Human Development Department LCSHD PAPER SERIES No. 68

COLOMBIA ____________________________________________________________________________

DECENTRALIZED EDUCATION MANAGEMENT

Joel Reyes

June 30, 2001 The World Bank ___________________________________________________________________________ Latin America and the Caribbean Regional Office

Papers prepared in this series are not formal publications of the World Bank. They present preliminary and unpolished results of country analysis or research that is circulated to encourage discussion and comment; any citation and use of this paper should take account of its provisional character. The findings, interpretations, and conclusions expressed in this paper are entirely those of the authors and should not be attributed in any manner to the World Bank, its affiliated organization members of its Board of Executive Directors or the countries they represent.

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CURRENCY EQUIVALENTS (Exchange rate Effective: June 27, 2000) Currency Unit = Colombian Peso (COP)

1 Colombian Peso (COP) = 0.0004686 US Dollar 1.00 US Dollar = 2,134 Colombian Pesos (COP)

ABBREVIATIONS AND ACRONYMS

CASD Teaching Support Center CEP Centro Educativo Experimental (Experimental Testing Centers) CIDE Corporación para la Investigacion de la Docencia Económica DANE Departamento Administrativo Nacional de Estadística (National Statistics

Department) DNP Departamento Nacional de Planeación (Department of National Planning) DNP-USD System of Socio-demographic Indicators for Colombia ERA Educación Rural de Antioquia FEC Fondo de Crédito Público (National Income transfer) FEC Fondo de Compensación Educativo FER Fondo Educativo Regional (Regional Education Fund) FIS Fondo de Inversión Social (Social Investment Fund) ICBF Instituto Colombiano de Bienestar Familiar (Colombian Institute for Family

Welfare) ICFES National Standardized Academic Test for Secondary Education Senior Students ICN Ingreso Corriente de la Nación (National Income) IEC Information, Communication and Education IVA Impuesto al Valor Agregado JUMES Juntas Municipales de Educación (Municipal Education Committees) NEBIS Necesidades Educativas Básicas Insatisfechas (Attention to Unfulfilled Educational

Needs) NGO Non-Governmental Organization or Non-Profit, Private Institution PACES Programa de Ampliación y Calidad de la Educación Secundaria PDR Planes de Desarrollo de Red (School Networks Development Plans) PEI Proyecto Educativo Institucional (School Improvement Plan) PIB Producto Interno Bruto (Gross Internal Product) PICN Participación Municipal en Ingresos Corrientes de la Nación (National Income

Transfers to Municipalities) PREAL Programa de Promoción de la Reforma Educativa en la América Latina y el Caribe PRIPE Special Education Support Program of the Municipality of Pensilvania SABER National Standardized Achievement Tests for Third and Fifth graders SAT Sistema de Aprendizaje Tutorial (Secondary Education Tutorial Program) SEDUCA Secretaría de Educación de Antioquia (Departmental Secretariat of Education) SEM Secretaría de Educación Municipal (Municipal Education Secretariat) SISD System of Socio-demographic Indicators for Colombia, DNP

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ACKNOWLEDGEMENTS This report was prepared by:

Joel E. Reyes, Team Leader

With the contribution from: World Bank Staff: Jamil Salmi Ernesto Cuadra

Martha Laverde Donald Winkler

Constance Corbett Alberto Rodríguez Verónica Jarrín Central and Local Government authorities:

Ministry of Education of Colombia Secretariat of Education of Antioquia Secretariat of Education of Barranquilla Secretariat of Education of Pasto Secretariat of Education of Pensilvania

Other entities:

PREAL (Programa de Promoción de la Reforma Educativa en la América Latina y el Caribe) Fundación Corona COSMOS Corporation(Ping Yu)

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TABLE OF CONTENTS

Acknowledgements........................................................................................................................... i Preface.............................................................................................................................................. i Executive Summary ......................................................................................................................... i

Introduction.................................................................................................................................................. i I. Policy Changes Toward Decentralized Education Service Delivery and Management in Colombia....... i II. Local Governments’ Institutional and Education Management Change: Results From the Four Case Studies................................................................................................................................................ ii III. The National Education Decentralization Framework: A Local Government Perspective............ iv

Chapter 1: Introduction................................................................................................................. 1 I. Objectives of the Study............................................................................................................................ 1 II. Research Methodology .................................................................................................................. 1 III. Data Collection in the Exploratory Phase ....................................................................................... 2 IV. Conceptual Framework of the Study............................................................................................... 3 V. Organization of the Study Report ................................................................................................... 5

Chapter 2: Case Studies: Management Of Education In Four Colombian Local Governments7 I. Policy Changes in Education Services Delivery and Management in Colombia ................................... 7

Central Management of Education Services – 1968-1986...................................................................... 8 Municipal Provision of Education Services – 1986-1993....................................................................... 8 New Education Decentralization Demands – 1993-Present................................................................... 8 Education Decentralization and the School .......................................................................................... 10 II. Chapter Conclusion ......................................................................................................................... 10

Chapter 3: Institutional And Education Management Change: Results From The Four Case Studies ........................................................................................................................................... 11

I. Local Government Leadership in the Education Sector ........................................................................ 11 Political Leadership and the Long Term Vision for the Education Sector............................................ 11 Rallying support across different levels of Government....................................................................... 13 Consolidation of Past Experiences in Local Education Management................................................... 13

II. New Education Management Functions and Strategic Service Delivery Plans ............................ 15 Changes in Education Management Functions (1995-2000) ................................................................ 15 Education Development Plans and Investments ................................................................................... 20

Department of Antioquia .......................................................................................................................... 21 District of Barranquilla ............................................................................................................................. 23 Municipality of Pasto................................................................................................................................ 24 Municipality of Pensilvania ...................................................................................................................... 25

Section Conclusion ............................................................................................................................... 26 III. Structure and Organization of Local Secretariats of Education .................................................... 26

Restructuring of Secretariats of Education ........................................................................................... 27 Decentralized Units and Divisions of Local Secretariats of Education ................................................ 29

Functions of Non-certified Municipalities in the Department of Antioquia ..................................... 29 Jefes de Núcleos Educativos (School District Supervisors)............................................................. 29 School Networks (Redes Escolares). ................................................................................................ 30

Section Conclusion ................................................................................................................................... 31 IV. Resocializing: Organizational Cultural Change ............................................................................ 32

Organizational Culture: Common Beliefs and Attitudes among Education Sector Staff.................. 32 Re-socializing Needs and School-Based Management ..................................................................... 34 The Department of Antioquia ........................................................................................................... 34 The Municipality of Pasto................................................................................................................. 35 The Municipality of Pensilvania ....................................................................................................... 36

Chapter Conclusion................................................................................................................................... 37

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Chapter 4: The National Education Decentralization Framework: A local Government Perspective..................................................................................................................................... 39

I. Legal difficulties.................................................................................................................................... 39 Contradiction of the laws leading to legal interpretation conflicts between subnational governments: 39 Fragmentation of management responsibilities between different levels of government: .................... 40 Omission of the school and its education management functions: ....................................................... 41

II. Financial and Economic Difficulties............................................................................................. 41 National Transfers and Sustainability ................................................................................................... 41 National Transfers Allocation Formula and Education Budget Rigidity .............................................. 43 High dependence on National Government Transfers .......................................................................... 44

III. Local Education Financing Strategies........................................................................................... 46 The rationalization of the existing expenses: Antioquia’s experience .................................................. 47 Increased efficiency in tax recollection: Barranquilla’s case ................................................................ 47 Access to external sources of financing ................................................................................................ 47

Private Sector:................................................................................................................................... 47 Multilateral Credits: .......................................................................................................................... 48 Co-Financing Mechanisms ............................................................................................................... 49

Chapter Conclusion................................................................................................................................... 49 Chapter 5: Conclusion and Recommendations .......................................................................... 50

I. Conclusions and Recommendations ...................................................................................................... 50 II. Forethought. .................................................................................................................................. 52

Bibliography.................................................................................................................................. 53

