all responsibilities from the central government to the local government as the only option for improved provision of services, not considering any other options such as public-private partnerships, concessions, BOT, etc.
Another reason for it is the central government’s history of paternalism toward local governments. This model of assistance and support has also made local authorities less aggressive and innovative in terms of obtaining different forms of partnerships and resources.
Recommendations
COMURES will need to take the lead on promoting private sector participation, working with the FISDL program for small service providers financed with IDB funds, and continuing to work with ANEP and its associates.
A training program must be developed to raise the managerial and entrepreneurial level of Mayors, municipal employees and technical personnel in COMURES
3.3.4 Multiyear Investment Plans
In terms of capital investment in public services, an important lesson resulting from the two multiyear investment plan exercises and loan requests is that the financial system in El Salvador needs to learn more about municipal finances. In most cases, lenders are providing credit with FODES transfers as guarantees, without really looking at the internal financial situation of the municipality or the financial viability of the investment.
The experience has also shown that even in the case of municipalities with the proper financial plans, credit analysis, sound loan requests the authorities prefer to work with a bank institution that is not really looking at the whole loan study and the return of the projects, but rather to the FODES guarantee. In this case the municipality is just concerned with getting the fund from the loan and not looking at the long term viability of the municipality.
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Recommendations
Local governments need to produce and make available better financial information. They should be able to provide banks and potential lenders with accurate and timely financial statements, and they should have an efficient financial and tax management system at the local level.
COMURES, ABANSA and GOES institutions should develop an official set of municipal loans criteria and also a program to improve the debt situation of the municipalities that are already in a poor financial condition.
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Appendix A Financial Indicators (Municipal Strengthening Component) APPENDIX A1
Municipal Own-Source Revenues (In Colones)
The following graph and chart present the own-source revenues collected by the 27 municipalities during the period 1995 – June 2002, according to the groups of 14, 10, and 3 municipalities. The main text shows an average of all three groups.
OWN-SOURCE REVENUES GROUP OF 14 MUNICIPALITIES PERIOD 1995 -2002 /1 ¢35.000.000
¢30.000.000
¢25.000.000
¢20.000.000
¢15.000.000
¢10.000.000
¢5.000.000
¢0
94 95 96 97 98 99 00 01 02 YEARS
Taxes Muncipal Services Other Income
1/ Financial information as of June 2002
Appendix A1 – page 1 APPENDIX A1
Own-Source Revenues, Group of 14 Municipalities, 1995–2002 (in Salvadoran colones)
INCOME SOURCE 95 % 96 % 97 % 98 % 99 % 00 % 01 % 02 /1 %
TAXES 7.712.214 29% 10.534.979 32% 16.568.257 37% 18.721.376 35% 19.437.518 34% 22.728.769 37% 30.327.326 43% 15.042.010 40%
MUNICIPAL SERVICES 16.974.378 64% 20.533.367 63% 23.625.454 53% 27.185.730 50% 28.271.050 50% 29.206.911 47% 30.157.402 43% 18.699.955 49%
OTHER INCOME 1.983.573 7% 1.703.409 5% 4.795.697 11% 8.184.244 15% 8.859.518 16% 10.125.906 16% 10.286.251 15% 4.138.094 11%
TOTAL OWN- SOURCE
RVENUES 26.670.165 100% 32.771.755 100% 44.989.408 100% 54.091.350 100% 56.568.086 100% 62.061.586 100% 70.770.979 100% 37.880.059 100%
ANNUAL
INCREASE 20% 23% 37% 20% 5% 10% 14% -46% PERIOD INCREASE (BASE YEAR (Base año 1994) 70%
Source: RTI database 1/ Financial information as of june 2002.
Appendix A1 – page 2 APPENDIX A1
OWN-SOURCE REVENUES GROUP OF 10 MUNICIPALITIES PERIOD 1996/2002 /1 ¢7.000.000
¢6.000.000
¢5.000.000
¢4.000.000
¢3.000.000
¢2.000.000
¢1.000.000
¢0
YEARS
Taxes Municipal Services Other Income
1/ Financial information as of June 2002
Own-Source Revenues, Group of 10 Municipalities, 1996–2002 (in Salvadoran colones)
Income /1 Source 96 % 97 % 98 % 99 % 00 % 01 02
Taxes 230.137 6% 670.848 15% 1.078.433 20% 1.636.831 23% 1.717.914 19% 1.644.275 19% 765.755 14%
Municipal Services 3.269.581 87% 3.624.662 78% 3.971.548 72% 4.218.052 60% 5.274.882 60% 4.931.946 56% 3.452.266 65%
Other Income 246.080 7% 330.661 7% 468.216 8% 1.207.575 17% 1.861.241 21% 2.193.795 25% 1.097.376 21%
Total Own-Source Revenues 3.745.798 100% 4.626.171 100% 5.518.197 100% 7.062.458 100% 8.854.037 100% 8.770.016 100% 5.315.397 100%
Annual Increase 24% 19% 28% 25% -1% -39%
Period Increase (Year base 1996) 136% 134% 42%
Source: RTI database 1/ Financial information as of June 2002
Appendix A1 – page 3 APPENDIX A1
OWN-SOURCE REVENUES GROUP OF 3 MUNICIPALITIES PERIOD 1998/2002 /1 ¢4.000.000
¢3.000.000
¢2.000.000
¢1.000.000
¢0
YEARS
Taxes Municipal Services Other Income
1/ Financial information as of June 2002
Own-Source Revenues, Group of 3 Municipalities1, 1998–2002 (in Salvadoran colones)
Income 2 Source 98 % 99 % 00 % 01 % 02 %
Taxes 686.530 24% 886.536 26% 843.009 21% 1.288.395 27% 731.692 27%
Municipal Services 1.909.218 66% 2.092.674 62% 2.398.027 61% 3.100.786 64% 1.713.039 63%
Other Income 290.868 10% 393.484 12% 721.830 18% 436.299 9% 278.244 10%
Total Own- Source Revenues 2.886.616 100% 3.372.694 100% 3.962.866 100% 4.825.480 100% 2.722.975 100% Annual Increase 17% 17% 22% -44% Period
Increase (Year base 1998) 37% 67% -6%
Source: RTI database 1/ Municipalities of San Isidro, Sonzacate and San Francisco Gotera 2/ Finacial information as of June 2002
The previous graphs and charts demonstrate the growth trend in own-source revenues during 1995– June 2002.
Appendix A1 – page 4 APPENDIX A1
For the group of 14 municipalities, own income grew from 26.7 million colones collected in 1995 to 70.8 million in 2001, a percentage increase of 217%. It is important to highlight the contribution of taxes, which represented 29% of total collections in 1995 but 43% in 2001. This change resulted from the municipalities' efforts to update their tax records and to make more rigorous attempts to collect taxes due. Along the same lines, other current income (interests, fines, and the 5% assessment on local festivities) represented 7% of total own income in 1995, but 15% of the total collected in 2001 due to the application of the legal framework.
During the first semester of 2002 the own-source revenues had reached 37.5 million colones which represents 54% of 2001 own-source generated revenues.
For the group of 10 municipalities, own-source revenues grew from 3.7 million colones collected in 1995 to 8.8 million in 2001, an absolute increase of ¢5.1, equivalent to a percentage increase of 134%.
As of June 2002 this group of municipalities had generated 5.3 million colones , that represents the 60% of the total own-source generated in 2001.
During this whole period the percentage income generated by taxes has shown an increasing tendency among the other income generating sources from 6% in 1996 to 19% in 2001.
As with the group of 14, tax contributions as a portion of total revenues increased, from 7% in 1996 to 25% in 2001, thanks to updated records and more effective collection. Also important is the contribution of fees for services, which decreased from 87% in 1996 to 56% in 2001. Other current income (interests, fines, and the 5% assessment on local festivities) represented 7% of total own income in 1995, but 25% in 2001 due to the application of the legal framework.
For the group of 3 municipalities, own-source revenues grew from 2.9 million colones collected in 1998 to 4.8 million in 2001, an absolute increase of 1.9 million colones, equivalent to a percentage increase of 66%. The proportion of revenues derived from fees for services remained fairly consistent over the period, ranging between 63% and 66%.
This group of municipalities during the first semester of 2002 had reached a total of 2.7 million colones, representing 56% of the own-source revenues of 2001.
In general terms, it can be affirmed that municipalities’ collection of own-source revenues has increased substantially, as a consequence of integrated measures for broadening the tax base by updating the property cadastres and business registries, recouping delinquent taxes and fees, instituting more rigorous collection, and reforming service fees. The impact of such measures was greater in the first years after their introduction, with decreased growth in the later years.
Appendix A1 – page 5 APPENDIX A1
However, it is important to notice the need to look for alternative own-source of income in the case of the Salvadorian municipalities in order for them to be financially independent by means such as: Property tax and other forms of fiscal decentralization.
Appendix A1 – page 6 APPENDIX A1
Income, Spending, and Current Savings (In Colones)
The following graphs and charts present income, spending and current savings. Current income is the sum of own-source revenues and the 20% of FODES transfer for administration costs.
Current savings is the difference between income and spending in current terms. This means that when income is greater than current spending, the result is current savings. On the contrary, if spending is greater, the result is current account deficits.
INCOME, SPENDING AND CURRENT SAVINGS GROUP OF 14 MUNICIPALITIES PERIOD 1995/2002 /1
¢89.500.000
¢74.500.000
¢59.500.000
¢44.500.000
¢29.500.000
¢14.500.000
-¢500.000
-¢15.500.000 94 95 96 97 98 99 00 01 02
-¢30.500.000 YEARS
Current Income Current Spending Current Savings
1/ Financial Information as of June 2002
Income, Spending, and Current Savings, Group of 14 Municipalities, 1995–2002 (in Salvadoran colones)
YEARS 95 96 97 98 99 00 01 02 /1
/2 Current Income 27.066.356 34.894.504 47.142.157 66.066.188 69.144.641 76.024.821 86.659.488 45.710.535 Annual Increase 29% 35% 40% 5% 10% 14% -47%
Current Spending 29.129.941 38.532.855 50.579.867 61.040.917 66.781.811 74.090.063 87.702.213 46.687.575 Annual Increase 32% 31% 21% 9% 11% 18% -47%
Cuirrent Savings (2.063.585) (3.638.351) (3.437.710) 5.025.271 2.362.830 1.934.758 (1.042.725) (977.041)
Source: RTI database 1/ Financial information as of June 2002 2/ Includes 20% FODES transfers
Appendix A1 – page 7 APPENDIX A1
INCOME, SPENDING AND CURRENT SAVINGS GROUP OF 10 MUNICIPALITIES PERIOD 1996/2002 /1 ¢24.500.000
¢19.500.000
¢14.500.000
¢9.500.000
¢4.500.000
-¢500.000
-¢5.500.000 96 97 98 99 00 01 02
YEARS
Current Income Current Spending Current Savings
1/ Financial information as of June 2002
Income, Spending, and Current Savings, Group of 10 Municipalities, 1996–2002 (in Salvadoran colones)
YEARS /1 96 97 98 99 00 01 02
Current Income /2 4.620.899 6.148.437 11.539.428 13.355.857 15.830.246 16.788.592 8.948.756 Annual Increase 33% 88% 16% 19% 6% -47%
Cureng Spending 4.758.594 6.411.843 10.841.681 13.256.897 16.290.236 17.222.288 8.146.612 Annual Increase 35% 69% 22% 23% 6% -53%
Current Savings (137.695) (263.406) 697.747 98.960 (459.990) (433.696) 802.144
Source: RTI database 1/ Financial Information as of June 2002 2/ Includes 20% FODES transfers
Appendix A1 – page 8 APPENDIX A1
INCOME, SPENDING AND CURRENT SAVINGS GROUP OF 3 MUNICIPALITIES PERIOD 1998-2002 /1
¢8.000.000
¢6.000.000
¢4.000.000
¢2.000.000
¢0
98 99 00 01 -¢2.000.000 Junio 02 YEARS Current Income Current Spending Current Savings
1/ Financial information as of June 2002 Income, Spending, and Current Savings, Group of 3 Municipalities, 1998–2002 (in Salvadoran colones)
YEARS 98 99 00 01 02 /1
/2 Current Income 4.378.860 4.942.413 5.468.139 6.594.608 3.777.752 Annual Increase 13% 11% 21% -43%
Current Spending 4.337.894 5.129.507 6.261.026 6.936.834 4.392.463 Annual Increase 18% 22% 11% -37%
Current Savigns 40.966 (187.094) (792.887) (342.226) (614.711)
Source: RTI database 1/ Financial information as of June 2002 2/ Includes 20 FODES transfers
The previous charts and graphs reflect that for the group of 14 municipalities during 1995–2001, the downward trend in current savings was variable. From 1995 to 1997 there were current account deficits of 2.1, 3.6 and 3.4 million colones, respectively. Beginning in 1998, a process of generating current savings was initiated and continued through 2000, as a result of a greater availability of financial resources from own-source generation and transfers. In 2001, however, the municipalities returned to deficits of 1.0 million colones. As of June 2002 the deficit trend continued fro this group of municipalities.
Appendix A1 – page 9 APPENDIX A1
For the group of 10 municipalities as well, the negative trend in current savings was variable. In 1996,1997, 2000 and 2001, there were current account deficits of 137,695, 263,406, 459,990 and 433,696 colones, respectively. In 1998 and 1999 there were current savings of 697,747 and 98,960 colones, respectively, due basically to the increase in the 6% FODES transfer. As of June 2002, this group shows a positive trend in current savings.
For the group of municipalities most recently incorporated into the project, current account with exception of 1998, with savings of 40,966 colones, deficits occurred in all three years analyzed: 187,094 in 1999, 792,887 in 2000, and 342,226 in 2001. During the first semester of 2002 the financial statements show a negative balance of 614,711 colones.
In summary, the situation of the three groups of municipalities indicates that proportionally, the municipalities had greater access to funds because of the strengthening of their own financial capabilities and because of larger FODES transfers. The final destination of both sets of funds, however, was current spending rather than long-term investments.
Appendix A1 – page 10 APPENDIX A1
80% of FODES Transfers and Actual Investment(In colones)
The following data compare the 80% FODES transfers received by the municipalities and actual investments made.
80% FODES TRANSFERS AND INVESTMENTS GROUP OF 14 AND 10 MUNICIPALITIES PERIOD 1998 - 2002 /1 120.000.000
100.000.000
80.000.000
60.000.000
40.000.000
20.000.000
0 1998 1999 2000 2001 2002 /1
80% FODES Allocation 80% FODES Investment
1/ Financial information as of June 2002
FODES 80% Transfers and Investments, Groups of 14 and 10 Municipalities, 1998–2002
/1 YEARS 1998 1999 2000 2001 2002 80% FODES Allocation 14 Municipalities 47.899.354 50.386.225 55.852.941 65.593.611 32.281.039 10 Municipalities 24.084.926 25.173.596 27.904.835 32.074.302 14.533.437 Total Municipalities 71.984.280 75.559.821 83.757.776 97.667.913 46.814.476 80% FODES Investment 14 Municipalities 15.203.901 38.242.827 65.955.043 65.495.030 27.770.845 10 Municipalities 15.709.517 17.368.739 34.720.078 34.348.509 17.534.887 Total Municipalities 30.913.418 55.611.566 100.675.121 99.843.539 45.305.732 Index of Investment Efficiency 43% 74% 120% 102% 97% Source: RTI database 1/ Financial Information as of June 2002
Appendix A1 – page 11 APPENDIX A1
80% FODES TRANSFERS AND INVESTMENTS GROUP OF 3 MUNICIPALITIES PERIOD 1998 - 2002 /1
9.000.000
6.000.000
3.000.000
0 1998 1999 2000 2001 2002
80 % FODES Allocation 80% FODES Investment
1/ Financial information as of June 2002
FODES 80% Transfers and Investments, Group of 3 Municipalities, 1998–2002
YEARS 1998 1999 2000 2001 2002
80% FODES Allocation 5.968.975 6.278.877 5.786.335 8.438.216 5.273.885
80% FODES Investment 3.285.191 5.092.972 9.545.147 9.440.406 3.737.336
INDES OF INVESTMENT EFFICIENCY 55% 81% 165% 112% 71% Source: RTI database 1/ Financial information as of June 2002
Comparing the annual amounts of 80% FODES transfers received by the groups of 14 and 10 municipalities with investment expenditures actually made during 1998–June 2002 reveals that the capacity to fully use the sums received for investments grew during the period. The percentages expended were 43%, 74%, 120%, 102% and 97% over the five years. Consequently, it can be affirmed that the municipalities strengthened their administrative capabilities to execute projects.
The same tendency is observed for the group of 3 municipalities, for which the percentages expended on investments were 55%, 81%, 165%, 112% and 71%.
Appendix A1 – page 12 APPENDIX A1
Municipal Investment according to Finance Source (In Colones)
Municipal investments were funded principally from the FODES 80%, FISDL grants, and own-source revenues. Following is a summary of investments carried out by the municipalities and the source of financing.
MUNICIPAL INVESTMENTS BY SOURCE OF FINANCING GROUP OF 14 AND 10 MUNICIPALITIES PERIOD 1998-2002 1/
120.000.000
100.000.000
80.000.000
60.000.000
40.000.000
20.000.000
0 1998 1999 2000 2001 2002 /1 OWN-SOURCE REVENUES FODES/FISDL/OTHER INVESTMENT 1/ Financial information as of June 2002
Municipal Investments by Source of Financing, Groups of 14 and 10 Municipalities, 1998–2002 (in Salvadoran colones)
OWN-SOURCE REVENUES FODES/FISDL/OTHER YEARS TOTAL % TOTAL % INVESTMENT %
1998 8.370.469 21% 30.913.418 79% 39.283.887 100%
1999 6.314.088 10% 55.611.566 90% 61.925.654 100%
2000 4.845.759 5% 100.675.121 95% 105.520.880 100%
2001 1.318.200 1% 99.843.539 99% 101.161.739 100%
2002 /1 490.211 1% 45.305.732 99% 45.795.943 100%
Source: RTI database 1/ Financial information as of June 2002
Appendix A1 – page 13 APPENDIX A1
MUNICIPAL INVESTMENT BY SOURCE OF FINANCING GROUP OF 3 MUNICIPALITIES PERIOD 1998-2002 1/
12.000.000
10.000.000
8.000.000
6.000.000
4.000.000
2.000.000
0 1998 1999 2000 2001 2002 /1
OWN-SOURCE REVENUES FODES/FISDL/OTHER INVESTMENT 1/ Financial information as of June 2002
Municipal Investments by Source of Financing, Group of 3 Municipalities, 1998 – 2002 (in Salvadoran colones)
OWN-SOURCE REVENUES FODES/FISDL/OTHER YEARS TOTAL % TOTAL % INVESTMENT %
1998 0 0% 3.285.191 100% 3.285.191 100%
1999 0 0% 5.092.972 100% 5.092.972 100%
2000 0 0% 9.545.147 100% 9.545.147 100%
2001 0 0% 9.440.406 100% 9.440.406 100%
1 2002 / 0 0% 3.737.336 100% 3.737.336 100%
Source: RTI database 1/ Financial information as of June 2002
According to the above data for the groups of 14 and 10 municipalities, the trend in municipal investments was an increasing one, moving from 39 million colones invested in 1998 to 101 million colones distributed in 2001.
