2010年-世界发展银行全球_Base_Line_Study___Transparency_in_the_Public_Construction_Sector_in_Guatemala_140页_6mb

Summary of the CoST Base Line Study in Guatemala

Core Content

This document presents the findings of the Base Line Study conducted as part of the Construction Sector Transparency Initiative (CoST) in Guatemala, launched in November 2009. The study aimed to assess the level of transparency in the public construction sector by analyzing the disclosure of 31 Material Project Information (MPI) indicators across 16 projects from seven Procurement Entities (PEs), including both central and local government entities.

Main Findings

Legal Framework and Disclosure Requirements

• The legal framework in Guatemala supports transparency in the public construction sector, requiring the online disclosure of 87% of the 31 MPI indicators, which is the highest percentage among CoST participating countries.
• The CoST Initiative requires disclosure of 31 MPI indicators, while Guatemalan laws require disclosure of 27 of these, with the exception of the execution of the supervision contract stage.
• MPI is disclosed in the following systems: SNIP (National System for Public Investment), GUATECOMPRAS (State Contracting System), and the General Comptrollership of Accounts.

Information Disclosure by PEs

• On average, 38% of the required MPI is disclosed by the PEs, which represents 34% of the CoST required MPI.
• Central Government PEs disclose 40% of the MPI required by law, while Local Government PEs disclose 35%.
• The lowest levels of disclosure occur in the following stages:
  • Design: 6.29%
  • Execution: 5.50%
  • Supervision: 4.13%
  • Post-Contract: 19.25%

Stage-wise Disclosure

• Project Identification: 54% of required MPI is disclosed.
• Process for Contracting Works: 95.75% of MPI is disclosed.
• Details of the Contract for Works: 91.50% of MPI is disclosed.
• Process for Contracting Design: 6.29% of MPI is disclosed.
• Process for Contracting Supervision: 4.13% of MPI is disclosed.
• Execution of the Contract for Works: 5.50% of MPI is disclosed.
• Post-Contract: 19.25% of MPI is disclosed.

Comparative Analysis of PEs

• DGC (General Directorate of Roads) discloses the highest percentage of MPI (44% of the law's required information).
• FONAPAZ and Guatemala City follow with 43%, FSS with 41%, COVIAL with 32%, and the Municipalities of San Juan SACatepéquez and Antigua Guatemala with 32% and 30%, respectively.
• No PEs disclose more than 50% of the required MPI, indicating a lack of best practices in the country.

Barriers to Disclosure

• Cultural barriers: PEs need to change their mindset regarding transparency, moving from the belief that more disclosure increases transparency requirements to the understanding that it enhances institutional image and accountability.
• Technological barriers: The use of multiple e-government systems creates fragmentation and limits public access due to the need for access codes and protocols.
• Administrative barriers: The complexity of e-government systems increases administrative burdens for PEs.

Project-Specific Findings

• Road infrastructure projects had the highest number of variation orders, averaging 17 per project, with 123% increase in time and 103% in cost.
• Design and supervision are primarily handled internally by PEs, with 75% of central government PEs and 100% of local government PEs elaborating designs.
• Supervision is also internally managed by PEs, with 58% of central government PEs and 100% of local government PEs performing supervision.
• Central government PEs have a higher tendency to use NGOs and Trust Funds for contracting, while local government PEs predominantly follow the Law on Contracting by the State.

Key Recommendations

Collaboration with PEs

• Focus on disclosure stages with minimal or no information.
• Use written communications from high-level authorities to request information early in the assurance process.
• Conduct early awareness workshops for PEs to align with CoST objectives.
• Establish CoST Guatemala as a legal entity to facilitate its activities.

Expansion of MPI

• Include project plans in MPI to improve access and reduce direct requests to PEs.
• Consider including Environmental Impact Assessments (EIA) in MPI to support early disclosure and environmental compliance.

Integration with Other Initiatives

• Promote coordination with other transparency initiatives in the country, especially those that link e-government systems to provide consolidated project information.

Conclusion

The study highlights that while the legal framework in Guatemala is robust in terms of MPI disclosure, the actual implementation is limited, with only 38% of required information being disclosed. The CoST Initiative aims to address these gaps through collaboration, awareness, and the integration of MPI into existing systems, with a focus on the pilot phase of the initiative.