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LIST OF TABLES

Table 1.1: Levels of Colombian Local Governments.................................................................... 2 Table 1.2: Overview of Data Collection by Case........................................................................... 3 Table 2.1: Legal Summary of Educational Decentralization in Colombia .................................. 7 Table 2.1 Requirements for Certification for the Situado Fiscal (Law 60 of 1993)..................... 9 Table 3.1: Territorial Leaders and Administrations: 1995-1997 and 1998-2000...................... 12 Table 3.2: Education Management Experiences of Four Local Governments in Colombia.... 14 Table 3.3 Distribution of Decentralized Education Management Functions............................. 17 Table 3.4: Key Education Programs and Projects of Four Local Governments in Colombia: . 20 Table 3.5: Education Access Programs Through Subcontrating Strategies in Antioquia (97) 22 Table 3.6: Education Quality Improvement Program – Components and Costs ...................... 22 Table 3.7: Teacher Training in Antioquia.................................................................................. 23 Table 3.8: No. of School Places Created in Barranquilla: 1996-1998 ...................................... 23 Table 3.9: Number of Youth and Adults ..................................................................................... 23 Table 3.10: Municipality of Pasto: Education Programs and Projects, 1995-1999.................. 24 Table 3.11: Education Investment Plan of the Municipality of Pensilvania, 1995-1998 ...................... 25 Table 3.12 Opinions on the Organizational Structure of Local Secretariats of Education...... 27 Table 3.13: Organizational Structure of Pasto’s Municipal Secretariat of Education............ 28 Table 3.14: Division of Functions between Network Promoters, Jefes de Nucleos and the Secretariat of Education (SEM) in the Municipality of Pasto .................................................... 30 Table 3.15: Operational and Decentralized Education Management Structures ..................... 31 Table 3.16: Common Beliefs and Attitudes Regarding Decentralized Education Management....................................................................................................................................................... 33 Table 3.17: School-Based Management and School Investment Subprojects ........................... 35 Table 3.18: Municipalities, Schools, Students and Families Supporting School-Based Management Strategies in Antioquia........................................................................................... 35 Table 3.19: Opinions Regarding Improvements in Relations Between School and Community Actors and Staff of the Municipal Secretariat of Education....................................................... 35 Table 3.20: Network Coordinator Opinion of Motivation and Performance of School/Community Actors ............................................................................................................ 36 Table: 3.21: Opinions of Principals Regarding Degree of Administrative, Academic and Financial Autonomy ..................................................................................................................... 36 Table 3.22: Common Education Management Functions in the Four Cases Studied .............. 38 Table 4.1: Real Growth of National Transfers to Subnational Governments (1994-1998) ...... 43 Table 4.2: Local Government’s Income and Expense Accounts ............................................... 44 Table 4.3: Municipality of Pasto: Current Income 1990 – 1998*............................................. 45

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Table 4.4: District of Barranquilla: Income 1996 – 1998* ....................................................... 45 Table 4.5: Municipality of Pensilvania: Income 1994-1999 ..................................................... 46 Table 4.6: Rationalization of Education Personnel and Impact on Coverage .......................... 47 Table 4.7: District of Barranquilla: Income 1996 – 1998: (in 1996 Millions of Pesos) ............. 47 Table 4.8: Municipality of Pasto’ Allocation of World Bank for Education Investments........ 48 Table 4.9: Department of Antioquia’s Allocation of World Bank for Education Investments. 48

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LIST OF FIGURES

Figure 1.1: Organizational Change in a Decentralized Public Management System: Elements of Study............................................................................................................................................ 6 Figure 4.1: Evolution of National Transfers 1991-2000............................................................ 42 Figure 4.2: Department of Antioquia: Evolution of Income (1990-1998) ............................... 46 Figure 4.3: Municipality of Pensilvania: Behavior of Income (1994-1999) ............................ 48

PREFACE In 1997, the Government of Colombia and the World Bank began providing financial and technical assistance to two projects involving decentralized management of education in the Department of Antioquia and the Municipality of Pasto. To learn from these local education management strategies, the national and local governments and the Bank agreed to support a study of education management in Antioquia and Pasto, in addition to that of two other cases —the District of Barranquilla and the Municipality of Pensilvania. This report is a synthesis of this study. A second phase of this research is being conducted, where three more case studies have been added and the research methodology has been further refined. The idea of studying “management strategies” in the social sectors is new to the Bank. As a first attempt to study education management—and, particularly, within the context of decentralization—there were still unresolved methodological and operational challenges in this study. Our research team has already developed ways to address some of these in the second phase of this research. Nevertheless, this pioneering effort was not only challenging but also rewarding. In essence, a key motivation for the project was learning through a creative process albeit with constraints. This study employed an innovative process. Rather than directly hiring research consultants, the Bank led the formation of an Alliance with civil society and the public sector to support and co-own the study. An Alliance for the Research of Territorial Education Management was created. The founding members were: The Ministry of Education of Colombia, the Departmental Secretariat of Education of Antioquia, the District Secretariat of Education of Barranquilla, the Municipal Secretariat of Education of Pasto, the Municipality of Pensilvania, the Corona Foundation and the World Bank. The creation of the Alliance and the participatory approach associated with it yielded: (i) a tangible public and private sector interest in the study of management issues in education; (ii) increased financial and administrative resources for the research; and (iii) the direct participation and commitment of the four local governments under study. For the second phase of the research, the Alliance has expanded its membership to other institutions and local governments: The Departmental Secretariat of Education of Cundinamarca, the Departmental Secretariat of Education of Bolivar, the District Secretariat of Education of Cartagena and PREAL. The Alliance has expanded not only to continue similar studies, but also to support the implementation of recommendations from this report as well as those of other previously conducted studies, and to share lessons learned among members. The Alliance itself has not always been an efficient mechanism; for example, conflicting interests, timetables and competencies delayed decision making in the research process. Nonetheless, the value-added of each member’s financial support, professional and research expertise, sectoral knowledge and personal dedication has been significant. The Alliance will produce one final comparative study of all seven studies. Moreover, each member can access the research database and produce tailored institutional studies. Thus, this preliminary synthesis, by the World Bank, is but one of many that will proliferate from the monumental effort of the Alliance and the challenge to move into unexplored waters by means of the research of education management and its many convoluted aspects and intangible processes. Joel Reyes Study Task Team Leader

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EXECUTIVE SUMMARY

Introduction This study identifies common issues, benefits and constraints regarding local government’s education management and institutional change in Colombia. This was accomplished through case studies of four local education systems during two administrations (1995-1997 and 1998-2000): in the Department of Antioquia, the District of Barranquilla, the Municipality of Pasto and the Municipality of Pensilvania (a small rural municipality with less than 100,000 inhabitants).1 The study was conducted to describe the institutional processes of decentralizing education management in Colombia and to identify key institutional and management elements of local governments’ education management. The study’s framework includes three interrelated institutional topics: • Policy changes towards decentralized education services delivery and management • Local Government’s institutional and education management change. • Local perspective of the national education decentralization legal framework. The main findings of the study are the following: I. Policy Changes Toward Decentralized Education Service Delivery and Management

in Colombia During the last 30 years, Colombia developed its national policies regarding education management. During this period, a new education law or decree propelled a new management strategy. The period of 1968-1986 represented almost 20 years of central management of education services aimed at unifying and providing cohesion to the education sector. The period 1986 to 1993 characterized the first attempts at municipal management of education in Colombia. From 1993 to the present, the new constitution of Colombia (1991) and some subsequent education laws called for shared education management responsibilities among departments, districts and municipalities. The focus of this study is the decentralized education management regulations after 1993. The 1990s saw increased demand for a more critical role of departments in the provision of education services. Thus, education laws during this decade attempted to decentralize education management responsibilities among departments, districts and the municipalities and to establish the criteria for national financial transfers to local education systems. Law 60 of 1993 established the norms for the local management of the recurrent education budget —the Situado Fiscal. Only departments, districts and large municipalities with a population over 100,000 inhabitants could manage the Situado Fiscal, after a certification process. These “size” limitations attempted to increase efficiency by utilizing larger local governments to guide and support the education needs of very small municipalities.

1 In Colombia’s territorial administrative divisions, Departments are the level immediately below the national government (similar to States in the United States or Provinces in other Latin American countries). Districts (of which there are four) are a group of metropolitan municipalities with autonomous integrated political jurisdiction, and are usually the capital of a Department. Municipalities are the lowest formal level of territorial political government.