Examining the sources of financing for municipal investments, it is seen that own-source revenues lessened in importance; in 1998 own-source revenues represented 21% as a source of financing, but in 2001 only 1%. On the other hand, the trend in governmental transfers and grants as a source of financing was an upward one, attaining levels of 79%, 90%, 95%, 99% and 99% as sources of investment in the years 1998, 1999, 2000,2001 and 2002.
Appendix A1 – page 14 APPENDIX A1
For the group of 3 municipalities, the sums invested grew from 3.3 million colones in 1998 to 9.4 million colones in 2001, with the only source of financing being transfers and grants.
Note that the data do not reflect contributions provided by the communities in money or in kind.
Appendix A1 – page 15 APPENDIX A1
Remunerations and current expenditure (In Colones)
A critical element within municipal financial management has been the sums paid in the form of remunerations (costs of personnel salaries), which have represented significant percentages with respect to the total current spending incurred by the municipalities. The following graphs and charts present remunerations as a percentage of current municipal spending during 1996–June 2002 for the groups of 14, 10, and 3 municipalities.
REMUNERATIONS AS A PERCENTAGE OF CURRENT MUNICIPAL SPENDING, GROUP OF 14 AND 10 MUNICIPALITIES 80% PERIOD 1996-2002 1/
40%
0% 1996 1997 1998 1999 2000 2001 2002 /1 GROUP OF 14 MUNICIPALITIES GROUP OF 10 MUNICIPALITIES
1/ Financial information as of June 2002
Remunerations as a Percentage of Current Municipal Spending, Groups of 14 and 10 Municipalities, 1996–2002
YEARS GROUP OF MUNICIPALITIES 14 10
1996 68% 68% 1997 74% 63% 1998 71% 64% 1999 74% 63% 2000 73% 62% 2001 68% 68% 2002 /1 68% 70% Source: RTI database 1/ Financial information as of June 2002 .
Appendix A1 – page 16 APPENDIX A1
REMUNERATIONS AS A PERCENTAGE OF CURRENT MUNICIPAL SPENDING, GROUIP OF 3 MUNICIPALITIES PERIOD 1998-2002 /1 80%
60%
40%
20%
0% 1998 1999 2000 2001 2002 /1
1/ Financial information as of June 2002
Remunerations as a Percentage of Current Municipal Spending, Group of 3 Municipalities, 1998–2002
YEARS GROUP OF MUNICIPALITIES 3
1998 68% 1999 66% 2000 72% 2001 67% 2002 /1 63%
Source: RTI databae 1/ Financial information as of June 2002
For the group of 14 municipalities, remunerations ranged from 68% in 1996 up to 74% in 1999 and back to 68% in 2001. For the group of 10 municipalities, remunerations ranged from 62% to 68% of total current spending between 1996 and 2001. The situation is similar for the group of 3 municipalities, in which remunerations represented from 68% to 63% of total current municipal spending from 1998 through 2001.
During the first semester of 2002 the expenditure tendency for remunerations has been similar to the previous years, showing 68% and 70%, for the group of 14 and 10 municipalities respectively,
The greater proportion of remunerations within total current spending implies that use of own-source revenues alone may not be sufficient to provide services and make investments to broaden coverage.
Appendix A1 – page 17 APPENDIX A1
Municipal Delinquency of Taxes and Service fees (In Colones)
The accounts receivable or delinquent balances that taxpayers and users of services maintain with municipalities depend on how efficiently billings and collections are managed. However, it is significant that the municipalities are not able to interrupt services for delinquent customers, thereby adding pressure to users to pay on time, because the services are provided in a collective manner rather than individually. Thus, continuing reluctance to pay among some users cannot be avoided.
Following is a presentation of the delinquency indexes, which are based on the relationship between (1) potential own-source revenues (less income from interest, fines, and fees on local festivities) and (2) delinquent balances for the groups of municipalities.
DELINQUENCY INDEX GROUP OF 14 MUNICIPALITIES 1997 - 2002
50%
40%
30%
20%
10%
0% 97 98 99 00 01 02 /2
Delinquency Index
Delinquency Index, Group of 14 Municipalities, 1997–2002
YEARS 97 98 99 00 01 02
Potential Income 1/ 59.471.179 65.776.752 72.016.146 84.613.641 89.808.595 94.237.741 Delinquent Balances 19.277.468 19.869.646 24.307.578 32.677.961 29.323.867 26.753.811
Delinquency Index 32% 30% 34% 39% 33% 28%
1/ Excludes other current income Source: RTI database .
Appendix A1 – page 18 APPENDIX A1
DELINQUENCY INDEX GROUP OF 10 MUNICIPALITIES PERIOD 1999 - 2002 100%
80%
60%
40%
20%
0% 99 00 01 02 /2 Delinquency Index
Delinquency Index, Group of 10 Municipalities, 1999–2002
YEARS 99 00 01 02
Potential Income 1/ 8.366.614 9.549.718 10.147.057 12.329.697 Delinquent Balances 2.511.731 2.556.922 3.570.836 3.893.655
Delinquency Index 30% 27% 35% 32%
1/ Excludes other current income
Appendix A1 – page 19 APPENDIX A1
DELINQUENCY INDEX GROUP OF 3 MUNICIPALITIES PERIOD 2001 - 2002 100%
80%
60%
40%
20%
0% 01 02 /2 Delinquency Index
Delinquency Index, Group of 3 Municipalities, 2001–2002
YEARS 01 02
Potential Income 1/ 9.273.374 9.133.089 Delinquent Balances 4.884.193 4.243.627
Delinquency Index 53% 46%
1/ Excludes other current income
For the group of 14 municipalities, the annual delinquency indexes ranged from 30% to 39% between 1997 and 2001, which indicates that the proportion of delinquent balances with respect to potential income remained more or less constant over the period. In other words, although the absolute sums increased, the relative proportions remained the same..
Similar outcomes can be observed for the group of 10 municipalities, whose percentages were 30%, 27%, and 35% for the years 1999, 2000, and 2001, respectively. Finally the same tendency is shown in the group of 3 municipalities where it has ranged from 53% in 2001 to 46 % in June 2002.
Appendix A1 – page 20 APPENDIX A 2a
Municipal Budget and Accounting Systems in Use by the Municipalities as of June 30, 2002
Budget System Accounting System
Budget by Generation Management Traditional Traditional of Financial Municipality Area Budget SAFIMU SAFI System Statements Group 1: 14 Municipalities
1 Acajutla Dec 2001 Not 2 Berlín +/ generated
3 Cojutepeque March 2002
4 Corinto In process
5 Chalchuapa April 2002 Not 6 El Carmen +/ generated
7 El Porvenir Dec 2001
8 Olocuilta Sept. 2001 Not 9 Puerto el Triunfo generated
10 San Francisco Menéndez May 2002 11 San Julián May 2002
12 Sonsonate May 2002 February 13 Texistepeque 2002 February 14 Usulután 2002
Group 2: 10 Municipalities
1 Candelaria de la Frontera May 2002 February 2 Concepción Batres 2002 Not 3 El Tránsito generated
4 Guaymango January 2002 Not 5 Nahulingo generated
6 San Antonio del Monte January 2002 Not 7 San Pedro Puxtla generated
8 Santa Elena January 2002 Not 9 Sociedad generated
10 Suchitoto May 2002
Group 3: 3 Municipalities
1 San Isidro May 2002
2 San Francisco Gotera March 2002
3 Sonzacate January 2002
+/ Municipalities using Integrated Financial Management System (SAFI) codification. SAFIMU = Municipal Integrated Financial Management System.
Appendix A 2a – page 1 APPENDIX A 2b
Status of the Principal Elements to Introduce the Municipal Integrated Financial Management System (SAFIMU II) as of June 30, 2002
Periodic Personal Current Delivery of Property Real Estate Cadastre Accounts Collection Bank Inventory Inventory Municipality Updated Updated Notices Conciliations Updated Updated Group 1: 14 Municipalities
1 Acajutla In process In process no May 31, 2002 yes In process
2 Berlín Not updated No no Nov 2001 Not updated Not updated
3 Cojutepeque 70% Yes no May 31, 2002 yes yes
4 Corinto yes Yes yes May 31, 2002 yes In process
5 Chalchuapa yes Yes In process May 31, 2002 yes In process
6 El Carmen yes Yes yes May 31, 2002 yes yes
7 El Porvenir 75% Yes no May 31, 2002 yes In process
8 Olocuilta yes Yes yes May 31, 2002 no In process March 31, 9 Puerto el Triunfo yes Yes yes 2002 yes no 10 San Francisco Menéndez yes Yes In process May 31, 2002 yes yes 11 San Julián yes Yes yes May 31, 2002 yes In process
12 Sonsonate 60% Yes no April 30, 2002 yes In process 13 Texistepeque yes Yes yes May 31, 2002 yes yes 14 Usulután yes Yes yes May 31, 2002 no no
Group 2: 10 Municipalities
1 Candelaria de la Frontera yes Yes yes May 31, 2002 yes yes
2 Concepción Batres yes Yes yes May 31, 2002 In process In process
3 El Tránsito yes Yes yes April 30, 2002 yes no
4 Guaymango yes Yes no Dec 31, 2001 no no
5 Nahulingo no No no May 31, 2002 yes no January 31, 6 San Antonio del Monte In process In process si 2002 yes In process
7 San Pedro Puxtla yes No no Dec 31, 2001 yes no
8 Santa Elena yes Yes no April 30, 2002 In process In process
9 Sociedad no No no Dec 31, 2001 yes no
10 Suchitoto yes Yes yes May 31, 2002 yes In process
Group 3: 3 Municipalities
1 San Isidro yes Yes yes May 31, 2002 yes In process
2 San Francisco Gotera In process In process no May 31, 2002 yes yes June 30, 3 Sonzacate In process In process no 2002 yes In process
Appendix A 2b – page 1 APPENDIX A 2c
Summary of Activities Planned and Carried Out, by Group of Municipalities, January 2000 – June 2002
Group of Activity Municipalities No. Activity 14 10 3 Planned Executed 1 Municipal diagnostic 0 10 3 13 13 2 Annual work plan 5 3 3 11 10 3 Annual audit plan 4 6 3 13 9 4 Multiyear investment plan 4 3 1 8 8 5 Budget by management area 11 7 3 21 17
1 Municipal cadastre ordinance 0 0 3 3 3 2 Update of business registry 0 0 3 3 3 3 Update of personal property registry 1 0 3 4 3 4 Automation of cadastre, billing, and collections 1 3 0 4 1 5 Purging and reconciliation of current accounts 1 0 3 4 4 6 Collection and delinquency recovery policies 1 0 3 4 4 Application of normal, administrative, and judicial 7 collections 1 1 3 5 4 8 Cost and income study for services 0 0 3 3 4 9 Study of alternatives for fee reform 0 0 1 1 1 10 Reform of fee-for-services ordinance 4 3 1 8 6
1 Organizational and functions manual 1 0 3 4 6 2 Job descriptions 4 0 3 7 5 Procedures manual – registry and control of 3 personal property 4 0 3 7 7 Procedures manual – registry and control of 4 businesses 4 0 3 7 7 Procedures manual – Institutional Unit for Procurement and Contracting (UACI) internal 5 control and treasury 6 7 3 16 16 6 Introduction of double-entry accounting system 8 7 3 18 17 7 Internal work rules 0 0 0 0 2
Appendix A 2c – page 1
Appendix B Services Indicators (Municipal Strengthening Component) APPENDIX B 1
Steps in the Decentralization of Potable Water Services
Presentation of Diagnostic of Management Selection of the Development Election of Publication of the Decentralization the System Alternatives Management of Statutes or Board of Statutes in the Official Pilot Plan Alternative Public Deed Directors Registry or Inscription and Legalization of the Society
Technical- Economic Feasibility Municipal Council and Users Study
Preparation and Office Setup Training and Development of the Preparation of Admini- Signing of the Installation of the Strategic Operating strative and Accounting Operation Agreement of Automated Billing Plan and Annual Procedures Manual; Delegation System (SASA) Budget Adjustments in Organization, Functions, Performance indicators
§ Selection and hiring of personnel § Rental of office space ANDA § Purchase of furniture and equipment § User database RTI/Other § Organization manual and Contractor job descriptions ANDA/RTI/ Other Appendix B 1 – page 1 contractor APPENDIX B 2a TETRALOGIA, S.E.M. de C.V.: Operating Results (US$)
INCOME COSTS
% SERVICE DELINQUENT NEW OTHER TOTAL % ADMINISTRATION OPERATION OTHER % INCREASE MONTH USERS INCREASE BILLING PAYMENTS PAYMENT CONNECCTIONS INCOME INCOME INCREASE COSTS COSTS COSTS TOTAL COSTS Nov-99 3,560 22,640.10 17,110 4,064 2,126 0 23,299 Dec-99 3,454 -3% 20,054.26 18,392 956 3,676 130 23,154 -1% 18,208 2,129 94 20,431 Jan-00 3,541 -1% 22,289.47 19,066 458 14,153 304 33,981 46% 5,291 9,980 101 15,372 -25% Feb-00 4,010 13% 22,789.45 23,833 264 5,145 436 29,678 27% 7,743 12,866 109 20,718 1% Mar-00 4,156 17% 23,368.24 20,605 748 2,917 612 24,881 7% 7,801 9,728 190 17,719 -13% Apr-00 4,174 17% 22,022.04 21,902 1,352 4,153 151 27,557 18% 7,464 9,733 227 17,424 -15% May-00 4,271 20% 37,173.27 29,439 2,169 5,266 568 37,441 61% 16,154 13,216 -43 29,327 44% Jun-00 4,363 23% 34,560.12 29,898 2,826 8,275 290 41,289 77% 15,202 13,383 289 28,873 41% Jul-00 4,418 24% 36,719.18 33,921 2,955 8,115 226 45,218 94% 11,785 21,106 110 33,001 62% Aug-00 4,508 27% 36,291.03 32,356 2,882 10,443 179 45,860 97% 8,941 14,437 112 23,490 15% Sep-00 4,501 26% 35,286.05 31,157 3,893 5,006 241 40,297 73% 14,294 14,965 113 29,373 44% Oct-00 4,614 30% 31,318.97 28,203 3,495 3,634 748 36,080 55% 8,543 16,570 117 25,230 23% Nov-00 4,674 31% 25,702.74 22,611 7,988 8,295 71 38,965 67% 12,072 17,097 113 29,282 43% Dec-00 4,757 34% 27,621.84 22,451 9,718 6,503 204 38,876 67% 33,105 41,379 97 74,581 265% Jan-01 4,799 35% 32,131.02 27,155 3,651 1,012 184 32,001 37% 11,180 52,983 1,714 65,876 222% Feb-01 4,779 34% 27,179.00 25,734 2,865 3,134 1,532 33,264 43% 11,219 32,081 2,339 45,639 123% Mar-01 4,813 35% 27,844.69 23,465 3,604 3,014 1,975 32,059 38% 11,470 44,816 2,376 58,662 187% Apr-01 4,842 36% 29,621.00 27,299 3,646 3,970 1,572 36,486 57% 10,719 37,549 2,584 50,852 149% May-01 4,866 37% 29,119.48 23,533 3,173 2,068 2,116 30,890 33% 9,696 29,159 2,549 41,404 103% Jun-01 4,897 38% 29,086.79 25,200 2,875 2,233 951 31,259 34% 12,340 25,631 2,181 40,152 97% Jul-01 4,905 38% 27,786.00 24,829 3,860 1,900 944 31,532 35% 21,057 40,133 5,238 66,427 225% Aug-01 4,922 38% 29,612.42 26,248 2,877 5,309 1,018 35,451 52% 10,407 39,161 2,041 51,609 153% Sep-01 4,935 39% 27,611.00 23,929 4,886 9,827 405 39,046 68% 13,051 31,184 2,694 46,928 130% Oct-01 5,099 43% 29,172.00 26,293 3,398 40,310 286 70,288 202% 12,985 30,987 2,597 46,568 128% Nov-01 5,131 44% 28,208.00 26,421 3,003 6,686 356 36,466 57% 13,328 28,754 5,150 47,232 131% Dec-01 5,285 48% 32,462.00 25,733 3,028 42,173 346 71,280 206% 11,894 29,677 3,698 45,269 122% Jan-02 5,307 49% 38,507.26 31,219 2,209 10,933 241 44,602 91% 10,955 172,278 110 183,343 797% Feb-02 5,326 50% 43,404.00 35,295 2,729 9,094 541 47,659 105% 10,382 49,154 71 59,607 192% Mar-02 5,358 51% 42,072.00 34,908 3,756 7,282 338 46,285 99% 7,274 45,606 124 53,004 159% Abr-02 5,393 51% 41,344.00 32,930 495 9,040 3,176 45,640 96% 18,258 44,909 195 63,362 210% May-02 5,416 52% 42,201.00 42,188 450 6,136 2,386 51,161 120% 11,215 42,053 131 53,399 161% Jun-02 5,448 53% 38,623.00 34,502 4,558 7,404 502 46,966 102% 8,605 41,018 210 49,832 144% Jul-02 5,417 52% 39,959.00 33,955 4,183 15,131 559 53,827 131% 8,593 60,161 152 68,906 237% Aug-02 5,441 53% 39,367.00 8,477 43,224 289 51,991 154%
Source: TETRALOGIA, S.E.M. De C.V. Table Comments § The company has achieved a 52% increase in coverage versus that of ANDA. § Income has increased 131% over the income achieved by ANDA. § The total number of employees is 38, of which 29 are permanent and 9 are contracted. § The cost per M3 billed is $0.43 and the average sale price per M3 is $0.24. Appendix B 2a - page 1 APPENDIX B 2b
Villanueva, SE; de C.V.: Operating Results (US$)
INCOME COSTS OTHERS % ADMINISTRATION OPERATION OTHERS TOTAL % INCOME INCREASE COSTS COSTS COSTS COSTS INCREASE % SERVICE DELINQUENT NEW TOTAL MONTH USERS INCREASE PAYMENTS PAYMENTS CONNECTIONS INCOME Aug-00 347 2,218 288 2,506
Sep-00 347 0% Nd Nd Nd Nd 2,794 11% 1,031 840 0 1,871 Oct-00 347 0% 1,658 317 777 137 2,888 15% Nov-00 367 6% 1,881 1,379 114 60 3,435 37% Dec-00 368 6% 1,831 736 3,286 1,033 6,886 175% 1,842 1,207 0 3,049 Jan-01 368 6% 2,144 568 221 13 2,946 18% 930 226 389 1,545 -49% Feb-01 370 7% 1,913 1,080 486 29 3,508 40% 930 981 988 2,899 -5% Mar-01 372 7% 1,935 852 779 0 3,565 42% 0 -100% Apr-01 373 7% 1,935 792 779 0 3,506 40% 995 2,868 553 4,416 45% May-01 376 8% 2,239 224 356 28 2,847 14% 995 2,771 1,085 4,850 59% Jun-01 380 10% 1,701 1,021 239 40 3,001 20% 2,478 641 198 3,317 9% Jul-01 382 10% 1,920 879 179 26 3,003 20% 2,096 565 541 3,202 5% Aug-01 382 10% 1,815 696 0 116 2,626 5% 2,013 168 150 2,331 -24% Sep-01 383 10% 2,338 211 497 26 3,072 23% 2,367 123 180 2,670 -12% Oct-01 383 10% 1,919 438 5,788 236 8,381 234% 2,295 368 292 2,955 -3% Nov-01 389 12% 2,177 451 139 440 3,207 28% 2,395 459 657 3,511 15% Dec-01 391 13% 2,834 968 1,001 14 4,817 92% 3,367 349 0 3,716 22% Jan-02 391 13% 2,761 1,220 211 50 4,242 69% 2,679 254 639 3,572 17% Feb-02 394 14% 3,030 1,300 297 4 4,631 85% 2,504 168 1,813 4,484 47% Mar-02 396 14% 3,393 1,503 4,923 13 9,832 292% 2,503 773 1,815 5,091 67% Apr-02 396 14% 2,724 1,485 1,513 87 5,809 132% 7,495 148 1,353 8,997 195% May-02 402 16% 2,188 549 138 18 2,893 15% 1,732 306 0 2,038 -33% Jun-02 403 16% 2,302 1,109 656 0 4,067 62% 2,433 154 0 2,587 -15% Jul-02 403 16% 2,452 669 262 0 3,383 35% 2,844 401 0 3,245 6%
Source: Villanueva, SEM de C.V..
§ The company has achieved a 16% increase in coverage versus that of ANDA.
§ Income has increased 35% over the income achieved by ANDA . § The average hours of service is 24 hours per day. § The total number of employees is 7, of which 6 are permanent and 1 are under contract. § The cost per M3 billed is $0.20 and the average sale price per M3 is $0.24.
Appendix B 2b - page 1 APPENDIX B 3b
Municipal Decentralized Potable Water and Wastewater Enterprise, San Isidro, Cabañas (EMASIC): Operating Results (US$)
INCOME COSTS % SERVICE DELINQUENT NEW OTHER TOTAL % ADMINISTRATION OPERATION MAINTENANCE TOTAL MONTH USUARIOS INCREASE PAYMENTS PAYMENTS CONNECTIONS INCOME INCOME INCREASE COSTS COSTS COSTS COSTS Aug-01 339 1,865 53 0 0 1,918 88.55 0.00 0.00 88.55 Sep-01 360 6% 2,061 174 0 52 2,287 19% 77.58 609.70 0.00 687.28 Oct-01 361 6% 2,093 207 0 2 2,302 20% 901.39 219.42 46.52 1,167.33 Nov-01 360 6% 2,029 116 0 2 2,147 12% 1,105.10 271.99 144.25 1,521.34 Dec-01 360 6% 1,950 277 0 0 2,228 16% 2,101.13 0.00 0.00 2,101.13 Jan-02 361 6% 2,112 470 0 66 2,648 38% 2,231.14 236.84 399.70 2,867.68 Feb-02 359 6% 2,090 216 2,364 55 4,725 146% 1,906.96 0.00 578.56 2,485.52 Mar-02 363 7% 2,504 185 0 297 2,986 56% 1,442.10 34.20 154.05 1,630.35 Apr-02 364 7% 2,742 279 1,095 46 4,162 117% 1,689.01 553.98 805.20 3,048.19 May-02 366 8% 2,714 290 548 2 3,554 85% 1,794.84 810.28 364.20 2,969.32 Jun-02 367 8% 2,860 147 1,164 85 4,255 122% 1,901.96 144.56 60.18 2,106.70 Jul-02 369 9% 3,025 2,551 1,164 297 7,037 267% 2,472.52 683.02 17.42 3,172.96 Aug-02 370 9% 2,595 177 0 30 2,802 46% 1,754.26 66.75 5.14 1,826.15 Source: EMASIC § The company has achieved a 9% increase in coverage versus that of ANDA. § Income has increased 46% over the income achieved by ANDA . § The average hours of service is 8 hours per day. § The total number of employees is 4, of which 3 are permanent and 1 are under contract. § The cost per M3 billed is $0.21.
Appendix B 3b - page 1
APPENDIX B 4
Potable Water Association of Ataco-Apaneca (AA ATAP: Operating Results (US$) 1073 INCOME COSTS OTHERS % NEW PAYMENTS INCREASE % SERVICE DELINQUENT CONNECTIONS TOTAL ADMINISTRATION OPERATION MAINTENANCE TOTAL MONTH USERS INCREASE PAYMENTS PAYMENTS PAYMENTS INCOME COSTS COSTS COSTS COSTS
Sep-01 1,274 19% 7,347 0 0 0 7,347
Oct-01 1,296 21% 6,483 0 401 0 6,884 -6%
Nov-01 1,330 24% 6,030 461 710 0 7,201 -2%
Dec-01 1,382 29% 5,817 1,968 816 0 8,601 17% 8,856 2,277 289 11,422
Jan-02 1,410 31% 7,300 2,784 890 0 10,974 49% 1,919 576 172 2,667
Feb-02 1,428 33% 7,113 2,606 418 0 10,137 38% 1,768 576 864 3,208
Mar-02 1,459 36% 7,178 2,305 0 0 9,483 29% 1,688 576 226 2,490
Apr-02 1,483 38% 6,932 2,643 0 0 9,575 30% 2,163 573 495 3,230
May-02 1,501 40% 6,964 1,977 0 0 8,941 22% 1,978 576 212 2,766
Jun-02 1,491 39% 6,946 1,623 0 0 8,569 17% 2,337 576 197 3,110
Source: AA ATAP and ANDA. § The association has achieved a 39% § Income has increased 17%.
Appendix B 4 - page 1
APPENDIX B 3a
Suchitoto Municipal Water and Wastewater Enterprise (EMASA): Operating Results (US$)
IINCOME COSTS OTHER % INCREASE INCOME SERVICE DELINQUENT NEW ADMINISTRATION OPERATION MAINTENANCE MONTH USERS % INCREASE PAYMENTS PAYMENTS CONECTIONS TOTAL INCOME COSTS COSTS COSTS EQUIPMENT TOTAL COSTS
Feb-01 910 4,794 1,085 0 0 5,879 1,579 2,623 0 2,457 6,659
Mar-01 915 1% 4,693 754 1,011 0 6,457 10% 1,579 2,623 0 0 4,202 Apr-01 922 1% 5,244 1,384 1,111 0 7,738 32% 1,143 5,561 200 777 7,681 May-01 928 2% 3,368 3,255 1,405 13 8,041 37% 1,331 4,438 365 0 6,134 Jun-01 943 4% 4,931 1,124 2,368 0 8,423 43% 1,443 5,534 745 1,063 8,784 Jul-01 957 5% 5,644 1,090 2,079 8,813 50% 1,471 7,508 2,304 2,091 13,375 Aug-01 983 8% 5,599 856 4,617 13 11,085 89% 1,462 6,301 940 0 8,704 Sep-01 1,011 11% 4,477 2,421 4,617 442 11,958 103% 2,002 2,315 128 0 4,445 Oct-01 1,028 13% 5,929 1,135 3,196 90 10,350 76% 3,142 1,115 228 1,543 6,028 Nov-01 1,047 15% 5,838 832 4,441 64 11,175 90% 2,654 4,465 1,067 142 8,328 Dec-01 1,055 16% 6,385 1,034 1,304 55 8,778 49% 3,478 738 194 0 4,410 Jan-02 1,061 17% 6,556 1,150 856 42 8,604 46% 3,975 1,150 386 0 5,511 Feb-02 1,079 19% 7,018 897 3,609 41 11,565 97% 2,199 2,100 683 60 5,042 Mar-02 1,089 20% 7,472 1,307 0 0 8,779 49% 3,160 0 1,143 154 4,457 Apr-02 1,092 20% 6,920 1,635 1,704 28 10,287 75% 2,178 0 7,780 0 9,958 May-02 1,099 21% 7,684 906 226 37 8,853 51% 2,438 1,821 0 0 4,259 Jun-02 1,102 21% 5,082 2,830 1,902 97 9,911 69% 2,635 2,174 0 0 4,809 Jul-02 1,107 22% 7,020 1,105 507 28 8,660 47% 2,506 2,600 654 383 6,143 Source: EMASA and ANDA Table Comments § The company has achieved a 22% increase in coverage versus that of ANDA. § Income has increased 47& § In terms of costs, it is costs, it is important to highlight the cost of repairs since this is impacting the improvement of the service. § The company has presented the financial status, work report of first year operations, and investment plan to the Assembly of Users. § The average hours of service is 20 hours per day. § The total number or employees is 5. § The cost per m3 billed is $0.19 Appendix B 3a - page 1 APPENDIX B 5
MDCPP Activities in the Area of Potable Water and Sewerage January 2000 – June 2002
Municipality Activities Carried Out
SANTIAGO DE MARIA, § Drafting of the Manual of Organization, Functions, and Job Descriptions TECAPAN, CALIFORNIA, BERLIN, ALEGRIA Y (January 2000). MERCEDES UMAÑA, DEPT. OF USULUTAN. § Procedure to legalize the company (enrollments and registrations in the TETRALOGIA, SEM de CV different governmental agencies).
§ Drafting of the Accounts Catalogue and Application Manual.
§ Design, training and operation of the billing and collection system.
§ Drafting of the Management Diagnostic and Strategic Plan, 2000-2003, of the company Tetralogía, SEM de CV.
§ Study and financial-administrative audit analysis of the company. Establishment of the market value of private stock and consultation on the process of selling stock.
§ Study of the optimization and control of electric energy consumption of the Tetralogía system.
§ Support for the company’s communication and citizen participation plan (October 2000).
§ Training of the Board of Directors in business management.
§ Training for users in “Constructing a New Culture of Water” through 6 “Student Social Service” projects in the national high schools of Berlín and Santiago de María.
§ Drafting of the terms of reference and bidding for the cadastral update of the potable water and sewerage network of Tetralogía through a geographical information system (GIS) (pending for lack of funds).
§ Coordination with the consortium of the CARE-AGUA Project to avoid redundant efforts and to coordinate activities.
§ Coordination with SALVANATURA in training community leaders on the protection of the watershed, particularly in the zone of water recharging.
§ Promotion of training in Mayors’ Offices and Tetralogía, SEM de CV, and initiation of the training course for users of the San Simón Watershed Committee (Berlín, Alegría, and Mercedes Umaña), “Constructing a New Culture of Water.”
§ Meetings and identification of conflict points in the municipalities of Berlín and Mercedes Umaña for initiating the training process.
Appendix B 5 – page 1 APPENDIX B 5
Municipality Activities Carried Out
SAN JOSE VILLANUEVA, § Signing of the delegation agreement (April 30, 2000). DEPT.OF LA LIBERTAD VILLANUEVA, SEM DE CV § Support for the process of selecting the company’s key personnel (July 2000).
§ Installation of office and contracting of personnel (August 2000).
§ Initiation of operations (August 2000).
§ Interviews with community leaders and key representatives of governmental organizations (GOs) such as the school director, health clinic director, opposition leader, and Catholic parish in order to hear their opinions of the company Villanueva, SEM de CV, and to coordinate trainings (May – June 2000).
§ Assembly of users by neighborhood to hear their opinions on the progress of the company and on their participation in its management, and to present the training plan.
§ Training in the use of the potable water billing system (August 2000).
§ Support for the implementation of the billing system of Villanueva, SEM de CV (August – October 2000).
§ Support for the systematic functioning of the Board of Directors of the company and drafting of the work plan for the company (May – August 2000).
§ Drafting of the Manual of Organization, Functions, and Job Descriptions.
§ Drafting of the Procedures Manual.
§ Training of 25 user-leaders and the Municipal Council in the topic “Constructing a New Culture of Water” (October-November 2000).
§ Training for new members of the Board of Directors in business management.
§ Exchange of experiences between the company Villanueva, SEM de CV, and Tetralogía, SEM de CV.
§ Training for users in “Constructing a New Culture of Water “ (5 days of training) and for the Board of Directors in business management.
§ Continued training of new personnel in the use of the system, adapting the prototype from Tetralogía SEM de CV, and generation of repeat billings for delinquent accounts.
§ Functioning of the company in its new location.
§ Third reading of meters and rebuilding of the database provided by the National Water and Wastewater Administration (ANDA).
§ Carrying out of interviews regarding the company with community leaders and key representatives of government institutions such as the school director,
Appendix B 5 – page 2 APPENDIX B 5
Municipality Activities Carried Out health clinic director, opposition leaders, and Catholic parish to hear their opinions regarding the company and to coordinate efforts for holding user assemblies, training, and selling stock.
§ Support for the Board of Directors in achieving systematic functioning and in drafting a plan to initiate operations. Also support for personnel selection. Training of newly hired employees in use of the potable water billing system (SASA).
TACUBA, DEPT. OF § Presentation of management alternatives in potable water and sewerage AHUACHAPAN EMSAGUAT services to the members of the Municipal Council and directors of the Ad Hoc Commission on Neighborhoods and Boroughs of the municipality.
§ Revision of the draft statutes for creating the decentralized municipal company for potable water and sewerage with the Ad Hoc Commission of Neighborhoods and Burroughs of the municipality.
§ Presentation of the Draft Statutes for Creating the Decentralized Municipal Company for Potable Water and Sewerage to the users of the system.
§ Public assembly directed to the entire general public, with the goal to clarify the campaign in the media led by an opposition group, and thus to obtain support and participation of the users to continue negotiations with ANDA (with legal advising from the National Development Foundation [FUNDE]).
§ Revision of the draft delegation of functions agreement presented by ANDA at the user assemblies. As a result of this, the Mayor’s Office and users completed a process of discussion and approved a counterproposal agreement to be presented to ANDA.
§ Negotiation between ANDA and the municipality of Tacuba to define terms of the delegation agreement.
§ Exchange of experiences between municipality of Tacuba and EMASA (Suchitoto).
SUCHITOTO, DEPT. OF § Service as intermediary between ANDA and the Municipal Council with the goal CUSCATLAN EMASA of presenting the proposal for managing the system and initiating the process.
§ Sharing of draft agreement between ANDA and the municipality for the delegation of service by ANDA.
§ Presentation to the community of a draft agreement on the type of company to be formed, with the objective of obtaining their support and participation in order to continue negotiations with ANDA and create the new company.
§ Dissemination of information to citizens on the negotiations process with ANDA to administer the system and define the type of company to be formed.
§ Formation of a support committee for the decentralization of potable water, composed of leaders proposed by the community and members of the Council,
Appendix B 5 – page 3 APPENDIX B 5
Municipality Activities Carried Out to draft the statutes for creating a company and revising the delegation agreement (January – April 2000).
§ Public consultation for the approval of the statutes and election of the first Board of Directors of the company. The Board would be composed of 7 owner- directors and 3 alternates. The owner-directors would be the President, Vice President, Secretary, Treasurer, and three Representatives. The General Assembly of Users would elect five owner-directors and two substitutes and the Municipal Council of Suchitoto would name two owner-directors and one substitute (May 17, 2000).
§ Election of the leaders representing the community for the Board of Directors (May 2000).
§ Signing of the agreement between ANDA and EMASA (October 6, 2000).
§ Initiation of operations (February 2001).
§ Obtaining of funding for the partial rehabilitation of the distribution network with the Social Investment Fund for Local Development (FISDL), a sum of $68,877.00 from 519-0388 USAID Municipal Development and Citizen Participation Project
§ Contracting of personnel and office setup.
§ Information campaign for users on progress of the company.
§ Installation and training in the billing and collections system.
§ Training for the new members of the Board of Directors in business management.
§ Training of 80 youth from the national high school in “A New Culture of Water.”
§ Drafting of the Manual of Organization, Functions, and Job Descriptions.
§ Drafting of the Procedures Manual.
§ Support for the organization and management of 5 rural systems.
§ Rendering of accounts to the users assembly; presentation of the first annual report, financial statements, and investment projections.
§ Construction and operation of the sewage treatment plant.
SAN ISIDRO, DEPT. OF § Sharing of the alternatives for management and operation of the potable water CABAÑAS EMASIC and sewerage system with community leaders and members of the Municipal Council (September 2000).
§ Agreement on the part of local players in selecting the type: decentralized municipal company with citizen participation (October 2000).
Appendix B 5 – page 4 APPENDIX B 5
Municipality Activities Carried Out
§ Formation of a support committee for the decentralization of potable water, composed of leaders proposed by the community and members of the Council. The committee’s charge: to draft the statutes for creating the company and to revise the delegation agreement.
§ With the support committee for the decentralization of potable water, visit to the San Julián and Suchitoto companies to share experiences (October 31, 2000).
§ Contracting of personnel and office setup.
§ Information campaign for users on the progress of the company.
§ Installation and training in the billing and collections system.
§ Training for new members of the Board of Directors in business management.
§ Training for 75 students of the San Isidro, Cabañas, national high school in “Constructing a New Culture of Water.”
§ Drafting of the Manual of Organization, Functions, and Job Descriptions.
§ Drafting of the Procedures Manual.
§ Rendering of accounts to the assembly of users; presentation of the first annual report and the financial statements.
NUEVA CONCEPCION, § Presentation of the ANDA Decentralization Pilot Plan and sharing of the DEPT. OF CHALATENANGO alternatives for the management and operation of a potable water and EMANC sewerage system with the members of the Municipal Council (May 21, 2001).
§ Exchange of experiences with the EMASA company (May 30, 2001).
§ Sharing of the alternatives for the management and operation of a potable water and sewerage system with community leaders and selection of the management model (August 2001).
§ Formation of a provisional committee to work on the statutes for creating the company.
§ Presentation and approval of the statutes for creating the company at a general assembly of users (October 20, 2001).
§ Election of the Board of Directors of the company (October 27, 2001).
§ Signing of the delegation agreement (April 17, 2002).
§ Contracting of personnel and office setup.
§ Training in the use of the billing and collections system.
ACTIVITIES PENDING as of August, 2002:
Appendix B 5 – page 5 APPENDIX B 5
Municipality Activities Carried Out
§ Startup of operations.
SANTIAGO DE LA § Meeting with Potable Water Board and members of the Municipal Council to FRONTERA, DEPT. OF SANTA ANA share the alternatives for the management and operation of a potable water EMAPSAF and sewerage system (May 24, 2001).
§ Meeting with ANDA, Municipal Council, and Water Board to define the decentralization process (August 31, 2001).
§ Presentation of the ANDA Decentralization Pilot Plan and sharing of alternatives for the management and operation of a potable water and sewerage system with community leaders and members of the Municipal Council (September 22, 2001).
§ Formation of a provisional committee to work on the statutes for creating the company.