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The “certification” process was led from the center by the Ministry of Education. The central ministry “certified” the education management capacity of each local government and, thus, its readiness to receive and manage national financial transfers for education. To be certified to manage their education systems, local education secretariats had to provide evidence of their education development strategic plans and of their restructured institutions. This study details how four local governments in Colombia went through this process of organizational and management change during the period 1995-2000. Municipalities under 100,000 inhabitants cannot apply for certification to manage their schools systems. Nonetheless, Law 115 of 1994 allowed non-certified municipalities the option to hire teachers using their own funds and to use national transfers (Participación Municipal en Ingresos Corrientes de la Nacion – PICN or ICN) for local education investments. Thirty percent of national transfers to municipalities were earmarked for education capital investments; however, they are commonly used for recurrent costs (such as paying for teachers hired by the municipality). At the school level, during this latter period, Colombia regulated the organization of school governments and the formulation, by each school, of its own development plan (PEI – Proyecto Educativo Institucional). However, besides the national norms for the construction of the PEI, there has been no national strategy developed that outlines the specific competencies, tools and financial resources needed to support school-based management. II. Local Governments’ Institutional and Education Management Change: Results From

the Four Case Studies The study of education management in the Department of Antioquia, the District of Barranquilla, the Municipality of Pasto and the Municipality of Pensilvania provided evidence of some key elements regarding local institutional and education management change. These common elements among the four cases included the key role of local political leadership, the development of strategic conceptual plans for delivery of education services, the multiple processes of the reorganization of secretariats of education, and the attempts at organizational culture change through participatory and delegation processes. Each of these are detailed below:

Leadership. In all four cases studied, political leaders—governors and mayors—provided a long-term vision for the sector, managed the intergovernmental and local political environment in favor of education reforms, and drew upon lessons learned from previous experiences with local education management. The political leadership’s commitment and vision in favor of education was initially evidenced in the education development objectives in the Government Plan; the Department, District or Municipal Development Plan; and in the Education Development Plans of each case studied. These plans also reflected continuity of local education policies among the 1995-97 and 1998-2000 administrations. Furthermore, the case of the Municipality of Pensilvania, in particular, shows a strong political leadership commitment to the education sector. With the certification of its Department, Caldas, Pensilvania lost some previously gained autonomy in education management. Nonetheless, the local political party in power rallied support from the community and local businesses (mainly coffee producers) to continue providing educational services with municipal and private funds. The many decision-making actors involved in education decentralization in Colombia implied continuous bargaining and negotiations among different levels of government. The Municipality

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of Pasto successfully negotiated its certification with the national government; although, the Department of Nariño delayed the certification confirmation for nearly two years. The political leadership of Pensilvania, as mentioned before, formed aliances with coffee producers to continue to provide local education services. Finally, the early certification of the Department of Antioquía and the District of Barranquilla was in part due to the development of collaborative networks and the negotiating skills of the departmental governor and district mayor. Through the evolution of education decentralization policies in Colombia, local governments accumulated experience in education management. In the 1970s, departments shared some education management responsibilities with the central government, mainly in hiring teachers and in establishing the Nucleos Educativos (school district supervisors). In the late 1980s and early 1990s, municipalities managed their teaching forces and school infrastructure. With the new education decentralization demands of the mid-1990s, the four cases studied showed evidence that the local leadership consolidated previous experiences rather than disregarding them totally for new education management strategies. In conclusion, the study re-confirms the central place of the political leadership regarding the direction and the quality of local education sectors. Governors and mayors can either contribute to accelerate education reforms or to halt them based on their vision for the sector, or lack of, their commitment to institutional changes and their own participatory, transparent and collaborative approach with all stakeholders. Strategic Conceptual Planning --Educational Mission, Plans and Investment Programs. Within their conceptual structures (vision, missions and plans), local Secretariats of Education elaborated their own sectoral strategic plans to convert the long-term education vision of political leaders into specific strategies and projects to increase education access and improve teaching and learning quality. The review of the education programs and projects of the administrations of 1995-1998 and 1998-2000 in the four cases shows increases in the education projects delivered and in their pertinence and relevance to local education needs (shown by the diversity of education issues addressed); although during the period studied, there seems to be an emphasis on education coverage programs. Furthermore, the strategic plans presented interesting education innovations, such as alliances with the private, non-profit sector; programs for conflict resolution and peace; and strategies for community involvement and support for school-based management initiatives, including financial transfers to each school for implementation of their school improvement plans (PEIs). Reorganization of Local Secretariats of Education. Local governments upon certification2 assumed new education management responsibilities. These included: (i) management of national teachers and teachers hired by the public sector locally, (ii) financial management of teacher salaries, (iii) provision of school inputs (curriculum, teacher training, materials, infrastructure) and (iv) general school policy formulation (number of days of teaching, gathering and processing of statistical information, etc.). In Antioquia, Barranquilla and Pasto, the respective Secretariats of Education reorganized their structures—with different levels of success—to perform their newly assigned functions. The evidence suggests that, to comply with their new education management roles and functions, Local Secretariats of Education defined new organizational structures, including furthering the

2 “Certification” or “Certified Local Government” refers to the Ministry of Education’s certification of the “education management capacity” of a local government and, thus, its readiness to receive and manage national financial transfers for education.

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decentralized education management responsibilities to the levels of small municipalities (non-certified), jefes de nucleo (school district supervision units), school networks, and the school itself. Both Antioquia and Barranquilla have identified problems with their functional organizational structures. The evidence points to isolation and lack of communication among units and divisions, as well as lack of congruence between functional units and the provision of education services through projects and programs. To avoid the possible bottleneck of functional structures, the Municipality of Pasto has implemented a mixed structure crossing functions and project responsibilities (i.e., it formally defines the responsibility each functional division has for each education project). Although each project has a general coordination team (or individual) responsible for the achievement of development objectives of the project, the functional divisions are assigned specific responsibilities in each of those projects. Change in Organizational Culture. Simply restructuring Local Secretariats of Education has not changed traditional management cultures (people’s beliefs and attitudes toward their institutions and work). Although high level managers interviewed claim that their education organization structures are open and flexible, the rank-and-file staff and other education stakeholders still consider them closed and rigid. Re-socializing—or changing—common beliefs and attitudes of staff and other education stakeholders has been difficult. Nonetheless, in Antioquia, Pasto and Pensilvania some initial change in organizational culture begun to take place when community and school participation strategies focussed on improving relations among education actors, on building trust, and on creating a vision for improved teaching and learning in each school. The Local Secretariats of Education that seemed more successful at resocializing traditional organizational cultures focused more extensively on participatory and delegation strategies (such as community planning and school-based management), while at the same time improving their own institutional structures and management. In general, the study pointed to the importance of, both, restructuring and resocializing efforts to change local education organizations and management. Institutions are made of people. Organizational restructuring approaches must include strategies to gain support and commitment from staff and education stakeholders. A more open and participatory management—involving intermediate institutions, communities and schools—seems to contribute to resocializing organizational cultures traditionally with over-centralized and politicized images. III. The National Education Decentralization Framework: A Local Government

Perspective In the process of reorganizing their education sectors, local governments also had to overcome some obstacles inherent in the national legal and financial decentralization framework. The case studies provided some evidence of lack of alignment between national education decentralization policies and their application at the local level, including contradicting interpretations of such policies by different local governments and unsustainable national financial transfers to manage efficiently the local education systems. Contradicting Interpretation of Education and Decentralization Policies. Local governments have contradictory interpretations of the decentralization policies regarding (i) the role of small municipalities in education management, (ii) the role of schools in actively managing education

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development resources, and (iii) on the division of financial management responsibilities for education national transfers. Regarding the education management role of small (under 100,000 inhabitants) municipalities, Antioquia has continued to support their municipalities as the key administrator of education services in the Department, independent of their size. The department transfers to its municipalities the management and the national funds for its local teaching force. However, the Department of Caldas—to which the Municipality of Pensilvania belongs—interpreted the new decentralization policies as recentralizing municipal education management responsibilities back to the departmental level. The case of Pensilvania showed how Caldas assumed responsibility of the teaching force and school maintenance functions, previously managed by Pensilvania, through its control of the recurrent budget for education (the Situado Fiscal). In terms of schools’ management functions, there were no initial national incentives and norms to activate the role of schools in the decentralized education system. The decentralized education framework went as far as to regulate the creation of school governments and a school development plan (Plan Educativo Institucional – PEI) as a tool to improve education outcomes, but it did not give schools the minimal resources needed to implement their PEIs. As for education sector financial management, the decentralization legal framework calls for departments (districts and a few large certified municipalities) to hold the recurrent budgets (situado fiscal) while municipalities are responsible for the investment budgets (PICN – Participación Municipal en Ingresos Corrientes de la Nacion). At the non-certified municipality level, this fragmentation of the education budget and its financial management results in recurrent expenditures financed by investment budgets, a proliferation of municipal teachers hired with investment funds, and infrastructure investments without budgets for maintenance. In general, the end result of lack of clarity of education laws has been the weakening or exclusion of two key actors in the decentralization strategy: the municipality and the school. Clarifying the national framework with respect to municipal and school management is required to continue strengthening the decentralization of the Colombian education system. Unsustainable National Financial Transfers. National transfers for education increased rapidly during the 1990s and became a major source of fiscal demand for the national government.3 According to the Expenditure Rationalization and Public Finances Commission, the percentage of the permanent Gross Internal Product (PIB) allocated for national transfers to local governments for education (Situado Fiscal and Municipal Participation of ICN) increased from 4.86% in 1992, to 5.65% in 1997.4 However, education expenses also continued to increase as local governments assumed a higher number of education services within their jurisdiction. Nationwide, in millions of constant 1996 pesos, the budget corresponding to pre-school, basic and medium vocational education increased

3 Law 60 of 1993 details the norms for national financial transfers for education. Article 10 sets the Situado Fiscal at 24.5% of the National Income (ICN) to be transferred to departments, large certified municipalities (over 100,000 inhabitants) and districts. This transfer must use 60% for education services, 20% for health services and the remaining 20% to either education or health according to local sectoral plans. For municipal participation in the ICN, the law requires that this financial transfer be used explicitly for education, health, housing, drinking water resources and basic sanitation. It also earmarks 30% of the transferred ICN to be used for education. 4 These percentages do not include the Fondo de Crédito Público.