§ Presentation and approval of the statutes for creating the company and electing the Board of Directors in a general assembly of users (November 10, 2001).
§ Signing of delegation agreement (April 23, 2002).
§ Training in use of the potable water billing system.
ACTIVITIES PENDING as of August, 2002:
§ Contracting of personnel and office setup.
§ Startup of operations.
COMALAPA, DEPT. OF § Presentation of the ANDA Decentralization Pilot Plan and sharing of the CHALATENANGO EMAPCOM alternatives for the management and operation of a potable water and sewerage system with members of the Municipal Council (July 19, 2001).
§ Presentation of the ANDA Decentralization Pilot Plan and sharing of the alternatives for the management and operation of a potable water and sewerage system with users and members of the Municipal Council (July 28, 2001).
§ Formation of a provisional committee to work on the statutes for creating the company.
§ Drafting of the statutes for creating the company (August 13, 2001).
§ Presentation and approval of the statutes for creating the company and electing the Board of Directors in a general assembly of users (August 13, 2001).
§ Election of the Board of Directors of the company (October 14 and 21, 2001).
§ Signing of the delegation agreement (April 10, 2002).
Appendix B 5 – page 6 APPENDIX B 5
Municipality Activities Carried Out
§ Training in the use of the potable water billing system.
ACTIVITIES PENDING as of August, 2002:
§ Contracting of personnel and office setup.
§ Startup of operations.
ATACO-APANECA, DEPT. § ANDA's Decentralization Pilot Plan Presentation, and Sharing Alternatives for OF AHUACHAPAN AA ATAP Managing and Operating Potable Water and Sewage System with community leaders and Municipal Council Members. This process was not achieved due to a pre-election period, starting it again with new Municipal Councils.
§ Exchange of experiences with the companies EMASA of Suchitoto and TETRALOGIA (August/2000).
§ Agreement from local actors to choose the modality: Partnership of Users with participation of both Municipal Council representatives.
§ Support in the elaboration of the Company’s articles of association draft and their approval by the Assembly of Users.
§ Signing of agreement between ANDA and AA ATAP (04/4/01).
§ Elaboration of Operations Manual, Functions and Job Descriptions.
§ Elaboration of Procedures Manual.
§ Elaboration of Work Plan to strengthen Citizen Participation.
§ Performing Citizen Assemblies regarding company progresses.
§ Beginning of operation 01/07/01.
§ Hiring personnel.
§ Training in the use of Potable Water Invoicing System
CALUCO, DEPT. OF § Training in the use of the potable water billing system. SONSONATE
§ Training of 25 community leaders in “Constructing a New Culture of Water.”
§ Presentation of the ANDA Decentralization Pilot Plan to the mayor.
§ Signing of agreement with ANDA.
TEXISTEPEQUE, DEPT. § Presentation of the ANDA Decentralization Pilot Plan and sharing of the OF SANTA ANA alternatives for the management and operation of a potable water system to the municipality of Texistepeque, so that the Municipal Council and 4 villages would
Appendix B 5 – page 7 APPENDIX B 5
Municipality Activities Carried Out have appropriate criteria to select the management type.
§ Drafting of a fee analysis for the potable water system.
§ Training in the use of the potable water billing system.
TECOLUCA, DEPT. OF § Presentation of the ANDA Decentralization Pilot Plan and sharing of the SAN VICENTE alternatives for the management and operation of a potable water and sewerage system with members of the Municipal Council (April 2, 2002).
§ Exchange of experiences with the company EMASA (April 11, 2002).
§ Sharing of the alternatives for the management and operation of a potable water and sewerage system with community leaders and selection of the management model.
§ Formation of a provisional committee to work on the statutes for creating the company.
§ Presentation and approval of the statutes for creating the company in a general assembly of users (June 9, 2002).
§ Election of the Board of Directors of the company (June 9, 2002).
SAN RAFAEL § Presentation of the ANDA Decentralization Pilot Plan and sharing of the OBRAJUELO, DEPT. OF LA PAZ alternatives for the management and operation of a potable water and sewerage system with members of the Municipal Council (November 28, 2001).
§ Sharing of the alternatives for the management and operation of a potable water and sewerage system with community leaders, and selection of the management model (November 15, 2001).
§ Presentation and approval of the statutes for creating the company in a general assembly of users (January 26, 2002).
§ Election of the Board of Directors of the company (January 26, 2002).
EL ROSARIO, DEPT. OF § Presentation of the ANDA Decentralization Pilot Plan and sharing of LA PAZ alternatives for the management and operation of a potable water and sewerage system with members of the Municipal Council (November 28, 2001).
§ Sharing of the alternatives for the management and operation of a potable water and sewerage system with community leaders, and selection of the management model (November 15, 2001).
§ Presentation and approval of the statutes for creating the company in a general assembly of users.
§ Analysis by ANDA of the systems in neighboring municipalities, and of the benefits of possible investments made with funds from an Inter-American
Appendix B 5 – page 8 APPENDIX B 5
Municipality Activities Carried Out Development Bank loan. Information meeting for the municipalities of San Rafael Obrajuelo, El Rosario, Santiago Nonualco, San Juan Nonualco, San Antonio Masahuat, and San Pedro Masahut, with the objective of encouraging them to form an association.
JUAYUA MICROREGION § Support in the personnel selection process.
§ Training in the use of the potable water billing system.
CAROLINA, DEPT. OF § Presentation of the ANDA Decentralization Pilot Plan and sharing of the SAN MIGUEL alternatives for the management and operation of a potable water and sewerage system with community leaders and members of the Municipal Council (January 22, 2002).
§ Formation of a provisional committee to work on the statutes for creating the company.
§ Drafting of the statutes for creating the company (February 5, 2002).
§ Presentation and approval of the statutes for creating the company and electing the Board of Directors in a general assembly of users.
§ Election of the Board of Directors of the company.
EL CARMEN, DEPT. OF § Presentation of the ANDA Decentralization Pilot Plan and sharing of the LA UNION alternatives for the management and operation of a potable water and sewerage system with community leaders and members of the Municipal Council (November 16 and 20, 2001).
§ Formation of a provisional committee to work on the statutes for creating the company.
§ Drafting of the statutes for creating the company (March 15, 2002).
JOCORO, DEPT. OF § Presentation of the ANDA Decentralization Pilot Plan and sharing of the MORAZAN alternatives for the management and operation of a potable water and sewerage system with community leaders and members of the Municipal Council (November 7, 2001).
OSICALA, DEPT. OF § Presentation of the ANDA Decentralization Pilot Plan and sharing of the MORAZAN alternatives for the management and operation of a potable water and sewerage system with community leaders and members of the Municipal Council (August 9, 2001).
VICTORIA, DEPT. OF § Presentation of the ANDA Decentralization Pilot Plan and sharing of the CABAÑAS alternatives for the management and operation of a potable water and sewerage system with community leaders and members of the Municipal
Appendix B 5 – page 9 APPENDIX B 5
Municipality Activities Carried Out Council (August 16, 2001).
SAN ANTONIO DEL § Presentation of the ANDA Decentralization Pilot Plan and sharing of the MONTE, DEPT. OF SONSONATE alternatives for the management and operation of a potable water and sewerage system with community leaders and members of the Municipal Council (in 10 neighborhoods and boroughs on different dates).
Appendix B 5 – page 10 APPENDIX B 6
Water Companies (operating and in process)
Legend
Departmental boundary Municipal boundary Stage 1 water enterprises Stage 2 water enterprises Stage 3 water enterprises Water enterprises under formation
Appendix B 6 - page 1 APPENDIX B 7
Management of Solid Waste Services
Stages of the process
TECHNICAL ADMINISTRATIVE LEGAL HEALTH AND Design of Solid ENVIRONMENT Waste Collection System § Definition of quantity § Definition of type of § Legal framework § Program of and composition of service and § Review of environmental Waste administration ordinances and mitigation § Analysis of Collection § Determination of updating: § Program of Time and Routes § Efficiencies in use of costs § Ordinance for integrated waste Environmental- human resources and § Acquisition of solid waste management Technical Diagnostic equipment equipment and collection § Design of collection necessary § Ordinance of routes materials service fees
TECHNICAL ADMINISTRATIVE LEGAL HEALTH AND ENVIRONMENT Design of Final Disposal § Site-selection § Purchase of land § Acquisition of deed § Environmental study § Landfill to land application form § Preliminary design management § Environmental § Environmental of sanitary landfill permits impact study § Design of sanitary § Health and § Composting landfill environmental § Construction of operating permits sanitary landfill § Technical closing of dump
All based in citizen participation process through Participatory Strategic Planning (PEP)
Appendix B 7 – page 1 APPENDIX B 8
Investment Costs for Usulután Regional Landfill, Stages I and II
Components Stage Cost ($US) Sanitary Landfill Cell 1 I 400,721.43 Sanitary Landfill Cell 2 II 1,926,318.57 Office and Environmental Education Center II 41,062.14 Selection Center II 97,392.25 Composting Platform II 17,971.90 System for Capture of Biogases I 9,202.14 Perimeter Fence I 27,186.29 Scales I 28,571.43 Platform for Large Waste II 516.86 Recyclable Materials Deposit II 40,973.32 Platform for Dry Waste II 300.06 Treatment Center for leach I 116,342.86 Transport and Collection I 123,885.71 Other I 189,714.29 TOTAL 3,020,159.25
Appendix B 8 – page 1 APPENDIX B 9
MDCPP Solid Waste Activities January 2000 – September 2002
Municipality Activities Carried Out
USULUTÁN, CONCEPCIÓN · Primarily worked with the public-private partnership SOCINUS, SEM de CV, supervising BATRES, the progress of site construction and developing projections related to the solid waste EREGUAYQUÍN, AND collection and disposal project for the new Board of Directors of the company, composed PUERTO EL of the mayors of the municipalities of Usulután, Puerto el Triunfo, Concepción Batres, and TRIUNFO Ereguayquin. · Drafted terms of reference for the bidding process to purchase equipment and construct the first landfill cell. · Drafted technical specifications for equipment: purchase of trucks, purchase of weighting scale, and construction of the first landfill cell. · Supported contracting the minimum personnel required. · Developed Organization and Performance Manual and job descriptions. · Determined management and operating costs of the company. · Supported the evaluation of equipment and construction offers for the first landfill cell. · Validated the solid waste collection routes for the four municipalities. · Supervised the sanitary landfill design. · Calculated the operating capital and the necessary short-term investment for the successful operation of the sanitary landfill, which was presented to the Board of Directors. Alternatives presented to them included increases in capital contributions from current partners and the incorporation of new partners (municipal or private).
CHALCHUAPA MICROREGION · Assessed the waste collection services of the municipalities of Candelaria de la Frontera and San Sebastián Salitrillo. (The ones for Chalchuapa and El Porvenir were already drafted.) · Designed the intermunicipal support commission (2 members for each municipality) to follow up the consultancy on the optimization of the collection and final disposal of solid waste of the microregion. · Identified two sites in Chalchuapa, two in Candelaria de la Frontera, and two in El Porvenir, identifying the best land and location for the sanitary landfill, and advising on the negotiation of the purchase. · Assessed new urban areas that will receive the service in the future; updated plans are ready in four urban areas. · Designed solid waste collection routes in two municipalities.
SONSONATE § Supported the municipality of Sonsonate in drafting the Progress Report of the Collection and Final Disposal of Solid Waste Project for the Technical Committee of the Social Investment Fund for Local Development (FISDL), the Technical Secretariat for External Financing (SETEFE), and the U.S. Agency for International Development (USAID), with the purpose of obtaining a term extension to complete the project.
§ Assisted the municipality in the formal approval process for an environmental permit from the Ministry of Agriculture and Natural Resources.
§ Monitoring of the construction of the sanitary landfill.
Appendix B 9 – page 1 APPENDIX B 9
Municipality Activities Carried Out
§ Because Sonsonate chose to have a private business manage the landfill, the Reference Framework for Private Sector Participation (PSP), produced by RTI for the Association of Municipalities of the Republic of El Salvador (COMURES), was presented at a meeting of the Municipal Council. These steps include the prequalification of businesses, bidding, evaluation, and contracting. However, this process was not followed and we were thus limited to giving technical recommendations regarding the technical offers presented by contractors and regarding the contract model.
§ Developed the technical recommendations for closing the Santa Cruz Tazula sanitary public dump – a prerequisite for the permission to initiate operations of the sanitary landfill.
SAN FRANCISCO § Completed a study of the waste collection services in the municipalities of San Francisco GOTERA Gotera, Jocoro, Chilanga, Lolotiquilo, Cacaopera, Yoloaiquin, Delicias de Concepción, El MICROREGION Divisadero, and San Carlos.
§ Structured the support commission (2 members from the municipality of San Francisco Gotera), which will provide follow-up to the study on optimizing solid waste collection and disposal services of the microregion.
§ Completed a site-selection study for the microregion’s sanitary landfill.
§ Organized a coordination meeting with nongovernmental organizations (NGOs) and donors working in the zone, with the objective of presenting the project’s progress to date and obtaining funds for the following phases: design of the sanitary landfill and construction of the first landfill cell.
SAN ISIDRO § Completed a diagnostic study of the waste collection services in the municipalities of CABAÑAS Sensuntepeque, San Isidro, Victoria, Ilobasco, Jutiapa, San Rafael Cedros, and MICROREGION Cojutepeque.
§ Structured the support committee (1 member from each municipality), which will provide follow-up to the study on optimizing solid waste collection and disposal services of the microregion.
§ Draft of site-selection study for the sanitary landfill of the microregion.
Appendix B 9 – page 2 APPENDIX B 10
Solid Waste Companies (in process)
Legend Departmental boundary Municipal boundary Stage 3 solid waste enterprises
Appendix B 10 – page 1 APPENDIX B 11
MUNICIPALITIES THAT ARE INCLUDED IN THE PROJECT OF MODERNIZATION OF THE FAMILY STATUS REGISTRY
Municipality Modules Implemented Certificates Typed and Checked Birth Marriage Divorce Death Birth Marriage Divorce Death Typed Checked Typed Checked Typed Checked Typed Checked
Municipalities of I Stage: Training and Implementation 04/17/99 1 Cojutepeque X X X X 44,114 33,286 4,938 4,886 272 272 2,583 2,496 2 Olocuilta X X X X 20,317 20,199 313 298 46 46 400 400 Municipalities of II Stage: Training 11/13/1999 3 Suchitoto X X X X 21,259 21,255 572 572 36 36 1,820 1,820 4 Texistepeque X X X X 7,936 7,858 398 356 40 32 298 180 5 Candelaria de la X X X X 13,238 4,491 272 269 35 35 278 278 Frontera 6 Chalchuapa X X X X 18,431 14,278 925 673 81 81 667 667 Municipalities of III Stage: Training 01/01/2000 7 El Porvenir X X X X 8,002 7,9 73 40 39 3 3 108 108 8 Caluco X 3,032 3,032 ** ** ** ** ** ** 9 San Antonio del X X X 8,670 4,863 299 299 20 20 46 46 Monte 10 Concepción Batres X X X X 8,130 7,849 79 79 13 13 111 111 11 Sociedad 4/ ** ** ** ** ** ** ** ** Municipalities of IV Stage: Training 12/13/2000 12 Corinto X X 1,249 899 ** ** 2 2 ** ** 13 Cacaopera4/ ** ** ** ** ** ** ** ** Municipalities of V Stage: Training 01/13/2001 14 Acajutla X 11,277 768 ** ** ** ** ** ** 15 Concepción de X X X 707 705 21 19 4 4 ** ** Ataco 16 Santa Elena X X X X 13,309 13,188 42 42 1 1 38 38
Appendix B 11 – page 1 APPENDIX B 11
MUNICIPALITIES THAT ARE INCLUDED IN THE PROJECT OF MODERNIZATION OF THE FAMILY STATUS REGISTRY
Municipality Modules Implemented Certificates Typed and Checked Birth Marriage Divorce Death Birth Marriage Divorce Death Typed Checked Typed Checked Typed Checked Typed Checked
17 El Tránsito4/ ** ** ** ** ** ** ** ** Municipalities of VI Stage: Training 11/05/2001 18 San Isidro X 4,467 2,837 ** ** ** ** ** ** 19 Nahuizalco4/ 1,933 781 ** ** ** ** ** ** 20 Sonzacate X X X X 7,687 7,587 46 46 6 6 55 55 21 San Francisco X 7,237 7,169 ** ** ** ** ** ** Gotera 22 San Francisco X X X X 14,616 4,052 255 254 182 175 474 474 Menéndez 23 Usulután4/ X 2,605 2,592 ** ** ** ** ** ** 24 Joateca X 673 561 ** ** ** ** ** ** Municipalities of VII Stage: Training 25 San Julián X X X X 1,406 212 122 118 3 3 53 50 26 Berlín1/ X 490 39 ** ** ** ** ** ** 27 San Ignacio1/ X X X X 200 169 15 15 3 3 21 21 28 La Palma1/ X X X 1,099 861 20 15 ** ** 33 33 Municipalities of VIII Stage: Training 29 Meanguera X 1,900 1,900 ** ** ** ** ** ** 30 La Unión X X X X 33,280 1,166 132 3,132 31 Ciudad Delgado ** ** ** ** ** ** ** ** 32 El Carmen 1/ X 2,433 402 ** ** ** ** ** ** 33 San Lorenzo X X X 779 779 4 4 1 1 * * 34 San Martín2/ X X X X 23,400 23,393 1,473 1,455 126 126 2,439 2,427 35 San Miguel 2/ X 2,625 2,351 ** ** ** ** ** **
Appendix B 11 – page 2 APPENDIX B 11
MUNICIPALITIES THAT ARE INCLUDED IN THE PROJECT OF MODERNIZATION OF THE FAMILY STATUS REGISTRY
Municipality Modules Implemented Certificates Typed and Checked Birth Marriage Divorce Death Birth Marriage Divorce Death Typed Checked Typed Checked Typed Checked Typed Checked
36 Guaymango X X X 2,361 516 20 10 ** ** 33 33 37 Chirilagua3/ X X X X 16,969 16,969 54 52 5 5 70 66 38 Sensuntepeque2/ X 49,097 43,111 ** ** ** ** ** ** 39 Aguilares3/ X X X X 20,102 20,089 254 248 38 38 170 169 40 Nejapa X ** ** ** ** ** ** TOTAL 375,030 277,014 11,328 9,749 1,049 902 12,829 9,472
Source = Municipal Records as of August 2002
1/By initiative of the Peace Corps and the Municipalities, training in use of the system was given to volunteers and municipal employees so that they can provide technical support. 2/ This Municipality has financed its training and monitoring with own funds; RTI provided the software. 3/ An agreement was signed between DEMUCA and RTI with the purpose that DEMUCA provide the technical support and RTI provide the software. 4/ Municipalities that have not acquired the computer equipment to carry out the REF implementation.
Appendix B 11 – page 3 APPENDIX B 12
Municipalities Using the Automated Family Status Registry (REF)
Legend Departmental boundary Municipal boundary REF municipalities as of June 2002
Appendix B 12 – page 1 APPENDIX B 13
EVALUATION OF CONSULTING COMPANIES
Experience in Experience in Technicians Experience in administration operating with 5 or more analysis and and systems Ability to assist years of development of 4th- installation of W 95/98/00/ more than 15 Percent Company experience generation languages networks ME and XP municipalities fulfilled New Millennium S.A. de C.V. X X X X X 100 Grupo Barents Limitada X X X X X 100 TransTOOLs de El Salvador S.A. de C.V. X X X X X 100 Asesores en Informática, S.A. de C.V. X X X X X 100 Consultores de Sistemas S.A. de C.V. X X X X X 100
CyTec, S.A. de C.V. ND X X X ND 60 Overall Percent (%) 83 100 100 100 83 93.33
Source = RTI El Salvador and COMURES
Appendix B 13 – page 1
Appendix C Local Democratic Development Component APPENDIX C Component: Local Democratic Development Intermediate Result (IR) 3: Local governments strengthened Sub-IR 3.1: Increased citizen participation in local government Ind. No. 2: Institutionalization of transparency mechanisms Expected Result: Municipal governments implementing transparency mechanisms Group of municipalities based on scores of Basic Criteria Evaluations
Municipalities Receiving Intensive MDCPP Assistance with Transparency Mechanisms Open Informative Citizen Rendering of Council Municipal Consulta- Municipalities Accounts Sessions Councils tions Observations San Francisco Menéndez 3 8 3 Due to an attack on the mayor, activities were not carried out during the first half of 2002. Guaymango 3 16 6 Although initially the Council members were afraid to implement the transparency mechanisms, these were carried out periodically. Candelaria de la Frontera 3 39 16 All of the Council sessions in this municipality are open.
Acajutla 2 Internal problems of the Council prevented the decision to open the Council sessions. San Antonio del Monte 1 24 3 3 After a trial period, the Municipal Council decided to make all of its sessions open. San Julián 1 3 5 1 After the earthquake of January 2001, the Council decided to suspend the open Council sessions. Due to territorial extension, it has been difficult for the citizens to get Suchitoto 3 11 39 to the urban center. Thus, during every 6-month period, the Council moves around to each of the 8 zones, using informational town meetings as a communication mechanism.
Santa Elena 2 19
Concepción Batres 3 18 3
San Isidro 1 8
Sonzacate 1 2 The process facilitated by FUNDAMUNI includes a first initiative of agreement phase among main local actors with the implementation of alternative transparency mechanisms such as Municipal Council San Francisco Gotera weekly meetings held in different communities to inform about the administration and discuss topics of specific interest for the community, substituting like this town meetings, and Open Council Sessions. TOTAL 23 148 75 4
Appendix C – page 1 APPENDIX C
Municipalities Receiving Ad Hoc MDCPP Assistance with Transparency Mechanisms
Open Informative Citizen Rendering of Council Municipal Consulta- Municipalities Accounts Sessions Councils tions Observations Conflict within the Municipal Council made the development of San Pedro Puxtla 2 3 transparency mechanisms difficult. Texistepeque 9 3 The mayor stated that technical assistance was not needed to Chalchuapa 1 develop transparency mechanisms. El Porvenir 1 21 4 2
Sonsonate 2 14 8 It was reported that during the first half of 2002, open council Nahulingo 2 8 4 meetings were attended primarily by members of the Local Development Committee (CDL). El Carmen 8 10 Conflict within the Council made it difficult in general to establish Cojutepeque 1 interactions with MDCPP. Olocuilta 2 5 1 After the earthquake, the open council sessions were suspended Berlín 2 3 9 and have not been reinitiated. The polarization of positions between the Municipal Council and Puerto El Triunfo 2 3 3 the CDL made implementation of the mechanisms difficult. Despite having signed an agreement, the Municipal Council did Usulután not permit transparency work. Despite having signed an agreement, the Municipal Council did El Tránsito 2 9 12 2 not accept work on transparency and citizen participation. The mayor does not believe in transparency mechanisms and the Sociedad 1 Council does not get involved in this type of decision.
TOTAL 15 81 58 5
Appendix C – page 2 APPENDIX C Ind. No. 5: Local funds invested in projects identified in development plans Sub-IR 3.1, Ind. No. 3: Municipalities with development plans Expected Result: Development of participatory strategic planning (PEP) processes Municipalities Receiving Intensive MDCPP Assistance with PEP Work Groups Diagnosis and Immediate Built Public for Building District Strategies for Actions PEP Municipalities Budget Budget Consensus Workshops Competitiveness Program Prepared Observations* San Francisco This process was developed in alliance with the yes yes 4 10 4 yes yes Menéndez SALVANATURA water project. This process was developed in alliance with the Guaymango yes yes 6 15 6 yes yes SALVANATURA water project. Candelaria de la yes yes 7 14 7 yes yes Frontera The Council does not get involved in the PEP Acajutla 4 12 9 yes yes process, thereby limiting integrated development. San Antonio del The neighborhood workshops were carried out yes yes 4 8 6 yes yes Monte during the latter half of 2001. The process was suspended because of the San Julián yes yes 4 19 6 yes yes earthquake and reinitiated in June 2001. The process was initiated in 1998 and is carried out Suchitoto yes yes 7 28 21 yes in three zones, according to the district reorganization. The Council has not adequately led the process, Santa Elena yes yes 1 11 5 yes yes and has made the functioning of the Work Groups conditional on obtaining external seed funds. Concepción This process is carried out in coordination with the yes yes 3 10 9 yes yes Batres System of Consulting and Training for Local Development (SACDEL).
San Isidro yes yes 4 13 8 yes yes To facilitate this process, RTI contracted with the Sonzacate yes yes 4 7 yes yes Salvadoran Foundation for Integrated Support (FUSAI). Work began in September 2001. To facilitate this process, RTI contracted with the San Francisco Foundation of Support to Municipalities of El yes yes 4 18 4 yes yes Gotera Salvador (FUNDAMUNI). Work began in September 2001.** To facilitate this process, RTI contracted with the Nueva San 4 12 National Development Foundation (FUNDE). Work Salvador began in February 2002 and concluded in September. * The Water Project is an effort developed by the consortium CARE, FUNDAMUNI, SACDEL, and SALVANATURA with USAID funds, it focuses on improving water and sanitation services and contemplates within the implementation strategy a first moment of local development participatory planning. In the municipalities of San Francisco Menéndez and Guaymango, we agree with SALVANATURA, who is in charged of developing the "Water Project", and established an agreement to jointly develop the participatory strategic planning and PEP elaboration. **The FUNDAMUNI methodology involves explaining and raising awareness about the participatory process before beginning the territorial and sectoral diagnostic. So far there have been 39 meetings with boards of directors and leaders of 21 housing groups, 3 semiurban neighborhoods, 3 districts, and 5 urban neighborhoods. Participants have averaged about 70% men and 30% women.
Appendix C – page 3 APPENDIX C Municipalities Receiving Ad Hoc MDCPP Assistance with PEP*
Work Groups District Diagnosis and Immediate Built Public for Building Work- Strategies for Actions Municipalities Budget Budget Consensus shops Competitiveness Program Observations The Municipal Council indicated that there is a total San Pedro Puxtla distancing from the CODEPUXTLA for which it has not become involved in the process. Texistepeque yes yes The mayor indicated that the participatory budget will Chalchuapa yes be prepared with assistance from the Guillermo Manuel Ungo Foundation (FUNDAUNGO). The mayor indicated that he will solicit assistance from El Porvenir RTI to develop a shared budget. The mayor did not request technical assistance. Sonsonate The participatory budget is being prepared by the Nahulingo yes Municipal Council and CDL, taking into account the priorities identified by citizens. The municipality is preparing the participatory budget El Carmen yes with assistance from the Center for Training and Promotion of Democracy (CECADE), contracted by RTI. Cojutepeque The municipality is preparing the participatory budget Olocuilta yes with assistance from the Judicial Studies Institute of El Salvador (IEJES), contracted by RTI. Berlín The PEP process is led by SALVANATURA through the water project. The municipality is preparing the participatory budget Puerto el Triunfo yes with assistance from IEJES, contracted by RTI. The PEP process is led by SACDEL through the water project. Usulután The PEP process is led by SACDEL and FUNDAMUNI through the water project. El Tránsito Sociedad The mayor does not allow; the budget is prepared internally in the Mayor’s Office.
TOTAL 6 1 *In these municipalities, RTI opted not to facilitate the full PEP process, based on the evaluation of international consultant Gonzalo Darquea, which indicated less favorable conditions for development of PEP. Therefore, the columns for the corresponding PEP activities (some of which are being facilitated by RTI-contracted local NGOs, as indicated) are blank.
Appendix C – page 4 APPENDIX C Status of Participatory Strategic Planning and Baselines in the MDCPP Municipalities MDCPP consultants Gonzalo Darquea and Arturo Urrutia, together with FISDL consulting group, developed a measuring tool that allows progress measuring in municipal development participatory processes institutionalization, based on 6 basic criteria with their corresponding indicators, verification measures, and weighting that allows quantifying criteria, defining base line, and progress. (Page 5 Attachment C)
Municipality Type and Status of the Planning Instrument PEP Date Score Date Score Date Score Start B.C. B.C. B.C. date Candelaria de la § Participatory Strategic Plan (2002-2006) publicly Nov. March Feb. July Frontera presented in February 2002. 2000 2001 5.8 2002 8.0 2002 8.2 San Francisco § Participatory Strategic Plan (2002-2006) publicly Dec. Febr. Feb. July Menéndez presented in February 2002. 2001 2001 4.3 2002 7.1 2002 6.1 Guaymango § Participatory Strategic Plan (2002-2006) publicly Dec. March Feb. July presented in February 2002. 2000 2001 3.1 2002 6.0 2002 7.0 San Julián § Participatory Strategic Plan (2002-2006) publicly Jan May Feb. July presented in February 2002. 2001 2001 3.6 2002 6.2 2002 5.8 Acajutla § Participatory Strategic Plan (2002-2006) publicly Oct. Sept. Feb. July presented in April 2002. 2000 2000 4.9 2002 6.9 2002 7.6 San Antonio del § Participatory Strategic Plan (2002-2006) publicly Oct. Sept. Feb. July Monte presented in February 2002. 2000 2000 5.1 2002 8.6 2002 8.9 § Participatory Strategic Plan (2002-2006), facilitated by Sept. Oct. 4.3 May 6.3 July 6.3 Sonzacate FUSAI, publicly presented in July 2002 2001 2001 2002 2002 § This municipality initiated the participatory strategic planning process in 1994; with support from GTZ it Suchitoto executed the Plan, which is updated annually. Suchitoto Dec. Nov Feb. July solicited RTI assistance to execute Zonal Plans, in 2000 2000 6.8 2002 7.9 2002 7.5 accordance with the requirements of the general Plan. § Participatory Strategic Plan (2002-2006) publicly May May Feb. July San Isidro presented in June 2002. 2001 2001 3.5 2002 6.6 2002 6.6 § Participatory Strategic Plan (2002-2006) publicly Nov. Nov. Feb. July Santa Elena presented in February 2002. 2000 2000 5.4 2002 8.1 2002 7.4 Concepción § Participatory Strategic Plan (2002-2006) publicly Nov. Nov. Feb. July Batres presented in February 2002. 2000 2000 6.6 2002 8.5 2002 8.5 § Participatory Strategic Plan (2002-2006), San Francisco facilitated by FUNDAMUNI, publicly presented in August August 3.2 May 7.2 July 7.2 Gotera July 2002. 2001 2001 2002 2002 Nueva San The Participatory Strategic Plan is being developed Feb. Feb. 5.5 Salvador with assistance from RTI/FUNDE; it is expected to be 202 2002 presented publicly in October 2002.
Appendix C – page 5 APPENDIX C Status of Participatory Planning and Baselines in Municipalities with no PEP
Basic Criteria: Baseline Municipality Type and Status of the Planning Instrument Date* Average El Porvenir Has a participatory development plan, updated in December 2001. June 2001 4.8 Chalchuapa Participatory development plan was prepared in 1998 and updated each year until 2000. June 2001 1.4 According to the Social Projection Department, a new plan is being carried out. Texistepeque Has a participatory development plan, updated in December 2001. June 2001 3.6 San Pedro Puxtla Has a participatory development plan, implemented with assistance from SALVANATURA June 2001 3.5 through the water project, under the auspices of USAID. Sonsonate With assistance from FUNDE, a participatory development plan was carried out during the first June 2001 4.2 half of 2001; currently follow-up is being given to this plan. Nahulingo A participatory strategic plan was implemented with assistance from the Cooperative Housing June 2001 4.2 Foundation (CHF) in 1998; this plan was updated in December 2001. El Carmen The participatory plan prepared in 1998 was fully implemented. Currently El Carmen is in the June 2001 2.38 process of preparing a PEP with funds from PATDEL. Cojutepeque The PEP process has been carried out annually. Currently the municipality is in the process of June 2001 2.24 developing a PEP with funds from PATDEL. Olocuilta A participatory development plan was implemented with assistance from SACDEL in 1998. It June 2001 5.78 has been updated periodically. Berlín Has a participatory development plan, prepared with assistance from SALVANATURA within the June 2001 3 water project, under the auspices of USAID. Puerto el Triunfo Has a participatory development plan, carried out with assistance from SALVANATURA within June 2001 3.7 the water project, under the auspices of USAID.
Usulután Within Project Water, SACDEL assists the southern area of the municipality and FUNDAMUNI the north. Participatory plans have been developed in both zones although they have not been unified into one municipal plan. El Tránsito A development plan was prepared with assistance from the Association of Municipalities of the June 2001 3.3 Republic of El Salvador (COMURES) and United Nations Children’s Fund (UNICEF). They report updating with assistance from FISDL. Sociedad A development plan was prepared in 1999. The follow-up to the plan has had serious limitations June 2001 2.6 since the municipality has committed its Fund for Social Development (FODES) transfer funds to financing an electrification project. Furthermore, the municipal government elected in 2000 has not followed up. *These baselines were obtained by applying the preliminary instrument proposed by Gonzalo Darquea, since at the time the final instrument, later completed by Arturo Urrutia and approved by the FISDL Advisory Group, did not yet exist.
Appendix C – page 6 APPENDIX C Sub-IR 3.1: Increased citizen participation in local government Ind. No. 2: Local Development Committee (CDL) and other representatives of the civil society participating Expected Result: Instances of citizen participation strengthened and residents participating in the processes of development of their municipalities. Municipalities Receiving Intensive MDCPP Assistance with CDL Strengthening Strengthening of CDL CDL Zonal Municipalities Representation Training Work Plan Organization Observations San Francisco Representation in the CDL was strengthened with the Menéndez yes participation of the presidents of the Work Groups for Building Consensus. Guaymango 2 yes Candelaria de la 1 yes The committee is involved in developing the participatory Frontera strategic planning process. The CDL is not representative and has not allowed the Acajutla 2 participation of new members. This attitude seems to be reinforced by the Council. The CDL Board of Directors participated in the general San Antonio del Regular prioritization of projects during preparation of the 2002 3 meetings (every Monte budget . The budget and priorities were publicized to all of 2 weeks) its members at the CDL General Assembly (all members) The CDL continúes working, despite a certain distancing San Julián 1 from the local government due to internal differences on the Council (multiple political parties). Support to 6 workshops on the follow-up of Restructuring of Suchitoto role of the boards and Zonal Board two Zonal Boards ADESCOs workplans The MDCPP led a workshop on preparing project profiles Santa Elena 3 yes and establishing citizen financial watchdog groups. The CDL is very passive. Concepción 4 The MDCPP led a workshop on preparing project profiles Batres and establishing citizen financial watchdog groups. The CDL has both cross- San Isidro district and cross-sectoral 10 yes representation The CDL has both cross- Due to the limited time available to the CDL members, the Sonzacate district and cross-sectoral 5 yes 9 training modules of the citizen participation component representation were given during 5 workshops of 8 hours each. San Francisco The CDL has both cross- 8 yes Gotera district and cross-sectoral representation In accordance with a solicitation from the mayor, RTI and Nueva San The CDL is still being FUNDE will support the commission in charge of proposing a new ordinance on the CDL’s formation. The Salvador formed municipality assumes through the technical staff or institutional worktable. Mayor's commitment.
Appendix C – page 7 APPENDIX C Municipalities Receiving Ad Hoc MDCPP Assistance with CDL Strengthening
Strengthening of CDL CDL Zonal Municipality Representation Trainings Work Plan Organization Observations Texistepeque A new Board of yes The Texistepeque CDL continues to be active and is Directors was elected, working in coordination with the Municipal Council. in agreement with internal regulations Chalchuapa The CDL is not functioning, and the Social Projection Department does not give any follow-up. After the election of the Board of Directors in December 2000, the Municipal Council demonstrated no will or inclination to coordinate actions with the CDL. El Porvenir The CDL continues to function but with many limitations and weaknesses. Sonsonate Nahulingo A new Board of yes The CDL continues to be active and is working in Directors was elected, coordination with the Municipal Council. in agreement with internal regulations El Carmen The representatively The Municipal Association for Development and of the organization Reconstruction has technical assistance from a Peace have been Corps volunteer located in El Carmen. strengthened Cojutepeque Olocuilta Strengthening was Yes The Olocuilta CDL is representative, has organized a achieved through the (meetings Youth CDL, and maintains a close working relationship integration of youth every 2 with the Municipal Council. weeks) Berlín The water project is being developed. Puerto El Triunfo The Council states that they perceive the CDL is overcoming its position of initial contradictions but still has not established coordination. Usulután The water project is being developed. El Tránsito Sociedad
Appendix C – page 8 APPENDIX C ACTIVITIES CARRIED OUT BUT NOT PROGRAMMED IN THE WORK PLAN
Sub-IR 3.1: Increased citizen participation in local government Ind. No. 2: Institutionalization of transparency mechanisms Expected Result: Integration of citizen financial watchdog committees
Municipalities Assisted in Developing Citizen Financial Watchdog Committees Meetings and Approval of Workshops to Ordinance Review for Financial Election and Committee Proposed Watchdog Training of Work Plan Municipality Ordinance Committee Committee Prepared Observations San Antonio del Monte 3 yes yes yes This activity was coordinated with Creative Santa Elena 3 yes yes yes Associates International of El Salvador (CREA Concepción Batres International) and with FUNDAMUNI. In the three municipalities, projects were selected to be 3 yes yes yes implemented under the 2002 budget and the committees were assigned monitoring responsibilities for each stage of these projects.
Sub-IR 3.1: Increased citizen participation in local government Ind. No. 3: Municipalities with development plans Expected Result: Preparation of a citizen security plan in Candelaria de la Frontera
Municipality Assisted in Preparing a Citizen Security Plan Diagnostic on Perceptions and Strengthening of Statistics of Validation and Intersectoral Construction of Systematization of Citizen Security Socialization of Work Group on Triennial Citizen Information Municipality and Violence the Diagnosis Citizen Security Security Plan Generated Observations This effort responded to a need identified in the PEP, for which Candelaria de la RTI contracted with yes yes yes yes yes Frontera the Canadian Center of Studies and International Cooperation (CECI).