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from 1,160,000 in 1992 to 2,590,000 in 1997 (or from 2.69% to 3.96% as constant Gross Internal Product percentages). According to the National Planning Department (DNP), the actual amount of students registered in those levels increased from 5,972,000 to 7,829,000. The cost per student (in constant 1996 pesos) for pre-school, basic and medium vocational education increased from 203,000 pesos in 1992 to 248,000 pesos in 1997 (a 22% increase in that five year-period); excluding investment expenditure.5 Local Financial Innovations. Notwithstanding the ample evidence of fiscal problems and the unsustainable system of financial transfers for local education systems, the case studies show interesting examples of ways local governments have overcome some financial risks and dependency upon unsustainable national transfers. Antioquia rationalized education resources through fusion of schools, creation of additional grades in existing schools, reallocation of teaching positions, and increases in the teacher-student ratios. The District of Barranquilla doubled its revenue through improved efficiency in tax collection, especially industry and commerce taxes. Pensilvania exemplifies non-profit, private sector involvement in co-financing social spending (mainly from the Federation of Coffee Growers). In Pensilvania, overall, public-private education co-financing averaged up to 10% of total external income from 1993 to 1999. General Conclusions. The final, overall conclusion of the study is that innovations in education management, organizational restructuring and culture change already exist in Colombia. Lessons learned should be shared; and promising examples emulated. Furthermore, stronger incentives need to be in place at the national level to encourage development and sharing of local innovations in all aspects of decentralized education management, organization, education service delivery, and financing strategies.

CRGFP. El Saneamiento Fiscal, un Compromiso de la Sociedad. Volume III Annex, 1997. DNP. Estadísticas Históricas de Colombia. Volume II. Chart 9.24ª 5 CIDE Calculations: Education Management Alliance Case Study Proposal, 1999.

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CHAPTER 1: INTRODUCTION

I. Objectives of the Study The objectives of this study include:

1. Identify and systematically describe the education management processes in four local governments in Colombia: a department, a district, a large municipality and a small rural municipality.

2. Identify common education management elements present in the four local

governments studied. 3. Identify local management strategies and tools that can contribute to strengthen the

framework for the decentralized management of education in Colombia.

II. Research Methodology Organizational and management issues are complex and, as such, broad analytical tools are needed to identify and explore them. Thus, the Case Study6 was selected as an appropriate research tool to study a multiplicity of management elements and allow a systematic description of them. This study is part of a general research strategy which was divided in two phases: an exploratory study and a comparative study. In the first phase, four cases are selected as single representatives of each level of government in Colombia: A department, a district, a large municipality and a small (less than 100,000 inhabitants) rural municipality (the main characteristics of local government levels in Colombia are presented in the table 0.1 below). As a separate product, the second research phase will compare two or more cases at the same level of government (three departments, two districts and two or more municipalities). This study is the product of the first exploratory phase. The unit of analysis is the Secretariat of Education (or education administration unit) in each of the four local governments studied. The period studied is five years, 1995-1999, and covers two administrations. The exploratory study attempts to identify key issues and commonalties in education management among the cases studied, as well as provide some preliminary analysis of the benefits and constraints of the national education decentralization regulations. Finally, the exploratory study provides a general framework for further knowledge generation in this topic.

6 References consulted for Case Study Research included: Yin, Robert K. Case Study Research: Design and Methods, Applied Social Research Methods Series, Volume 5, 2nd. Edition; and Yin, Robert. Applications of Case Study Research of Yin, Robert, Applied Social Research Methods Series, Volume 34, Sage Publications Inc. 1993

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Table 1.1: Levels of Colombian Local Governments Level Political and Administrative Division Department • Subdivided into municipalities and the departmental capital.

• Exercises administrative and coordination functions. Supports municipal work and mediate between national and municipal levels.

• Chief Administrative and Legal Officer: Governor, elected by popular vote for a three-year period.

• Legislative Body: Departmental Assembly elected by popular vote for a three-year period.

Municipality • Subdivided into Municipal communities, zones and/or rural veredas. • Provides public services as determined by law, promotes community participation

and local social and cultural development. • Chief Administrative and Legal Officer: Mayor, elected by popular vote for a three-

year period. • Legislative Body: Municipal Assembly elected by popular vote for a three-year

period. District • Four Districts in the Country: Bogotá, Barranquilla, Cartagena and Santa Marta.

• Subdivided into localities (originally urban municipalities), zones and/or comunas (neighborhood districts).

• Chief Administrative and Legal Representative: District Mayor, elected by popular vote for a three-year period.

• Legislative Body: District Assembly, elected by popular vote for a three-year period. III. Data Collection in the Exploratory Phase Local consultants were hired to explore many different management functions through interviews of key actors in the education systems. These stakeholders are representative of key actors in the management processes of local governments (see table 0.2, below). The exploratory phase used broad open question instruments (semi-structured interview guides) to elicit a broad variety of information regarding decentralized education management in Colombia. The interview guides collected data on a variety of management issues. The same instruments were applied in all four cases, with some minor modification among different government levels. For example, the departmental case included interviews not only with the governor but with selected mayors of smaller municipalities. The case of the municipality of Pasto required instruments to collect information from school networks, an organizational structure particular to this case. With the information obtained in the interviews, the consultants developed databases, which were then made available to all Alliance members for content analysis, further research or to complement other on-going studies. The present study used the databases to systematize and analyze the issues with regard to the objectives of the exploratory study.

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Table 1.2: Overview of Data Collection by Case Analysis Unit Level Actors Interviewed Local Agencies

Responsible for Collecting Data and Organizing the Data Base

Education Secretariat of Antioquía

Department • Governor • Departmental Secretariat of

Education Head and Directors • Teacher Union Representative • Mayors • School Supervisors • School Principals

Corporación para la Investigacion de la Docencia Económica (CIDE)

Education Secretariat of Barranquilla

District • District Mayor • District Secretariat of Education Head

and Directors • Teacher Union Representative • School Principals

Fundesarrollo

Education Secretariat of Pasto

Large Municipality (Capital of a Department)

• Mayor • Municipal Secretariat of Education

Head and Directors • Teacher Union Representative • School Supervisors • Members of School Networks • School Principals

Ivan Montenegro

Education Secretariat of Pensilvania

Small Rural Municipality

• Mayor • Head of Private Sector Businesses

Supporting Education • Teacher Union Representative • School Supervisors • School Principals

Corporación para la Investigacion de la Docencia Económica (CIDE)

IV. Conceptual Framework of the Study The study takes into consideration elements of structural and organizational cultural change, as well as of public sector management and decentralization, by collecting information on three interrelated institutional topics:

• Policy changes in education service delivery and management (as external demands for change in the local provision of education services)

• Institutional and education management change. • Local perspective of the national education decentralization legal framework.