Appendix C – page 9 APPENDIX C Sub-IR 3.1: Increased citizen participation in local government Ind. No. 2: CDL and other representatives of the civil society participating Expected Result: Community organizations carrying out actions to prevent violence and delinquency
Municipalities Receiving MDCPP Support in Cooperation with the Violence and Delinquency Prevention Project of the National Public Security Council (CNSP)
Results Maps design and elaboration of Community Social infrastructure social Organizations works construction infrastructure Involved in the administered by the works identified by Municipalities RTI Support Project community the communities Sonsonate · Strengthened the community organization for the 5 3 2 San Antonio del development of the sports, cultural, and neighborhood 3 1 Monte organization components; coordinated with the Mayors’ Cuscatancingo Offices and the CNSP. 3 1 2 Aguilares 2 · Designed social infrastructure works necessary to prevent violence and delinquency, as identified by the community organizations. San Salvador · Guided the team responsible for strengthening the 12 1 3 (Districts 1, 5, & 6) community organization for the development of the sport, Soyapango culture, and neighborhood organization components; 16 8 Ilopango coordinated with the Mayors’ Offices and the CNSP. 8 2 1 Quezaltepeque 7 6 1 San Martín · Designed social infrastructure works necessary to prevent 3 2 Mejicanos violence and delinquency, as identified by the community 13 6 Nueva San Salvador organizations. 4 1 Cantón Lourdes, 2 2 Colón Antiguo Cuscatlán 4 4 Izalco · Designed social infrastructure works necessary to prevent 3 La Unión violence and delinquency, as identified by the community organizations. TOTAL 82 29 20 * This social infrastructure is referred to lightening and/or construction of sports and recreational infrastructure.
Appendix C – page 10
Appendix D Publications Models
APPENDIX D
MDCPP Publications Models January 2000 – September 2002
Publication Date
Model of Manual of Organization and Functions and Job Descriptions March 2000
Municipalism (Module 6) April, 2000
Municipal Budgets (Module 7) April 2000
Local Development and Women´s Participation (Module 8) April 2000
Decentralization (Module 9) April 2000
Manual for the Application of Basic Criteria February 2002
Appendix D – page 1
Appendix E Final Provisional Budget
Appendix F Consultants / Contractors APPENDIX F
LONG-TERM LOCAL CONSULTANTS
No. CONSULTANT ACTIVITY DATE 1 Manuel Vásquez Inter-institutional Advisor COMURES- Jan 1, 2000-Jul 31, 2001 RTI 2 Carlos Eduardo Meléndez Coordination of Activities related to Jan 3 – Jun 30, 2000 Water and Solid Waste
Operations manual and maintenance May 2-Nov 28, 2000 of the Sanitary Landfill in Usulután Feb 1-Feb28, 2001
Decentralization System of Services, March 1-Jul 31, 2001 under supervision of COMURES. 3 Rosa Margarita Valiente Participatory process and local Jan 17, 2000-Dec 31,2001 Alvarez initiatives of delinquency prevention. 4 Ondina Castillo Participatory process and local Jan 17 – Jul 17, 2000 initiatives of delinquency prevention 5 Donal Bryan Training program to elected Majors in Feb 14 – March 19, 2000 2000
Elaboration of the Water Policy Mar 13-May 10, 2000 6 Celso Aparicio Costs and Income Studies by Mar 9–Oct 3, 2000 Municipal Service
Study of alternatives and ordinance Sept 18, 2000-Jun 29, 2001 reform of fees for public services. 7 Ana Patricia Martínez Budgets per Areas of Implementation; Mar 9–Jun 19, 2000 Costs and Income Studies by Aug 25, 2000-Jul 24, 2001 Municipal Service; Collection Policies, Oct 15, 2001-Jun 25, 2002 and Delinquency Recuperation. 8 Titomario Quintanilla Collection, classification and Jan 24, 2000–Jun 30, 2002 processing of municipal financial information. 9 José Rubén Castro Góchez Implementation of the Automated Mar 22 – Jul 22, 2000 Program of official land registry, Sept 8, 2000-Dec 31, 2001 Invoicing, and Collection. Feb 1-Oct 4, 2001 Feb 12-March 30, 2002 Monitoring of the Family Status Jun 5-Aug 31, 2002 Registry Automated System. 10 Rutilia Alvarez Hernández Advisor in Citizen Participation Mar 30–April 27, 2000 Jul 1-Sept 30, 2000 Oct 1-Dec 31, 2000 11 Rosario de Fátima Mejía Advisor in Citizen Participation Mar 30–April 27, 2000 Pineda Jul 1-Dec 31, 2000 12 Aracely Polanco Advisor in Citizen Participation Mar 30–April 27, 2000 Jul 1- Dec 31, 2000 13 Leticia Bonilla Advisor in Citizen Participation Mar 30–April 27, 2000 Jul 1-Dec 31, 2000 14 Oscar Ortiz Advisor in Citizen Participation Mar 30 – April 27, 2000 Jul 1-Dec 31, 2000 15 Ana Patricia Silva Facilitation of Citizen Participation May 8, 2000-May 31, 2002 Processes in Basic Services 16 Moyra Cruz Zaldivar Advisor in Citizen Participation Jul 1-Dec 31, 2000 Mar 1-Jun 30, 2002
Appendix F - page 1 APPENDIX F
No. CONSULTANT ACTIVITY DATE 17 Doris Acosta de Rodríguez Advisor in Citizen Participation Jul 1-Dec 31, 2000 18 Cecilia Patricia Villalta Participatory processes and local Jul 24, 2000-Dec 31, 2001 initiatives of delinquency prevention. 19 Luis Enrique Salmerón Diagnosis, supervision, and follow-up Aug 7, 2000-Dec 31, 2001 of sports infrastructure works related to social prevention of delinquency. 20 Lyssette Velásquez de Elaboration of Municipal Diagnosis; Jul 1-Dec 31, 2000 Romero Costs and Income Studies by Jan 8-Jun 30, 2001 Municipal Services ; and cadastral Jul 23, 2001-May 15, 2002 supervision. 21 Carmen Yolanda de Advisor in Citizen Participation Sept 1-Dec 31, 2000 Hernández 22 Erick García Cortez Supervision of Final Collection and Mar 1-Dec 31, 2001 Disposition of Solid Waste Projects. 23 Danilo Padilla Inter-institutional Advisor COMURES- Mar 1, 2001-Jun 30, 2002 RTI.
Appendix F - page 2 APPENDIX F
LONG-TERM FOREIGN CONSULTANTS
No. CONSULTANT ACTIVITY DATE 1 Luis Romero Barquero Implementation of the Automated Jan 3 – May 31, 2000 Family Status Registry; Invoicing Jun 1-Jul1, 2000 System of Water Service; Municipal Sept 29-Oct 14, 2000 Orientator System; Management and Jul 7-Sept 10, 2000 Budgeting System.
Evaluation of the Information Nov 13-Dec 19, 2000 Technology System of the Social Jan 13-April 12, 2001 Investment Fund for Local May 19-Aug 12, 2001 Development (FISDL). Sept 3, 2001-Jan 31, 2002
Diagnosis and Implementation of the Municipal Financial Administration System (SAFIMU II). 2 Luis Ariel Romero Valdelomar Implementation and training on Jan 3 – May 3, 2000 Automated System of Family Status Aug 21-Sept 9, 2000 Registry. Oct 3-Dec 19, 2000 Jan 2-Feb 20, 2001 Implementation and training on the April 23-May 12, 2001 Invoicing System of Water Service in Aug 10-Oct 20, 2001 Decentralized Companies.. Jan 7-Jul 10, 2002
3 Agustín Solera Viquez Assessment of the Information Jul 17-Sept 9, 2000 Technology Strategy of the Social Nov 22, 2000-April 12, 2001 Investment Fund for Local Jun 25, 2001- Jan 31, 2002 Development.
Diagnosis and Implementation of the Municipal Financial Administration System (SAFIMU II).
Appendix F - page 3 APPENDIX F
SHORT TERM LOCAL CONSULTANTS
No. CONSULTANT ACTIVITY DATE 1 Cinthia Montes Salinas Notarial services for the company Jan 15–Mar 21, 2000 ex- employees of ANDA 2 Mélida Herrador Saz Consultant of Municipal Mar 9–May 19, 2000 Strengthening 3 Carlos Flores Consultant of Municipal Mar 9–May 22, 2000 Strengthening 4 Carlos Humberto Rodríguez Identification of Management Models Jan 27–May 8, 2000 of Potable Water Services and Fees Proposal 5 Pedro Quintanilla Portillo Elaboration of budgets by Nov 27, 2000-Feb 15, 2001 Implementation Area 6 Orlando Rivera Elaboration of budgets by Nov 27, 2000- Feb 23, 2001 Implementation Area 7 Vinicio Arroyo Consultant of Municipal May 21-Jun 22, 2001 Strengthening 8 Cecilia Aparicio de Portillo Elaboration of budgets by Oct 15-Nov 23, 2001 Implementation Area 9 Guillermo Umaña Granados Revision of technical offer for Jan 8-Jan 25, 2002 operation of the sanitary landfill of Feb 1-May 30, 2002 the Municipality of Sonsonate.
Appendix F - page 4 APPENDIX F
SHORT TERM FOREIGN CONSULTANTS
No. CONSULTANT ACTIVITY DATE 1 Arturo Urrutia Aburto Trainings about Basic Criteria for Nov 21-Nov 30, 2000 Participatory Strategic Planning April 16-May 1, 2001 Processes. Aug 8-Aug 21, 2001 Sept 21-Oct 8, 2001 Training about formulation of Social Feb 20-Mar 12, 2002 Development Projects with Logical Jun 9-Jun 16, 2002 Framework methodology.
Elaboration of methodology for Publicizing Local Development Participatory Processes. 2 Raúl Monte Domecq Evaluation of Transparency Dec 10-Dec 12, 2001 Mechanisms and social accounting processes. 3 Mario Rosales Ortega Análisis of the Organizational and May 27-Jun 2, 2001 Management Structure of COMURES. 4 Rey Martin Cedeño Workshop about Safe Alternatives and Feb 21–Feb 25, 2000 Education of Violence. Decisions and Challenges. 5 Gonzalo Darquea Sevilla Definition and training regarding Basic Jul 13-Jul 28, 2000 Criteria and indicators for Participatory Aug 17-Aug 24, 2000 Strategic Planning Processes. Sept 29-Oct 7, 2000 Nov 21-Nov 30, 2000 Definition of Development Plans April 16-April 29, 2001 typology for FISDL. Jun 17-Jun 23, 2001 Sept 9-Setp 15, 2001 Nov 4-Nov 10, 2001 Feb 3-Feb 9, 2002 April 15-April 26, 2002 Jun 9-Jun 16, 2002 6 René Solís Mora Diagnosis and Implementation of the Dec 20, 2000-April 12, 2001 Municipal Financial Administration Jun 25, 2001-Jan 31, 2002 System.
Appendix F - page 5 APPENDIX F
COMPANIES
No. CONSULTANT ACTIVITY DATE 1 L. Chevez Consultores, S.A. FISDL`s simplified management Jan 3 – Feb 15 -2000 de C.V. operational processes.
Strategic Evaluation to Tetralogía, May 2 – Aug 22, 2000 SEM company, and revision of Pilot Project of Decentralization. 2 KPMG Peat Marwick, Mitchell Management and Financial Auditing Jul 10, 2000-May 25, 2001 & Co. of Tetralogía SEM Company. 3 Herrera Alas y Asociados Implementation of the Double Entry Feb 15–Jun 9, 2001 Accounting System in the decentralized company of potable water and sewerage of San Julián. 4 AMBIENTEC, S.A. de C.V. Optimization of Collection and Final Aug 18, 2000-Sept 24, 2001 Disposition of Solid Waste Service of the Micro-region: Chalchuapa, Candelaria de la Frontera, El Porvenir, El Refugio, and San Sebastián Salitrillo.
Technical and Economic Jun 6-Jul 13, 2001 Requirements elaboration for sanitary closing of Santa Cruz Tazulá dump.
Collection and final Disposition of Jan 8-Feb 28, 2002 solid waste Service Optimization and selection of site for locating the Microregion sanitary landfill: San Francisco Gotera, Cacaotera, Lolotiquillo, Chilanga, Yoloaiquín, Delicias de Concepción, Oscicala, San Carlos, El Divisadero, Jocoro, and Sociedad. 5 Asesoría Inmobiliaria de Real State and Enterprises Registry Nov 3, 2000-Jan 21, 2001 Centroamérica, S.A. de C.V. Updating, and Elaboration and (AICASA) Implementation of Control Procedures and Registry in Candelaria de la Frontera Municipality. 6 Consultores para el Desarrollo Technical assistance to follow-up Jan 1-Nov 30, 2001 Integral, S.A. de C.V. Citizen Participation Processes and Oct 25, 2001-Jun 30, 2002 (CODEIN) Participative Strategic Planning. 7 Consultora Técnica Workshops Co-moderation within the Jul 12-13, 2001 Administrativa, S.A. de C.V. National Forum of Decentralization (CONSULTAD) in Latin-America.
Workshop facilitation within the Aug 31-Sept 28, 2001 National Forums of Decentralization in El Salvador, organized by the Municipal Affairs Commission of the National Assembly, and the
Appendix F - page 6 APPENDIX F
No. CONSULTANT ACTIVITY DATE Corporation of Municipalities of the Republic of El Salvador.
Consulting Forum Study Cases Feb 1-April 5, 2002 about Decentralization in El Salvador. 8 A & A Desarrollo, Servicios Updating of Property and Nov 3, 2000-Jan 21, 2001 Profesionales, S.A. de C.V. Enterprises Registry, and elaboration and implementation of Control and Registry procedures in the Municipality of San Antonio del Monte. 9 R.A. Auditores Consultores Management-Financial Auditing for Sept 18-Oct 13, 2000 Decentralized Potable Water and Sewage company of San Julián. 10 Servicios Técnicos de Optimization of TETRALOGIA Oct 1, 2000-Sept 20, 2001 Ingeniería, S.A. de C.V. Aqueduct Electric Energy System in (SETISA) the Department of Usulután. 11 ECOTRANS, S.A. de C.V. Collection and final Disposition of Jan 8-Aug 15, 2002 solid waste Service Optimization and selection of site for locating the Microregion sanitary landfill: San Isidro, Sensuntepeque, Ilobasco, Guacotecti, Dolores, and Victoria.
Diagnosis of Collection, May 15-Jun 30, 2002 Transportation and Final Disposition of Solid Waste, Potable water, sewage, and Roads System Services of the Municipality of Nueva San Salvador. 12 Del Valle & Associates, S.A. Production and reproduction of a March 22-April 23, 2002 de C.V. Master CD-ROOM, of all documents elaborated by RTI. 13 Marcable Consultora Banking Financial Arrangements for Dec 5, 2001-Jul 16, 2002 Económica, S.A. de C.V. Multiannual Plan Self-sustaining Projects in the Municipalities of Candelaria de la Frontera, and San Antonio del Monte. 14 CONTEC Consultores Legalization of the Inter.-Municipal Aug 8, 2000-Jul 31, 2002 Partnership of Usulutan by Dual Economy and Variable Capital stocks (SOCINUS)
Management, Economic, and Jan 9-Aug 15, 2002 Financial Assistance for Service Companies.
Legalization of Accounting System Nov 23, 2001-Aug 15, 2002 for Decentralized Water Companies of San Isidro (EMASIC), and Suchitoto (EMASA).
Appendix F - page 7 APPENDIX F
NGOs
No. CONSULTANT ACTIVITY DATE 1 Facultad Latinoamericana de National Forum of Decentralization in Jul 12, 2001 Ciencias Sociales (FLACSO)- Latin America. Ecuador. 2 Fundación Dr. Guillermo Manuel Co-moderation of workshops within the Jul 12-13, 2001 Ungo (FUNDAUNGO) National Forum of Decentralization in Latin America. 3 Instituto Salvadoreño de Elaboration of a Municipal Operation Jan 1, 2001-Feb 21, 2002 Administración Municipal (ISAM) Guide. 4 FUSAI Municipal Strengthening and Jul 10, 2001-Jul 31, 2002 Facilitation of Participatory Strategic Planning Processes at Local Level. y Facilitación de Procesos de.
Evaluation and Assessment of March 11-April 16, 2002 Reconstruction Projects of Major’s Jun 15-Aug 15, 2002 Offices affected by January and February 2001 Earthquakes.
5 Fundación Nacional para el Participatory Planning for Local Jan 3, 2000-Feb 15, 2001 Desarrollo (FUNDE) Development.
Elaboration of Participatory Strategic Jan 24, Jun 20, 2002 Plan for the Municipality of Nueva San Salvador. 6 Fundación de Apoyo a Training and systematization of March 1-May 31, 2000 Municipios de El Salvador educational material for local (FUNDAMUNI) development.
Financial Management Strengthening Sept 8, 2000-Jun 30, 2002 of the Municipalities of Cacaotera, Joateca, Corinto y Sociedad.
Municipal Strengthening and Jul 10, 2001-Jul 15, 2002 Facilitation of Participatory Strategic Planning Processes at Local Level. 7 Fundación Empresarial para el Capacitación en el Área Gerencial a Oct 16, 2000-March 10, Desarrollo Educativo (FEPADE) Empresas de Servicios: Seminario de 2001 Habilidades Gerenciales”. 8 Fundación para el Desarrollo 16 Updating of Companies and Property Nov 3, 2000-April 20, 2001 de Janro (FUNDESA) Registry, and Elaboration and Implementation of Control Procedures and Registry in the Municipalities of Guaymango, and San Pedro Tuxtla. 9 Centro Canadiense de Estudio y Facilitating the Elaboration Process of Nov 1, 2001-May31, 2002 Cooperación Internacional the Municipal Citizen Security Plan in (CECI) Candelaria de la Frontera. 10 Instituto de Estudios JuríDecos Budget Elaboration by Area of Jul 10, 2001- March 31, de El Salvador (IEJES) Implementation in Puerto El Triunfo 2002 and Olocuilta.
Appendix F - page 8 APPENDIX F
No. CONSULTANT ACTIVITY DATE 11 Programa Salvadoreño de Forum Debate about Land Order in El May 15, 2001-Jun 30, Investigación sobre Desarrollo y Salvador. 2002 Medio Ambiente (PRISMA). 12 Centro de Capacitación y Elaboration and Implementation of Jul 10, 2001-Jun 21, 2002 Programación de la Democracia Budget by Areas of Implementation (CECADE). 2002 of Texistepeque, Berlín, and El Carmen; and Implementation of SAFI Accounting System in Texistepeque. 13 Sistema de Asesoría y Elaboration and Implementation of Jul 10, 2001-Jun 26, 2002 Capacitación para el Desarrollo Budget by Areas of Implementation of Local (SACDEL). Santa Elena; Annual Plan of Operations and Implementation of Government Accountability for Concepción Batres, and Santa Elena.