The study breaks down the issues of institutional and education management change in the following analytical dimensions:

• Local political leadership by governor and mayors

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• Strategic Conceptual Structure for Education Service Delivery (Vision, Mission, Plans and Investment Programs)

• Institutional change through reorganization and decentralization (structural change) • Changes in organizational culture through participation

These four dimensions interact throughout this study in the following manner (Figure No. 0.1 below presents the institutional and education management change analytical framework and its interrelations): Local Political Leadership Someone —a person, a group, and/or an institution—must lead the process of change and develop the long-term vision for the education sector. In the public sector and especially at the local government level, a key promoter of education reforms, or lack of, is the political leader. Political leaders can energize their constituents and rally support for education. Examining how leaders provide the vision and support for improved provision of education services can evidence key insights for education management research. Strategic Conceptual Structure for Service Delivery (Educational Mission, Plans and Investment Programs). An institution needs to develop a conceptual framework to convert its long-term vision of beneficiary satisfaction into specific strategies, plans and programs of service delivery. In the education sector, service satisfaction is achieved through investments and services to increase education access and efficiency and improve teaching and learning in the classroom. From the education vision developed by political leaders, the local Secretariats of Education defined their mission (education sector purpose and goals) plans and programs. In this study, the vision, mission and strategic service delivery plans of an institution will be called its conceptual structure.7 Institutional Change Through Reorganization and Decentralization (Structural Change) From the conceptual structure, the institution’s objectives are operationalized into specific activities and tasks. Then, a new operational structure —functions, breakdown of work, and organizational units—is created to assign and organize the work to be done. In the context of a decentralized education system, these structural changes would be studied across the Secretariats of Education, intermediate institutions (such as smaller municipalities, school district supervisors, school networks), and the school itself. Organization Culture Change Through Participation In all social organizations, the operational structure is implemented through the interactions of individuals, units, departments and even among institutions. These day-to-day interactions (information, consultation, decision-making, approval, etc.) can be both formal and informal. Formal interactions can be understood by consulting operational manuals. Informal processes, however, are not written; they are represented in the collective beliefs and values of how things are “really” done in a given organization: who “really” makes decisions, attitudes toward teamwork or delegation, use of information as a private or public good, etc. All these are aspects

7 Strategic Plans are the tools most often used to build conceptual structures. By planning strategically, an organization defines its long-term vision; its mission based on their expected services, products and processes; its goals and specific, measurable objectives. From these goals and objectives, concrete programs and projects are proposed.

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of participatory management.8 Changing organizational culture is a very important part of institutional development, but it is not easily achieved. This study proposes that organizational culture can be adjusted not only through delegation of decision making, but also by the provision of appropriate working tools and resources, especially at the rank-and-file levels. V. Organization of the Study Report Chapter 2 explores the policy changes in education services delivery in Colombia since the late 1960s, both as a contextual presentation and to determine the demands the decentralization policies placed on local governments in Colombia. Chapter 3 will study the dimensions of institutional and education management change in each case: local leadership, strategic education plans and programs, institutional restructuring and organizational culture change. Chapter 4 will explore how the local governments studied have interpreted and managed the national education decentralization regulations. Finally, Chapter 5 will present the conclusions and recommendations of the study.

8 Participatory management -- as a tool to improve delegation, autonomy and team building – is a resocialization strategy. Participation builds buy-in ( “buy in” implies being conscious of the need for change and being committed to those changes).

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Figure 1.1: Organizational Change in a Decentralized Public Management System: Elements of Study

Strategic Planning and

Reorganization

Participation

and Trust Building

Conceptual Restructuring

A. Conceptual (Strategic Plans): • New Assigned

Functions and Responsibilities

• Vision • Mission • Goals • Objectives • Programs and

Projects

Operational Restructuring

B. Operational (Organizational Structure): • Institutional Functions • Work Breakdown • Staffing and Job

Descriptions • Coordination Hierarchy C. Formal Processes • Operational Manuals • Procedures

Organizational Culture ChangeLEADERSHIP

Institutional Change

A. Change of Informal Processes • Values • Beliefs • Attitudes B. Change of Incentives • Delegation and Decision Making • Appropriate Working Tools and Resources

Long-term Vision Promoter of Reforms Availability and Channeling of Resources

Resocialization Restructuring

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CHAPTER 2: CASE STUDIES: MANAGEMENT OF EDUCATION IN FOUR COLOMBIAN LOCAL GOVERNMENTS

I. Policy Changes in Education Services Delivery and Management in Colombia National decentralization regulations have caused many institutional changes in the management of education in Colombia over the past 30 years9. In Colombia, it is usually a new law or decree that propels a new reform or decentralization strategy. For example, Law 43 of 1975 strengthened central management of education. Law 24 of 1988 provided support to education management at the municipal level, and Law 60 of 1993 decreed education management was to be shared between departments, districts and large municipalities. Given their importance for the discussion of this topic, throughout this study both the data as well as the subsequent conclusions will necessarily refer back to these laws. For easy reference, the key education decentralization laws are summarized below (Table 2.1). Table 2.1: Legal Summary of Educational Decentralization in Colombia Law Purpose 1968 Public Sector Reform

Strengthening of public sector management through Ministries. In education, Ministry of Education maintains direct responsibility of education administration. Regional Education Funds (Fondos Educativos Regionales) are created in each department.

Law 43 of 1975 Nationalizes Primary and Secondary Education. Assigns the appointment of teaching staff to governors.

Decree 2277 of 1979 “General teacher career statute”. Establishes norms for hiring, working conditions, job stability, promotion, and retirement of teachers.

Law 24 of 1988 Reorganizes the Education Ministry. Centers education management at the municipal level.

Law 29 of 1989 Assigns the management of teaching staff to municipal mayors. Commits national financing for teaching staff, except appointments exceeding approved levels.

Constitution of 1991 Constitutes Colombia as a unitary, decentralized, participatory and pluralistic Republic. Reiterates the right of all Colombians to Basic Education.

Law 60 of 1993 Assigns different management and legal functions among the various local government levels: department, district and municipality. Establishes norms for the two key national financial transfers in education: the Situado Fiscal, transfers primarily for teacher salaries, and the Participación Municipal en Ingresos Corrientes de la Nacion (PICN), transfers earmarked for investments in education at the municipal level.

Law 115 of 1994 Advocates quality, coverage, access and equity goals in education. Establishes the school level as the center of the participatory and democratic process in the sector, and opens some opportunities for school-based management.

Law 344 of 1996 (article 11)

Requests local government efforts in rationalizing the teaching force through improved teaching staff allocations, teaching hours and school organization.

9 Decentralization has many meanings. In general, it is the process of re-assigning responsibility and corresponding decision-making authority for specific functions from higher to lower levels of government and organizational units. Educational decentralization is a complex process that deals with changes in the way school systems go about making policy, generating revenues, spending funds, training teachers, designing curricula, and managing local schools. This can imply limited transfer of authority to lower levels within the central government through deconcentration; delegation of authority and management functions to regional or local offices of the same institution and/or to autonomous organizations; or devolution of authority and functions to sub-national levels of government or to the community. The degree of central control retained in a decentralized system is widely debated. The most heated debate is whether to transfer or retain control over financial resources. Although this study is not focused on the debate of what decentralization is, suffice it to say that in Colombia this general argument is alive and well.

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Three broad phases can be distinguished in the history of education decentralization in Colombia: 1968-1986, 1986-1993 and 1993-present. Central Management of Education Services – 1968-1986 The Administrative State Reforms of 1968 propelled a first period of education management strategies focused on developing a unified central management system to provide cohesion to the education sector. The 1968 reform created the Regional Education Funds, through which central financial resources were channeled and controlled by an arm of the central government located at the departmental level. Further, in this period curriculum development was centralized within the Ministry of Education (1976) and teachers were nationalized (1980). Municipal Provision of Education Services – 1986-1993 Beginning in 1986, mayors were elected by popular vote and public sector reforms provided fiscal autonomy for municipalities.10 New sources of local financing included local taxation (e.g., municipal taxes on land, industry and commerce) and the sharing of major sources of national income (e.g., IVA sales tax). Subsequently, Law 24 of 1988 called for the reorganization of the Ministry of Education to plan and monitor the sector, rather than directly provide education services. To align education management to the newly decentralized public sector reforms, municipalities were given authority to manage key education resources: teaching staff, infrastructure, and school maintenance (Law 29 of 1989). Municipalities were responsible for promoting active community participation. Nationally-mandated community education organizations, such as the Municipal Education Committees (Juntas Municipales de Educación - JUMEs) were to be formed, strengthened and used by the municipality.11 New Education Decentralization Demands – 1993-Present The 1990s saw increased demand for a more critical role of departments in the provision of education services. The new 1991 Constitution continued to support decentralized education management and to demand quality education outcomes. It committed the Nation to guarantee the quality of basic education and to increase national resources to finance the decentralized system of education. Subsequent laws attempted to decentralize education management responsibilities among departments, districts and the municipalities and to establish the criteria for national financial transfers to local education systems. Law 60 of 1993, for example, established the norms for the local management of the recurrent education budget —the Situado Fiscal. Only departments, districts and large municipalities with a population over 100,000 inhabitants could manage the Situado Fiscal, after a certification process. These “size” limitations attempted to increase efficiency by utilizing larger local governments to guide and support the education needs of very small municipalities.

10 For reference, see the following Colombian legal documents: Law 14 of 1983 (Strengthening of territorial finances), A.L. Nº 1 of 1986 (Popular election of mayors), Law 12 of 1986 (Increase of IVA sales tax transferred to municipalities), and Decree 77 of 1987 (Assignment of functions to municipal communities).