Elaboration of Family Remittance Investment Proposal in Local Development Projects.
Appendix F - page 9
Appendix G Summary of Municipalities Assisted APPENDIX G
Summary of Assistance to MDCPP Municipalities During the Three Project Stages, 1994-2002
STAGE I STAGE II STAGE III 1994-1997 1997-1999 1999-2002 Citizen Citizen Citizen Partic. & Partic. & Partic. & Municipal Potable Municipal Potable Municipal Potable Municipality Finance Water Finance Water REF* Finance Water Solid Waste REF* 1 Acajutla 2 Ereguayquín Mercedes 3 Umaña Puerto El 4 Triunfo 5 San Julián 6 Sonsonate 7 Usulután 8 Caluco 9 Berlín 10 Chalchuapa 11 Cojutepeque 12 Corinto 13 El Carmen 14 El Porvenir 15 Olocuilta San Fco. 16 Menéndez 17 Texistepeque 18 Tecapán 19 Jiquilisco 20 Nejapa Candelaria de 21 la Frontera Concepción 22 Batres 23 El Tránsito 24 Guaymango 25 Nahulingo San Antonio 26 del Monte San Pedro 27 Puxtla 28 Santa Elena 29 Sociedad 30 Suchitoto San Francisco 31 Gotera 32 Sonzacate
Appendix G – page 1 APPENDIX G
STAGE I STAGE II STAGE III 1994-1997 1997-1999 1999-2002 Citizen Citizen Citizen Partic. & Partic. & Partic. & Municipal Potable Municipal Potable Municipal Potable Municipality Finance Water Finance Water REF* Finance Water Solid Waste REF* 33 San Isidro 34 Santa Tecla San José 35 Villanueva Santiago de 36 María 37 Alegría 38 California 39 Tacuba 40 Ataco 41 Apaneca 42 Comalapa Nueva 43 Concepción Santiago de La 44 Frontera 45 El Carmen 46 Carolina 47 Juayua 48 Salcoatitan 49 Nahuizalco San Rafael 50 Obrajuelo 51 El Rosario San Antonio 52 Masahuat San Pedro 53 Masahuat Santiago 54 Nonualco San Juan 55 Nonualco San Sebastian 56 Salitrillo 57 Sensuntepeque 58 Ilobasco 59 Guacotecti 60 Dolores 61 Victoria San Rafael 62 Cedros 63 Cacaopera 64 Lolotiquillo 65 Chilanga
Appendix G – page 2 APPENDIX G
STAGE I STAGE II STAGE III 1994-1997 1997-1999 1999-2002 Citizen Citizen Citizen Partic. & Partic. & Partic. & Municipal Potable Municipal Potable Municipal Potable Municipality Finance Water Finance Water REF* Finance Water Solid Waste REF* 66 Yoloaiquin 67 Delicias 68 San Carlos 69 El Divisadero 70 Jocoro 71 Joateca 72 San Ignacio 73 La Palma 74 San Martín 75 Aguilares 76 Chirilagua 77 La Unión 78 Meanguera Ciudad 79 Delgado 80 San Lorenzo 81 San Miguel
TOTAL 8 3 18 10 2 28 28 27 40
*REF = Family Status Registry.
Appendix G – page 3
Appendix H Training Events APPENDIX H
TRAINING EVENTS
No. OF COST IN No. DATE PLACE NAME OF THE EVENT PARTICIPANTS DOLLARS ($) 1 Jan 10-14, San Salvador Basic concepts of computers 12 2,600.64 2000 management and use of the Automated System of Family Status Registry (El Porvenir, Caluco, San Antonio del Monte, Concepción Batres and Sociedad) 2 Feb 26, 2000 Olocuilta The Municipality a Place for 42 322.14 Gathering 3 Feb 26, 2000 Sonsonate Save Alternatives and Education of 183 4,268.65 Violence. Decisions and Challenges. 4 Feb 27–Mar 1, Cartagena, Evaluation of Private Participation 4 4,190.86 2000 Colombia in the Water and Sanitation Sector in Latin America. 5 Mar 1, 2000 Cojutepeque Lidership 33 445.97
6 Mar 14, 2000 Puerto El Citicen Participation 13 81.00 Triunfo 7 May 10, 2000 San Salvador Management of Solid Wastes 160 2,200.33
8 May 11, 2000 San Salvador Integral Management of Tetralogía 21 372.78
9 May 22-24, San Salvador Invoicing Automated System of the 10 1,403.00 2000 Potable Water Service -SASA (Texistepeque, Caluco, San José Villanueva, Tetraglogía, SEM and ANDA) 10 May 29-30, Managua, Progress and Dificulties of Fiscal 1 577.57 2000 Nicaragua Descentralization in El Salvador, Nicaragua, Costa Rica and Dominican Republic. 11 June 1, 2000 Puerto El Finance Exchange of Experiences 30 242.29 Triunfo between CDL´s of Cojutepeque and Puerto El Triunfo 12 June 3, 2000 San Salvador Strategic Planning 24 388.57 (Compañny- Tetralogía, SEM) 13 June 27-29, Miami VI Inter-American Conference of 1 971.61 2000 Mayors 14 July 5, 2000 San Salvador Induction about municipal services 25 403.68 to Peace Corps volunteers 15 July 31, 2000 Usulután Methodology to Establish Financial 14 309.40 Results of Municipal Services (Puerto El Triunfo, Santa Elena, Concepción Batres and El Tránsito)
Appendix H - page 1 APPENDIX H
16 Aug 1, 2000 Sonsonate Methodology to Establish Financial 20 322.71 Results of Municipal Services (Nahulingo, San Antonio del Monte, Acajutla, Guaymango and San Pedro Tuxtla). 17 Aug 21, 2000 San Salvador Participative Strategic Planning 30 1,044.93 (FUNDAUNGO, COMURES, ISDEM, USAID, Mayors Office of Tecoluca) 18 Aug 27-31, Costa Rica Observation trip regarding 1 1,062.24 2000 Functioning of Real State Tax Law in Costa Rica. 19 Aug 29, 2000 Santiago de Exchange of Experiences of 30 377.15 María Municipal Councils and Municipality Leaders of Ataco and Apaneca with the company Tetralogía, SEM. 20 Sept 9, 2000 Santa Elena Finance Exchange of Experiences 8 132.21 between Municipal Councils of San Pedro Puxtla and Santa Elena. 21 Sept 19, 2000 San Salvador Exchange of Citizen Participation 32 162.30 Experiences of the Municipalities of Texistepeque, Santa Elena, San Julián, and San Salvador. 22 Sept 30, 2000 Acajutla Participatory Processes for Citizen 14 1,089.39 Assembly . 23 Oct 28, Nov 4 San Salvador Management Abilities: Corporate 57 1,271.52 and 11, 2000 Operations, oriented to companies of basic services (provided by FEPADE). 24 Oct 31, 2000 San Julián Exchange of experiences among 8 56.43 decentralized water service companies of San Julián and San Isidro. 25 Nov 4, 2000 San José Building a New Culture about 25 79.32 Villanueva Water (Villanueva SEM company) 26 Nov 4-8, 2000 Chile Observation Trip about Water 2 1,891.70 Systems in SantiAug. 27 Nov 7, 2000 San Salvador International Seminar of Leasing 1 250.31 28 Nov 18, 2000 San José Building a New Culture about 22 79.32 Villanueva Water (Villanueva SEM company) 29 Nov 18, 2000 San Salvador Management Abilities: Company 20 1,271.52 organization, directed to basic services companies (provided by FEPADE). 30 Nov 23, 2000 San Salvador Local Participatory Planning 25 2,099.81 (provided to NGOs) 31 Nov 25, Dec 2 San Salvador Management Abilities: Accounting 42 1,271.52 and 9, 2000 and Finances addressed to companies of basic services (provided by FEPADE).
Appendix H - page 2 APPENDIX H
32 Nov 27, 2000 San Salvador Budget per Working Area (San 14 178.57 Julián, Nahulingo, San Antonio del Monte, and San Francisco Menéndez) 33 Nov, 28, 2000 San Salvador Budget per Working Area (Puerto 21 178.57 El Triunfo, Santa Elena, Concepción Batres, El Tránsito, COMURES, and FUNDAMUNI) 34 Nov, 29, 2000 San Salvador Budget per Working Area 15 163.78 (Candelaria de la Frontera, Suchitoto, Olocuilta, and Cojutepeque) 35 Dec 2, 2000 San José Building a New Culture about 13 79.29 Villanueva Water (Villanueva SEM company) 36 Dec 9, 2000 San José Building a New Culture about 16 79.32 Villanueva Water (Villanueva SEM company) 37 Dec 13, 2000 Alegría Building a New Culture about 16 87.91 Water of the Hydrological Watershed of San Simón River. 38 Dec 14-18, San Salvador Basic concepts of computers 6 901.86 2000 management and use of the Automated System for Family Status Registry (Cacaotera, Corinto, and FUNDAMUNI) 39 Dec 16, 2000 San José Building a New Culture about 17 79.32 Villanueva Water: Water System Fees. (Villanueva, SEM company) 40 Dec 16, 2000 San Salvador Management Abilities: Marketing 20 1,271.52 directed to basic service companies. (provided by FEPADE). 41 Dec 19, 2000 San Salvador Induction to new municipalities for 40 668.01 technical assistance of the Municipal Development and Citizen Participation Project. 42 Dec 20, 2000 Nahulingo Citizen participation processes 24 575.72 (Local Development Committee of Nahulingo) 43 Jan 6, 13 and San Salvador Management Abilities: Quality of 46 1,271.52 Feb 3, 2001 Client Service, directed to basic service companies (impartido por FEPADE) 44 Jan 10-13, San Salvador Conceptos básicos del manejo de 9 1,862.59 2001 computadoras y Utilización del Sistema Automatizado del Sistema del Registro del Estado Familiar (Ataco, Santa Elena, Acajutla, and El Tránsito) 45 Jan 31-Feb 2, San Salvador Invoicing Automated System of 1 827.27 2001 Potable Water– SASA (Suchitoto company)
Appendix H - page 3 APPENDIX H
46 Feb 10 and 17, San Salvador Management Abilities: The role of 21 1,271.52 2001 the Management, addressed to basic services companies (provided by FEPADE). 47 Feb 22-23, San Salvador Local Organization in Disaster 1 54.14 2001 Situation (provided by FUSAL) 48 Mar 2, 2001 Usulután Reforms to Tax Law (empresa 25 252.57 SOCINUS) 49 Mar 8, 2001 San Salvador Exchange of experiences in Citizen 18 73.25 Participation, among RTI consultants and the National Council of Public Safety (CNSP) 50 Mar 8-9, 2001 San Salvador Management Abilities: 29 1,271.52 Administration by values, directed to basic service companies (provided by FEPADE). 51 Mar 10, 2001 San Salvador Management Abilities: Conflict 19 1,271.52 Management and Negotiations, directed to basic service companies. (provided by FEPADE) 52 April 3-6, 2001 San Salvador Double Entry Bookkeeping System 145 3,881.10 (MDCPP municipalities) 53 April 5, 2001 Alegría Work Plan for the Protection and 38 159.29 Mitigation of Risks of the Sub- Watershed of San Simón River 54 April 17-20, San Salvador Formulation of projects through the 57 3,574.86 2001 Logic Framework System. (Majors Office of San Salvador) 55 April 23-24, San Salvador Formulation of projects through the 43 1,472.10 2001 Logic Framework System. (Majors Office of San Salvador) 56 April 26, 2001 San Salvador Participatory Strategic Planning 20 1,173.62 (RTI consultants and advisors) 57 April 27, 2001 San Salvador Participatory Strategic Planning. 17 1,180.82 (Majors Office of San Salvador) 58 May 8-11, 2001 San Salvador Basic concepts of computers 14 2,693.76 management and use of the Automated System of Family Status Registry (Nahuizalco, San Francisco Menéndez, Usulután, Sonzacate, Joateca, San Francisco Gotera, and San Isdiro) 59 May 13, 2001 San Antonio Exchange of Citizen Participation 36 274.91 del Monte Experiences among the Municipalities of Concepción Batres and San Antonio del Monte 60 June 26-28, Miami VII Inter-American Conference of 4 5,810.33 2001 Majors
Appendix H - page 4 APPENDIX H
61 July 26, 2001 San Salvador Exchange of experiences to 9 285.59 strengthen the implementation of SAFIMU II: Municipalitites of Texistepeque, San Francisco Menéndez, Acajutla, San Antonio del Monte, Olocuilta, Suchitoto, and Cojutepeque 62 Aug 8-10, 2001 San Salvador Invoicing Automated System for 14 356.00 Potable Water Service – SASA (EMASIC, AA ATAP, EMDAPC, EMDAPSJ companies) 63 Aug 9, 2001 San Miguel Basic Criteria for Participatory 16 963.10 Processes of Municipal Development (Major’s offices of the east zone) 64 Aug 10, 2001 Chalatenango Participatory processes and their 26 636.57 Methodology of Application (CDA of Chalatenango) 65 Aug 11, 2001 Sonsonate Elaboration of Project Profiles (San 24 848.82 Francisco Menéndez, Guaymango, San Antonio del Monte, San Julián, and Candelaria de la Frontera) 66 Aug 13, 2001 Santa Elena Elaboration of Project Profiles 17 729.00 (Santa Elena and Concepción Batres) 67 Aug 14, 2001 Sonsonete Basic Criteria for Participatory 22 817.26 Processes of Municipal Development (CDA of Sonsonate) 68 Aug 15, 2001 El Carmen Basic Criteria for Participatory 42 653.71 Processes of Municipal Development (CDA of Cuscatlán) 69 Aug 16, 2001 San Luis Basic Criteria for Participatory 39 1,096.91 Talpa Processes of Municipal Development (San Vicente Cabañas and La Paz) 70 Aug 17, 2001 San Salvador Induction about municipal services 15 353.25 to Peace Corps volunteers. 71 Aug 17, 2001 San Salvador Basic Criteria for Participatory 34 808.00 Processes of Municipal Development (CDA of San Salvador) 72 Aug 24, 2001 San Miguel Financial and Administrative 17 569.79 Municipal Resources (San Francisco Gotera and FUNDAMUNI) 73 Aug 28, 2001 San Isidro Financial and Administrative 20 384.80 Municipal Resources 74 Sept 8, 2001 San Andrés Financial and Administrative 25 544.84 Municipal Resources (Sonzacate) 75 Sept 25, 2001 San Salvador Application of Basic Criteria 16 956.34
Appendix H - page 5 APPENDIX H
76 Sept 25-28, San Salvador Basic concepts of computer 10 747.76 2001 management and use of the Family Status Registry System for Peace Corp Volunteers 77 Sept 25-28, Honduras Observation trip to Decentralized 8 2,434.97 2001 Water Companies in Puerto Cortés and San Pedro Sula (Tetralogía, ANDA and RTI) 78 Nov 15, 2001 San Salvador Budget by Area of Implementation 10 187.00 (Sonzacate and FUSAI) 79 Nov 15-16, Guatemala VIII Meeting of the Central 1 466.50 2001 American Network for Decentralization and Municipal Strengthening 80 Jan 17, 2002 San Salvador Processes of Citizen Participation. 20 185.00 81 Feb 5-6, 2002 Santa Tecla Participatory Strategic Planning 34 1,236.00 82 Feb 21, 2002 San Isidro Implementation of Projects 45 81.00
83 Feb 25-26, San Salvador Validation of the Family Status 3 373.96 2002 Registry System 84 March 2, 2002 San Antonio Intercambio de experiencias de 106 475.00 del Monte participación ciudadana entre los Municipios de San Isidro y San Antonio del Monte 85 Mar 4, 2002 San Salvador How to invest family remittances in 12 267.13 Local Development Projects (Candelaria de la Frontera, San Salvador, San Isidro, Ilobasco, Santa Elena, Texistepeque) 86 March 5, 2002 San Salvador Basic Criteria of Local 15 608.00 Development for Participatory Process (FISDL). 87 Mar 8-9, 2002 San Andrés Local and Administrative 14 365.72 Development (Sonzacate) 88 Mar 13, 2002 San Salvador Tax registry and control 12 285.05 (San Isidro, Sonzacate and techinical team from FUNDAMUNI and FUSAI) 89 Mar 14, 2002 Olocuilta How to elaborate contingency 25 111.00 plans 90 Mar 15-16, San Andrés Planification and Budgeting of 14 365.72 2002 Municipal Activity (Sonzacate) 91 Mar 18-21, San Salvador Basic concepts of computers 13 2,650.00 2002 management and use of the Automated System of Family Status Registry (La Unión, Meanguera, Ciudad Delgado, El Carmen, and San Lorenzo) 92 Mar 19, 2002 Santa Tecla Participatory Strategic Planning 10 689.35 93 Mar 22-23, San Andrés Operativity of the Municipal 12 365.72 2002 Administration (Sonzacate)
Appendix H - page 6 APPENDIX H
94 April 4-5, 2002 San Andrés Municipal Projects Investment 17 365.72 Program (Sonzacate) 95 April 11-12, San Andrés Initiative of Human Resources and 17 365.72 2002 Institutional Acquisitions and Contracting Unit in Municipal Administration (Sonzacate) 96 April 13, 2002 San Isidro Communication and Team Work 8 81.00 (water decentralized company of San Isidro- EMASIC). 97 April 17, 2002 San Isidro Advantages of an Organized 36 81.00 Sector and Work Alternatives. 98 April 20, 2002 San Isidro Quality of Customer Service. 21 81.00 99 April 23, 2002 San Salvador Participatory Strategic Planning. 17 618.00 100 April 24, 2002 San Isidro Municipal Budget 28 81.00 (CDL of San Isidro) 101 April 25, 2002 San Salvador Forum: Participatory Strategic 283 5,830.79 Planning: An instrument that provides local governance 102 May 4, 2002 San Isidro Local Development with Gender 30 81.00 Approach (CDL of San Isidro) 103 May 11, 2002 San Isidro Decentralization 22 81.00
104 June 4-15, San Salvador Land Use Plans (provided by the 2 200.00 2002 Central American University José Simeón Cañas) 105 June11-13, Miami VIII Inter-American conference of 2 2,125.40 2002 Mayors 106 June 13, 2002 Santa Tecla Participatory Strategic Planning 17 656.86 107 June 14-15, Santa Tecla Participatory Strategic Planning 22 1,481.29 2002 108 June 24-27, San Salvador Management of the Invoicing 7 1,152.92 2002 Automated System of the Potable Water Service -SASA (Juayúa, SantiAug de la Frontera, Nueva Concepción and Comalapa companies) 109 June 26, 2002 Suchitoto Exchange of experiences of the 10 162.71 education table of San Isidro and Suchitoto CDL
Appendix H - page 7
Appendix I Strategic Objective Indicators Result APPENDIX I
PERFORMANCE DATA TABLES MORE PEOPLE EQUITABLY SERVED BY SELECT DEMOCRATIC PROCESSES
SO APPROVED
SO LEVEL RESULTS:
INDICATOR No.5: 5.1: households in target municipalities receiving selected municipal services (garbage and final disposition.)