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The “certification” process required an evaluation of local Secretariats of Education by the Ministry of Education to assess local capacity to manage national education transfers (the Situado Fiscal). The certification requirements evaluated changes in the organizational structure of the local Secretariats of Education, as well as of their information and human resource management systems. Also certification required the development of a strategic conceptual framework for the local provision of education services. This conceptual framework included a decentralization plan, a development plan, and an education sector annual plan. As a final step for certification, the Departmental or Municipal Assemblies (the local political congress) had to ratify locally the education management certification (see list of certification requirement in Table 1.1 below). Table 2.1 Requirements for Certification for the Situado Fiscal (Law 60 of 1993) • Decentralization Plan: Formulation of a decentralization plan stating local responsibilities to

increase coverage and improve quality and efficiency of education service delivery. • Development Plan: Formulation of a development plan to improve education services, with

evidence of appropriate forecasting and planning methodology and concrete strategies for execution, programming, and evaluation of physical, financial and impact performance.

• Education Sector Annual Plan: Formulation of an annual sector plan to increase education coverage, improve quality of education, and improve administrative and financial performance.

• Information System: Organization and implementation of a management information system. • Organizational Structure (Education Secretariat): Definition of the local government’s

administrative structure for education management. This structure would absorb previous de-concentrated central offices for teaching management (the Regional Educational Fund - FER) and for research and evaluation (the Experimental Testing Centers – CEPs).

• Incorporation of National Educational Institutions: Strategies for the transfer of national education institutions, such as the FER (Fondo Educativo Regional) and the Teaching Support Centers (CASD), to the organizational structures of the local education sector.

• Human Resource Management: Identification of the structure and administration norms for teaching and administrative staff.

• Local Government Approval: Local governments must approve the request and implementation of certification to manage the education sector.

Source: Education Law 60 of 1993, Colombia Alternatively, Law 115 of 1994 allowed non-certified municipalities the option to hire teachers using their own funds. National transfers for education investment (Participación Municipal en Ingresos Corrientes de la Nacion – PICN or ICN) were provided to all municipalities, whether they were certified or not. These national transfers were earmarked (30% of the total) for new education investments; however, they are commonly used for recurrent costs (such as paying for teachers hired by the municipality). The variety of laws (Law 29 of 1989, Law 60 of 1993 and Law 115 of 1994) governing the education sector created an ambiguous regulatory framework for decentralization. There were contradictory interpretations of what were the roles of departments, districts and municipalities in the provision of education services. For example, laws fragmented education budgets (recurrent and investment) and administrative tasks—for example, administration of teachers—among governmental levels (municipalities, districts, departments and the central government).

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Education Decentralization and the School 12 In the mid-1990s, the Government declared the school the center of the decentralization process, and each school was given the responsibility for the formulation of its own development plan (PEI – Proyecto Educativo Institucional)13. The purpose of the PEI was to develop the vision, needs, priorities, and development goals of each school, and to promote school-based management of certain educational functions. PEIs would propose curricular adaptations, extra-curricular activities, teacher development and training, educational materials and general improvement in the learning environment. However, besides the national norms for the construction of the PEI, there has been no national strategy developed that outlines the specific competencies, tools and financial resources needed to support school-based management. Locally, communities are raising their own funds to support their schools, and some departments and municipalities are making changes in their financial and organizational structures to support school-based management. As we will see in this study, some local governments are even transferring public financial resources to schools for the implementation of their PEIs. II. Chapter Conclusion The summary of decentralized education management history in Colombia presents some unresolved issues, such as fragmentation and confusion of laws governing the sector and incomplete school-based management strategies. However, at the individual case level, some local governments have developed legal and management strategies to overcome the national regulatory ambiguity and fragmentation. Others are finding ways to complement their recurrent and investment budgets and to develop sustainable investment strategies by means of co-financing of education projects between departments and municipalities and alliances with the private sector. Still others are testing different strategies of school-based management including full transfer of financial resources to accounts managed by school governments. These strategies will be described in detail in Chapters 3 and 4. By exploring the education institutions and management strategies of local governments, this study attempts to identify local solutions to the demands and constraints of the national decentralization framework.

12 A summary of school-based management in Colombia can be found in the article by Jesús Duarte, El Fortalecimiento de las Instituciones Escolares Públicas como Eje de la Política Educativa: Coyuntura Social-Fedesarrollo, No 15, Santa Fé de Bogotá, 1996. 13 The Ten Year Education Plan, 1996-2005, determined the school as the center of the educational system. It states that “actions to change the performance of the [education] system can only succeed by building up the school, strengthening it, linking it to the community, giving it resources, allowing decision making, and giving it clear responsibilities. Schools can make the system more efficient, increase coverage and improve education quality and competitiveness”.

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CHAPTER 3: INSTITUTIONAL AND EDUCATION MANAGEMENT CHANGE: RESULTS FROM THE FOUR CASE STUDIES

This chapter first focus is on the political leadership in the four governments studied and their role in the education sector. It also discusses how the decentralized education framework of the 1990s affected the functions, strategic education plans and programs, organization and management strategies of local Secretariats of Education.

I. Local Government Leadership in the Education Sector

Leaders think long-term, look outside as well as inside, and influence constituents beyond their immediate formal jurisdiction. They emphasize vision and renewal and have the political skills to cope with the challenging requirements of multiple constituencies.14

In all four cases studied, political leaders—governors and mayors—during the 1995-97 and 1998-00 administrations seemed committed to the education sector. They provided a long-term vision through their public speeches, development plans and, in some cases, in channeling increased resources to the education sector. Especially the 1995-1997 political administrations successfully managed the intergovernmental and local political environment in the context of the new education decentralization laws (Laws 60 and 115) and consolidated previous local education management experience. (See Table 2.1 below for the detailed actions for each of the governors and mayors studied.)

Political Leadership and the Long Term Vision for the Education Sector

The political leadership’s commitment to education was initially evidenced by the consistency of education development objectives in the Government Plan; the Department, District or Municipal Development Plan; and in the Education Development Plans.15 In each case, through these planning documents, the respective governors and mayors consolidated their vision on behalf of education and prioritized the sector as key to overall social and economic development.

The plans also reflected continuity of local education policies among the 1995-97 and 1998-2000 administrations. In two cases, Pasto and Pensilvania, the same political party has been in office during the period 1995-2000, which has helped to support policy continuation. However in Antioquia and Barranquilla, where opposing political parties were in power in different years, education policies, development plans and investments have also been consistent. Policy continuation seems to enable a coherent development of the education programs in these areas. The case of the Municipality of Pensilvania, in particular, shows a strong political leadership commitment to the education sector. With the certification of its Department, Caldas, Pensilvania lost some previously gained autonomy in education management (mainly the management of State 14 Bolman, Lee G and Deal, Terrence E; Reframing Organizations: Artistry, Choice and Leadership. Second Edition, Jossey-Bass Publishers: San Francisco, 1997; pg.295. 15 These three strategic plans are required of all local governments in Colombia. The Government Plan is the general strategy of a new entering administration. The Department, District or Municipality Development Plan is a multi-sector strategy for overall local development. The Education Sector Development Plan sets the goals, objectives and strategies for improving education.

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teachers and school infrastructure), since the authority for the recurrent education budget (situado fiscal) and its respective management functions was transferred back to the Department. Nonetheless, the local political party in power (Actitud Renovadora) rallied support from the community and local businesses (mainly coffee producers) to continue providing educational services to compensate for the cut in national education transfers. Table 3.1: Territorial Leaders and Administrations: 1995-1997 and 1998-2000

Antioquia Barranquilla Pasto Pensilvania Governors: Alvaro Uribe (95-97) Alberto Builes (97-00)

Vision for the Education Sector:

Alvaro Uribe placed education as his top priority. This priority was reflected originally in two key documents: his post-graduate theses “The Bureaucratic State to the Community State” and the Departmental Development Plan “Antioquía First.” The Plan promoted improved education coverage through delegation of authority to municipalities and participation of non-profit organizations. His administration secured a World Bank loan of US$40 million for education.

Alberto Builes, while from a different political party, continues the education policies from the previous administration. The Development Plan “Antioquía Unites Us” promotes rural education development and the important role of schools to build a culture of peace (Free Zone Schools for Peace – Escuelas Zonas Francas de Paz).

District Mayors: Edgar George (95-97) Bernardo Hoyos (98-00) Vision for the Education Sector:

Edgar George defined his development vision in educational terms, mainly through the improvement of education coverage and learning conditions for the poorest communities in the district.

Bernardo Hoyos was mayor for a second, non-consecutive period in 1998. His first administration was during 1993-95. During both administrations, he has been a leader of the poor and working classes. He directed the provision of social services to marginal urban areas, including access roads, basic health services and education programs. His Popular Education Program – targeted to city slums and depressed areas -- gained recognition as a comprehensive education program for the poor with immediate acceptance and success.