UNIT OF MEASURE: number of YEAR PLANNED ACTUAL households served by type of service calendar
Garbage: A: 27,683 Garbage: A: 33,516 SOURCE: municipal cadasters; 1998 Billing data for services rendered Garbage: A: 36,868 Garbage: A: 35,632 1999 B: 5,459 B: 6,091 INDICATOR/DESCRIPTION: Having Garbage: A: 40,555 Garbage: A: 42,8441 the service is defined as: a street light B: 6,550 A: 39,5202 within 50 meters of the house; garbage 2000 B: 7,238 picked up and disposed of in a sanitary Garbage: A: 44,610 Garbage: A: 41,2771 landfill. B: 7,205 A: 37,9532
2001 B: 7,766 1 METHOD OF DATA COLLECTION: Garbage: A: 49,071 Garbage: A: 42,463 B: 7,925 A: 39,1392 Municipal documents 1/3 B: 8,586 2002 FREQUENCY/SCHEDULE OF DATA C: 7,722 COLLECTION: Annually, last week of January
DATA COLLECTION RESPONSIBILITY: Contractor
COMMENTS: Although municipal records do not differentiate between households, businesses, schools, etc., that receive services, it is known that the vast majority of recipients are households. The data at right, therefore, represent a reasonable, not an exact, count of household services. Data A is for 18 municipalities selected before 1998 Data B is for 10 municipalities selected in 1999 Data C is for 3 municipalities selected in 2001 1/ Data of 4 municipalities which did not sign Technical Assistance Agreement are included. 2/ Data of 4 municipalities which did not sign Technical Assistance Agreement are not included. 3/ Data as of 06/30/2002.
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INTERMEDIATE RESULT No. 3:
RESULT NAME: Strengthened local government
INDICATOR No. 1: locally generated funds/revenue in targeted municipalities
UNIT OF MEASURE: total amount in dollars of YEAR PLANNED ACTUAL service fees and local taxes 1/
SOURCE: Municipal Accounting/SAFIMU in those 1996 A: A: 3,934,490 municipalities that have it.
INDICATOR/DESCRIPTION: Data at right represents the total amount of revenue generated from 1997 A: 4,721,388 A: 5,339,288 local fees and local taxes combined on each calendar year. Information and targets though 1998 is for 18 target municipalities. From 1999 – 2002 targets are based on 27 selected 1998 A: 6,140,181 A: 6,498,608 municipalities.
METHOD OF DATA COLLECTION: 1999 A: 7,4748,694 A: 6,896,277 Visit to the municipality, USAID contractor. B: B: 807,138
FREQUENCY/SCHEDULE OF DATA COLLECTION: annually, last week of January 20001 A: 7,819,653 A: 7,500,4611 B: 897,295 A: 7,092,7532 DATA COLLECTION RESPONSIBILITY: B: 1,011,890 Contractor
1 COMMENTS: Targets have been established only 20011/2 A: 8,992,601 A: 8,495,821 through 2001, which is the termination date for 2 B: 1,076,754 A: 8,088,112 USAID’s municipal development activity. Targets for B: 1,002,288 2002 will be established through design of USAID's C: 551,483 follow-on democratic decentralization activity. 1 20021/2/3 A: 10,341,492 A: 4,533,004 Data A is for 18 municipalities selected before 1998 2 B: 1,292,105 A: 4,329,150 Data B is for 10 municipalities selected in 1999 B. 607,474 Data C is for 3 municipalities selected in 2001 C: 311,197
1/ Data of 4 municipalities which did not sign Technical Assistance Agreement are included. 2/ Data of 4 municipalities which did not sign Technical Assistance Agreement are not included. 3/ Data as of 06/30/2002.
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INTERMEDIATE RESULT No. 3
RESULT NAME: Strengthened local government
INDICATOR No. 2: Delinquency rates for taxes and fees in targeted municipalities
UNIT OF MEASURE: percentage of combined tax and YEAR PLANNED ACTUAL fee overdue
SOURCE: Account receivables, municipal accounting 1/ 1997 A: 30% A: 32% INDICATOR/DESCRIPTION: Fees are municipal services provided by the municipalities and taxes are
based on business/economic activities. This combined 1998 2/ A: 15% A: 29% percentage is overdue and expected to be reduced annually. A: 14% A: 32% a)b) 1999 B: 30% METHOD OF DATA COLLECTION: B: 36% Municipal documents
FREQUENCY/SCHEDULE OF DATA 2000 A: 13% A: 37% a)b) COLLECTION: Annually, last week of January B: 18% A: 39%2 B: 27% DATA COLLECTION RESPONSIBILITY: Contractor 2001 A: 12% A: 32% a) B: 16% A: 33%2 COMMENTS: Targets have been established only B: 35% through 2001, which is the termination date for USAID’s C: 53% municipal development activity. Targets for 2002 will be
established through design of USAID's follow-on 2002 2/ A: 11% A: 28% democratic decentralization activity. B: 15% A: 28%2
B: 32% Data A is for 18 municipalities elected before 1998 C: 46% Data B is for 10 municipalities selected in 1999 Data C is for 3 municipalities selected in 2001 1/ Not included one of the 18 municipalities. a) 4 municipalities which did not sign Technical Assistance Agreement are not included. b) Delinquency rates increase is influenced by the municipalities of Sonsonate, Usulután and San Francisco Menéndez, which have incorporated the outstanding bills from electric energy and communication posts, water meter in the cadastre data and the account receivable. 2/ Data as of 06/30/2002.
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INTERMEDIATE RESULT No. 3:
RESULT NAME: Strengthened Local Government
INDICATOR No. 3: municipal salaries as percent of total expenditures in targeted municipalities
UNIT OF MEASURE: percent YEAR PLANNED ACTUAL
SOURCE: municipal accounting payrolls 1997 A: 73%
INDICATOR/DESCRIPTION: the main item of
current expenses are basically payroll salaries which it is 1998 A: 70% A: 70% expected to be reduced in relation with the total expenses.
METHOD OF DATA COLLECTION: 1999 A: 63% A: 73% Visit to the municipality B: 63%
FREQUENCY/SCHEDULE OF DATA COLLECTION 20001/2 A: 60% A: 72%1 Annually, last week of January B: 59 % A: 73%2 B: 62% DATA COLLECTION RESPONSIBILITY: Contractor 20011/2 A: 57% A: 68%1 COMMENTS: Targets have been established only B: 56% A: 68%2 through 2001, which is the termination date for B: 68% USAID’s municipal development activity. Targets for - C: 67% 2002 will be established through design of USAID's 1 follow-on democratic decentralization activity. 2002 1/2/3 A: 51% A: 67% 2 B: 50% A: 68% Data A is for 18 municipalities selected before 1998 B: 70% Data B is for 10 municipalities selected in 1999 C: 63% Data C is for 3 municipalities selected in 2001 1/ Data of 4 municipalities which did not sign Technical Assistance Agreement are included. 2/ Data of 4 municipalities which did not sign Technical Assistance Agreement are not included. 3/ Data as of 06/30/2002.
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INTERMEDIATE RESULT No. 3
RESULT NAME: Strengthened Local Government
INDICATOR No. 4: funds invested by target municipalities for investment in services and infrastructure in targeted municipalities
UNIT OF MEASURE: total amount in dollars YEAR PLANNED ACTUAL
SOURCE: municipal records 1996 GOES: GOES: 1,198,847A Local: Local: 54,496 1997 GOES: 3,600,000 A GOES: 1,198,847 A INDICATOR/DESCRIPTION: This Local: 64,305 Local: 389,045 indicator monitors funds derived from two sources: GOES funds transferred to 1998 1/ GOES: 3,600,000 A GOES: 2,478,461 A municipalities and funds generated locally by Local: 75,880 Local: 933,427 the municipalities. 1999 GOES: A 6,800,00 GOES: A: 5,274,143 GOES: B B: 1,991,828 METHOD OF DATA COLLECTION: Local A: 89,538 Local: A: 591,268 Municipal documents B: B: 132,825 2/ a 2000 GOES: A: 7,931,751 GOES: A : 7,992,272 FREQUENCY/SCHEDULE OF DATA b GOES: B: 3,146,699 A : 7,537,719 COLLECTION: Annually, last week of Local: A: 451,965 GOES: B: 3,968,009 January Local: B: 108,111 Local: Aa: 543,814 Ab: 543,814 DATA COLLECTION RESPONSIBILITY: Local: B: 9,987 Contractor a 20013/ GOES: A: 8,645,609 GOES: A : 7,939,699 b GOES: B: 3,429,902 A : 7,485,147 COMMENTS: Targets have been established Local: A: 476,751 B: 3,925,544 only through 2001, which is the termination Local: B : 117,757 Local: Aa: 111,566 date for USAID’s municipal development Ab: 111,566 activity. Targets for 2002 will be established B: 39,085 through design of USAID's follow-on 4/ a democratic decentralization activity. 2002 GOES: A: 9,423,713 GOES: A : 3,401,087 GOES: B: 3,429,902 Ab: 3,173,811
Local: A: 476,751 B: 2,003,987 Data A is for 18 municipalities selected before 1998 Local: B : 117,757 C: 427,124 Local: Aa: 29,367 Data B is for 10 municipalities selected in Ab: 29,367 1999 Data C is for 3 municipalities selected in B: 26,657 C: 0 2001. 1/ Municipalities receive 6% of National Budget. a/ Data of 4 municipalities which did not sign Technical Assistance Agreement are included. b/ Data of 4 municipalities which did not sign Technical Assistance Agreement are not included. 2/ Data as of 12/2000 3/ Data as of 12/31/2001 4/ Data as of 06/30/2002
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INTERMEDIATE RESULT No. 3
RESULT NAME: Strengthened Local Government
INDICATOR No. 5: Municipalities that used all their investment funds in projects identified in local development plans.
UNIT OF MEASURE: percent of YEAR PLANNED ACTUAL municipalities
SOURCE: municipal records and local 1998 A: 0% development plans
1999 A: 0% A: 43% INDICATOR/DESCRIPTION: This B: 50% indicator monitors funds derived from two sources: GOES funds transferred to municipalities and funds generated locally by 2000 1/2 A: 5% A: 43% the municipalities. B: 5% B: 60%
METHOD OF DATA COLLECTION: 20011/2 A: 15% A: 50% Municipal documents B: 15% B: 70% C: 100% FREQUENCY/SCHEDULE OF DATA COLLECTION: Annually, last week of 2002 1/3 A: 30% A: 56% January B: 30% B: 70% C: 100% DATA COLLECTION RESPONSIBILITY: Contractor
COMMENTS: Targets have been established only through 2001, which is the termination date for USAID’s municipal development activity. Targets for 2002 will be established through design of USAID's follow-on democratic decentralization activity.
Data A is for 18 municipalities selected before 1998 Data B is for 10 municipalities selected in 1999 Data C is for 3 municipalities selected in 2001 1/. Data of 4 municipalities which did not sign Technical Assistance Agreement are not included. 2/ Data as of 12/31/2001. 3/ Data as of 06/30/2002
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LOWER-LEVEL RESULT No. 3.1
RESULT NAME: Increased citizen participation in local government
INDICATOR No. 2: public hearings/meetings in targeted municipalities attended by CDL or other CSO representatives
UNIT OF MEASURE: percent YEAR PLANNED ACTUAL
SOURCE: certificates and other municipal records 1998 A: 50% A: 5%
INDICATOR/DESCRIPTION: CDL means Comite
de Desarrollo Local ( Local Development Committee) 1999 A: 75% A: 28% Attended mean persons from CDL or CSO* registered B: 0% in list of participants. *Community Social Organizations 2000 A: 100% A: 100% METHOD OF DATA COLLECTION: B: 100% B: 100% Contractor reports
FREQUENCY/SCHEDULE OF DATA 2001 A: 100% A: 100% COLLECTION: every 6 months, last week of January B: 100% B: 100% and last week of July. C:100%
DATA COLLECTION RESPONSIBILITY: 2002 1/ A: 100% A: 100% Contractor B: 100% B: 100%
C: 100% COMMENTS: Targets have been established only through 2001, which is the termination date for USAID’s municipal development activity. Targets for 2002 will be established through design of USAID's follow-on democratic decentralization activity.
Data A is for 18 municipalities selected before 1998 Data B is for 10 municipalities selected in 1999 Data C is for 3 municipalities selected in 2001 1/ Data as of 06/30/2002.
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LOWER-LEVEL RESULT No. 3.1
RESULT NAME: Increased citizen participation in local government
INDICATOR No. 1 municipalities with local development plans
UNIT OF MEASURE: Number YEAR PLANNED ACTUAL
SOURCE: Municipalities
INDICATOR/DESCRIPTION: a local development 1996 0 plan is the tool elaborated by representatives of the
different municipal sectors in conjunction with the local 1998 18 18 government to design and prioritize the proposed actions to assist in the community´s overall development.
1999 25 25 METHOD OF DATA COLLECTION: Visit to the municipalities, Contractor Reports.
FREQUENCY/SCHEDULE OF DATA 2000 28 28 COLLECTION: every 6 months, last week of January and July
2/3 1 DATA COLLECTION RESPONSIBILITY: 2001 35 24 USAID Contractor
COMMENTS: Targets have been established only 2002 2/3 421 27 through 2001, which is the termination date for USAID’s
municipal development activity. Targets for 2002 will be established through design of USAID's follow-on democratic decentralization activity.
Data A is for 18 municipalities selected before 1998 Data B is for 10 municipalities selected in 1999 Data C is for 3 municipalities selected in 2001 1/ Municipalities of Nahuizalco and Ojos de Agua were not integrated into the Project. 2/ Data of 4 municipalities which did not sign Technical Assistance Agreement are not included. 3/ Data as of 06/30/2002. PEP (Strategically Participative Plans) have been implemented in 13 municipalities. Additionally in 6 municipalities affected by (January 13th and February 13th) 2001 earthquakes, Contingency Participative Plans were prepared.
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LOWER-LEVEL RESULT No. 3.2
RESULT NAME: Expanded local-government authority
INDICATOR No. 1: reforms enacted
UNIT OF MEASURE: yes/no YEAR PLANNED ACTUAL
SOURCE: Official newspaper publishing the laws 1999 Water authority: · Hydric Resources No INDICATOR/DESCRIPTION: Water Law passed Law · Potable Water and No Sanitary Sectorial METHOD OF DATA COLLECTION: Legislative Law Assembly Water authority:
2000 · Hydric Resources Process FREQUENCY/SCHEDULE OF DATA Law COLLECTION: every six months · Potable Water and Process Sanitary Sectorial DATA COLLECTION RESPONSIBILITY: Project Law Activity Manager Taxation: 2001 · Municipal Law on Completed COMMENTS: Tax Reforms but not · IVA Simplified Law presented. · Land use
1 Municipal Code Reforms: 2002 · Citizen Participation Completed and presented
1/ Data as of 06/30/2002.
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LOWER-LEVEL RESULT No. 3.3
RESULT NAME: Improved local-government management and technical skills
INDICATOR No. 1: targeted municipalities using integrated financial management (IFM) systems
UNIT OF MEASURE: percent YEAR PLANNED ACTUAL
SOURCE: Municipalities 1998 A: A: 0%
INDICATOR/DESCRIPTION: It is considered that
the system is being used since same generates the 1999 A: 6% A: 0% following main reports: B: 0% B: 0% · Trial balance · Monthly billing for services · Cash status report 2000 A: 6% A: 0% · Budget execution status report B: 10% B: 0% · Daily summary revenue status report
2001 A: 10% A: 0% METHOD OF DATA COLLECTION: B: 10% B: 10% Test the system on each municipality
2002 1/ A: 15% A: 0% FREQUENCY/SCHEDULE OF DATA B: 15% B: 10% COLLECTION: every 6 months, last week of January C: 0% and July
DATA COLLECTION RESPONSIBILITY: Contractor
COMMENTS: Targets have been established only through 2001, which is the termination date for USAID’s municipal development activity. Targets for 2002 will be established through design of USAID's follow-on democratic decentralization activity.
Data A is for 18 municipalities selected before 1998 Data B is for 10 municipalities selected in 1999 Data C is for 3 municipalities selected in 2001 1/ Data as of 06/30/2002.
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LOWER-LEVEL RESULT No. 3.3
RESULT NAME: Improved local-government management and technical skills
INDICATOR No. 2: targeted municipalities with annual work plans
UNIT OF MEASURE: percent YEAR PLANNED ACTUAL
SOURCE: Municipality
INDICATOR/DESCRIPTION: Annual work plans is
the tool of municipal planning which defines the different
activities necessary to carry out to reach objectives and goals in a short-term period, all within the frame of policies and strategies established by the Municipal Council and the Local Development Plan agreed by the citizen sectors.
METHOD OF DATA COLLECTION: Visit to the municipalities 2000 A: 50% 22% B: 50% 50% FREQUENCY/SCHEDULE OF DATA COLLECTION: Annually, last week of January 2001 A: 100% A: 29% DATA COLLECTION RESPONSIBILITY: B: 100% B: 60% Contractor C: 100%
1/2 COMMENTS: Targets have been established only 2002 A: 100% A: 35% through 2001, which is the termination date for USAID’s B: 100% B: 60% municipal development activity. Targets for 2002 will be C:100% established through design of USAID's follow-on democratic decentralization activity.
Data A is for 18 municipalities selected before 1998 Data B is for 10 municipalities selected in 1999 Data C is for 3 municipalities selected in 2001 1/ Data as of 06/30/2002. 2/ Data of 4 municipalities which did not sign Technical Assistance Agreement are not included.
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LOWER-LEVEL RESULT No. 3.3
RESULT NAME: Improved local-government management and technical skills
INDICATOR No. 3: targeted municipalities with at least one service fee based on actual cost recovery.
UNIT OF MEASURE: percent YEAR PLANNED ACTUAL
SOURCE: Municipalities
INDICATOR/DESCRIPTION: Municipal services
such as: Waste disposal collection, public lighting,
markets, slaughter house, road maintenance, water
METHOD OF DATA COLLECTION: 1998 A: 30% A: 28%
FREQUENCY/SCHEDULE OF DATA COLLECTION: Every 6 months, last week of January and July 1999 A: 50% A: 39% B: 50% B: 50% DATA COLLECTION RESPONSIBILITY: Contractor 20001 A: 75% A: 83% COMMENTS: Targets have been established only B: 75% B: 90% through 2001, which is the termination date for USAID’s municipal development activity. Targets for 2002 will be established through design of USAID's follow-on 20011 A: 100% A: 80 % democratic decentralization activity. B: 100% B: 90% C: 100% Data A is for 18 municipalities selected before 1998 Data B is for 10 municipalities selected in 1999 1/2 2002 A: 100% A: 80% Data C is for 3 municipalities selected in 2001 B: 100% B: 90% C: 100% 1/ Data of 4 municipalities which did not sign Technical Assistance Agreement are included. 2/ Data as of 6/30/2002
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