Mayors: Antonio Navarro (95-97) Jimmy Pedreros (97-00)

Vision for the Education Sector:

Antonio Navarro was not only a charismatic leader but also a concrete doer. Immediately upon taking office he modernized public management and incorporated communities in the decisions of the municipal government (through open community meetings called Cabildos).

The Municipal Development Plan “All for Pasto” 1995-1997 committed major budgetary allocations to education. The Education sector plan “Humanism, Knowledge and Productivity” launched School Networks as a strategy for improved efficiency, participation and education quality. His administration secured a World Bank loan for US$7 million for education.

Jimmy Pedreros continues with Navarro’s educational policies, the “Humanism, Knowledge and Productivity Plan”, the school network strategy and the implementation of World Bank supported education project.

Mayors: Carlos Abad Ramírez (95-97) Fabio Augusto Maya (98-00) Vision for the Education Sector:

Since 1988, all mayors in Pensilvania have belonged to the “Actitud Renovadora.” Party. All administrations have placed utmost priority on education. Pensilvania, upon certification of the Department of Caldas to manage the Situado Fiscal, lost its ability to manage and pay most of its teaching staff. However, municipal provision of education continued, financed mostly by contributions of the local coffee producers.

Carlos Abad Ramírez had a comprehensive development strategy with education at its core. The Education Plan 1995-98 focused on secondary education access, quality staff, and appropriate infrastructure. One major institutional goal was to create a Municipal Secretariat of Education for Pensilvania, which was not achieved.

Fabio Augusto Maya: his Education Plan “Pensilvania Beyond 2010”continues the previous administration’s development policies. A concrete objective was to rank Pensilvania among the 150 municipalities with highest rates of development in Colombia. Education was seen as the key development indicator for achieving this objective.

Source: Data Collected for Case Studies of Department of Antioquia (CIDE), District of Barranquilla (Fundesarrollo), Municipality of Pasto (Ivan Montenegro) and Municipality of Pensilvania (CIDE); 1999.

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Rallying support across different levels of Government The many decision-making actors involved in education decentralization in Colombia implied continuous bargaining and negotiations among different levels of government. For example, during the certification of the Municipality of Pasto, the Departmental Assembly of Nariño (the department to which Pasto belongs) had to clear Pasto’s control of the national education financial transfers for education—which were at the time being managed by the department. Supported in each phase of negotiations by its mayor, the Municipality of Pasto successfully negotiated its certification with the national government. However, the Department of Nariño delayed the certification confirmation for nearly two years. Unresolved conflicts included the process of delegation of responsibility for managing State teachers, school infrastructure and their respective budgets. The Mayor of Pasto turned to a national level institution, the Consejo de Estado to litigate a solution with the Department of Nariño and finally Pasto’s certification was upheld by this central legal entity. In the case of Pensilvania (a municipality not allowed to be certified to manage national education transfers because of its size), its Mayor attempted to negotiate with its Department, Caldas, what level of decision making in education management could remain at the municipal level. Various strategies were proposed to allow the municipality to continue managing its teachers and school infrastructure. No agreement was reached, other than continued support from school supervisors hired by the department (the jefes de nucleo). As negotiations stalled with the Department, the political leadership turned to an alliance with coffee producers to support municipal education services.

Finally, the early certification of the Department of Antioquía and the District of Barranquilla was in part due to the development of collaborative networks and the negotiating skills of the departmental governor and district mayor. Antioquia was proactive in negotiating with the central government in all phases of the certification process. The District of Barranquilla developed a collaborative approach with its Department, Atlantico, which all along had supported the certification of Barranquilla. In all cases, the key level of support in negotiations came from the highest political leaders – governors and mayors. Consolidation of Past Experiences in Local Education Management Through the evolution of education decentralization policies in Colombia, local governments accumulated experience in education management. In the 1970s, departments shared some education management responsibilities with the central government, mainly in hiring teachers and in establishing the Nucleos Educativos (school district supervisors). In the late 1980s and early 1990s, municipalities managed their teaching forces and school infrastructure. With the new education decentralization demands of the mid-1990s, the four cases studied showed evidence that the local leadership consolidated previous experiences rather than disregarding them totally for new education management strategies. (Table 3.2, below, shows some milestones experienced by each of the cases studied during the evolution of the education decentralization framework in Colombia.) Antioquia has continued to use Nucleos Educativos as important links between the department and municipalities and schools. Also, as will be explored in detail later, Antioquia maintained the municipal responsibilities for education management that were developed in the 1980s by means of intra-governmental agreements with its municipalities. As certified sub-departmental governments (i.e., a political jurisdiction within a department), Barranquilla and Pasto maintained their education management functions granted during the 1980s and, at the same time,

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incorporated the management of the Situado Fiscal and the teaching force associated with it (a new function incorporated in the 1990s). Pensilvania used its previous education management experience during the period of municipal decentralization to continue the provision of education services, albeit without full national financial support.

Table 3.2: Education Management Experiences of Four Local Governments in Colombia

Antioquia Barranquilla Pasto Pensilvania • Implementation of

the deconcentration policy to Nucleos Educativos between 1978 and 1981.

• Municipal Education Management (based on Law 29, 1989), mainly appointing responsibility for teaching personnel and managing school infrastructure.

• In March 1994, Antioquia was certified to manage the Situado Fiscal (officially approved locally in resolution 6000 on Dec. 20, 1995).

• From 1994-1998, consolidation of Municipal Education Management via intra-governmental agreements

• Municipal Education Management (based on Law 29, 1989), mainly appointing responsibility for teaching personnel and managing school infrastructure.

• In 1991, the city became a municipality and a Secretariat of Education was created.

• In 1993 (through legislative Act 17/93), Barranquilla became a special district, and managed the fiscal resources of its industries and ports.

• In 1993, (through Law 60/93), the District was certified to manage the Situado Fiscal (officially approved in resolution 5293 of Nov. 14, 1995).

• Law 29, 1989, gave Pasto responsibility for administering its teaching personnel and school infrastructure (financial administration remained in a national government institution – FER).

• In December 1997 (based on Ordinance No. 050), the municipality was certified to assume the provision of educational service and the management of the Situado Fiscal.

• The 1282 Covenant of 1999 resolved frictions between the department of Nariño and the Municipality of Pasto for the former’s approval of the certification.

• Within the municipal education management responsibilities decreed by Law 29,1989, Pensilvania managed autonomously education services, teaching staff and school infrastructure.

• Law 60, 1993 and the subsequent certification of the Department of Caldas, re-centralized the management of the national transfers, teachers and of school infrastructure at the departmental level.

• Pensilvania continues to manage its own teachers (hired by the municipality) and to develop education projects supported by contributions of local coffee producers.

Source: Data Collected for Case Studies of Department of Antioquia (CIDE), District of Barranquilla (Fundesarrollo), Municipality of Pasto (Ivan Montenegro) and Municipality of Pensilvania (CIDE); 1999.

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II. New Education Management Functions and Strategic Service Delivery Plans Although strategic planning may seem a sterile, intellectual analytical process, it’s not. The human element is critically important. Strategic planning requires organization’s intimate and enthusiastic involvement, often using formal and informal teams, in providing information, making decisions, and successfully implementing them.16 The local governments studied assumed their newly assigned functions. Conceptually, they elaborated their own sectoral strategic plans to convert their long-term education vision into specific strategies and projects to increase education access and improve teaching and learning. This section presents an overview of the new functions assigned to local governments after the certification process initiated in the mid-1990s, as well as their strategic education plans and programs. Section III will explore the organizational structures both at the local Secretariat of Education level and of the intermediate units closer to the school. Changes in Education Management Functions (1995-2000) Certified17 local Secretariats of Education assume a number of new education management responsibilities. These new management functions included: (i) Management of state teachers (i.e., teachers under public sector coverage)18 and teacher salaries; (ii) provision of education services (curriculum, teacher training, materials, infrastructure) and (iii) general school policy formation and financing activities (number of days of teaching, gathering and processing of statistical information, etc.). The provision of education services was mostly implemented through programs and projects. Management of State Teachers. Departments and certified municipalities manage the national fiscal transfers for education recurrent costs (the Situado Fiscal), mainly for the payment of state teachers. Non-certified municipalities—upon enacting of Laws 60 and 115—lost the management of their teaching force and schools. As in the case of Pensilvania, when the Department assumed the management of the Situado Fiscal (fiscal transfers for payment of teachers), it also reverted the management of teachers and of direct supervision of schools previously carried out by its municipalities. In the case of Antioquia, the Department signed co-management covenants with its municipalities to allow them to continue to manage their teaching force and the Situado Fiscal (transferred by the Department to its municipalities after receiving it from the central government). In cases where transfer by the department of teaching personnel and financial resources does not take place, non-certified municipalities, such as Pensilvania, have used investment fiscal transfers (ICN) to hire their own teachers and to pay for education recurrent costs (including teachers’ salaries) at the municipal level. Provision of Education Investments and Services (curriculum, teacher training, materials, infrastructure). All municipalities (both certified and non-certified) continue to manage education

16 Fogg, David C. Team-Based Strategic Planning: A Complete Guide to Structuring, Facilitating and Implementing the Process; AMACOM, New York, 1994; pg.3. 17 “Certification” or “Certified Local Government” refers to the Ministry of Education’s certification of the “education management capacity” of a local government and, thus, its readiness to receive and manage national financial transfers for education. 18 That is teachers with national posts and paid by national financial transfers. Departmental and municipal teachers hired directly by these government levels were not included.

16

investments financed through fiscal transfers (ICN). These investments may include educational materials and textbooks, laboratories, teacher training and school construction. School construction has been usually carried out through co-financing with the nation or the department. Nonetheless, given the education budget division between departments, which manage the recurrent line items, and the non-certified municipalities, which received funds for education investments, municipalities have tended to redirect funds, originally intended for education capital investments, for the financing of recurrent costs. At the municipal level, this financial management division of labor results in a proliferation of municipal teachers hired with investment funds and infrastructure investments without budgets for maintenance. General School-Level Policy and Financing Activities. In terms of schools’ management functions, there were no initial national incentives and norms to activate the role of schools in the decentralized education system. The decentralized education framework went as far as to regulate the creation of school governments and a school development plan (Plan Educativo Institucional – PEI) as a tool to improves education outcomes, but it did not give schools the minimal resources needed to implement their PEIs. Nonetheless, school and communities have become responsible for their immediate recurrent expenditures such as consumable educational materials, cleaning and maintenance, and in some cases, school meals. General school policies, such as number of teacher working days and teaching hours, as well as information and education statistics to be collected at the school level, continue to be guided by national regulations. (The following matrix shows the distribution of decentralized management responsibilities across the various levels of government in Colombia).

17

Table 3.3 Distribution of Decentralized Education Management Functions Before Certification After Certification

Functions Nation Department Municipality School/ Others

Nation Department (and

Districts19)

Certified Municipality20 (and Districts)

Non Certified Municipality21

School/ Others

1. Management of State teachers & teachers under public sector coverage

Teacher Placement X X X Human Resource Management (daily administration, information, promotion, leave, supervision)

X

X22

X

X

2. Payment of teachers State teachers (teachers under national public sector coverage)

X23

X

X

Department teachers X24

X

Municipal teachers X25 X X26 Co-financed teachers (70% State- 30% Departments/ Municipalities27)

X

X

X

X

X

X

19 Because of their special status and jurisdiction, Districts assume management responsibilities assigned to both departments and municipalities. 20 It refers to all municipalities “certified” by the Ministry of Education to manage national transfers for state (under national public sector coverage) teachers’ salaries and to municipalities granted autonomy via management covenants with the Departmental jurisdiction (example, municipalities in Antioquia). 21 It refers to all municipalities not “certified” by the Ministry fo Education to manage national transfers for teacher salaries (Situado Fiscal), either because of their size (smaller than 100,000 inhabitants) or because they did not request to be certified. 22 The non certified Municipalities obtain responsibility for this function by means of “Agreements of Delegation of Duties” from certified Departments. 23 Financing source: “Situado Fiscal” (one of the main National fiscal mechanisms providing money for Education and Health to different sub-national levels of Government) 24 Financing source: Departmental income. 25 Financing source: Municipal income. 26 Municipalities may hire their own teachers with local funds. Municipal teacher salaries represent a large percentage of municipal education budgets (including national transfers for education investments –ICN). In 1999, the Municipality of Pensilvania spent 41.9% of its education budget for municipal teacher salaries.

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Distribution of Decentralized Education Management Functions Before Certification After Certification Functions Nation Department Municipality School/

Others Nation Department

(and Districts)

Certified Municipality

(and Districts)

Non Certified Municipality

School/ Others

3. Delivery of educational services

Core curriculum design X X

Regional curriculum complements

X X X

Pedagogical supervision X X X X

In-service teacher Training

X

X

X

Textbooks supervision, production & distribution

X

X

X

X

X28

Production of local didactic materials

X X X X X

School restaurants29 X X X X X X X X

Primary school construction and maintenance30

X

X

X

X

X X

Secondary school construction and maintenance31

X

X

X

Libraries and laboratories X32 X X X

27 Co-financing distribution concerning sub-national levels: Departments (30% in Secondary Education) and Municipalities (30% in Primary Education). 28 Textbooks and other education inputs can be financed as investment from the National Fiscal Transfers (ICN) for Municipalities. However, many municipalities use large percentage of ICN funds for recurrent costs such as salaries of teachers hired by the municipality. 29 Financing distribution among all actors: Nation ( through the Colombian Institute of Family Welfare, “ICBF”); Department (Department fixed allocation); Municipalities (food + construction); School & Others (families’ economic support). 30 All financing sources demand co-financing in all cases. 31 All financing sources demand co-financing in all cases.

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Distribution of Decentralized Education Management Functions Before Certification After Certification Functions Nation Department Municipality School/

Others Nation Department

(and Districts) Certified Municipality (and Districts)

Non Certified Municipality

School/ Others

4. General school policies and financing

“Administration of Junta de Escalafon”33

X

X

X

Establishment of number of working and teaching days

X

X

Gathering and processing of statistical information

X

X

X

X

General provision of public services (electricity, water, etc.)

X X X X X X

School ordinary expenditures (consumable and cleaning materials)

X X X X X

32 Financing source: National fiscal transfers and transfers from the “FIS” (The Social Investment Fund). The “FIS” was dissolved at the end of 1999. 33 “Junta del Escalafón” – or teacher promotion committee – decides teacher seniority, promotion, and criteria for salary scales.

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Education Development Plans and Investments Within their conceptual structures (vision, missions and plans), local Secretariats of Education elaborated their own sectoral strategic plans to convert the long-term education vision into specific strategies and projects to increase education access and improve teaching and learning. This section presents a review of the education programs and projects of the administrations of 1995-1998 and 1998-2000 (see Table 2.4. below) in the Department of Antioquía, the District of Barranquilla, the Municipality of Pasto, and the Municipality of Pensilvania.34 Table 3.4: Key Education Programs and Projects of Four Local Governments in Colombia:

1995-1998 and 1998-2000 Administrations Department of Antioquía District of

Barranquilla Municipality of Pasto Municipality of

Pensilvania 1. Coverage Extension Program (100,000). Provided access to low income students through financing of school places in private, non profit schools. 2. Quality Improvement Program. Included a departmental teacher training strategy and the implementation of a municipal and school-based management project to finance school quality improvements proposed and implemented by communities and schools. 3. Coverage with Quality Program. Consisted of three strategies or projects: • Continuation of

contracting school places with private, non profit schools

• Continuation of a Secondary Education Tutorial Program (SAT) contracted out to NGOs

• Rationalization and re-mapping of teachers according to student population demands.

(continues below)

1. Educational Census and Rationalization of the Teaching Force in the District. Project to estimate the needs for extending educational access and the actual rates of net and gross coverage. 2. Teachers of the Community Program. Program to formalize the community education system in marginal neighborhoods (through official contracting of community teachers and paraprofessionals). 3. Preschool Expansion Program: Creation of a preschool grade in primary and basic education schools (grade zero) (continues below)

1. Program for Improving the Quality of Education. A broad program that generates new pedagogical conditions through a variety of projects. 2. Attention to Unsatisfied Educational Needs (NEBIS): • Training for

teachers, principals and community

• Educational materials and school libraries

• School construction – ciudadela educativa

3. Formation of Educational Networks – Financing of subprojects designed and implemented by School Networks. (continues below)

1. Ongoing Implementation of the “Escuela Nueva and Post-Primaria Programs” • Teacher Training • Modular Textbooks • Financing of municipal

teachers and NGOs 2. Program for Compensation and Stimulation of Demand. • Grants for associated

costs of secondary education

• Notebook donations • Student Accident

Insurance • Uniforms and

transportation for low income students

• School feeding programs (Rural preschools)

3. Special Education Support Program (PRIPE) – services for students with mental retardation (continues below)

34 The scope of this study does not attempt to review the effectiveness and quality of the education services provided by the last two administrations studied. It is also too early to measure the impact of the education programs and projects of 1995-97 and 1998-00 in terms of student learning (the outmost indicator of education quality). Nonetheless, this section is important to review how long-term visions for the education and the new assigned functions by the decentralization policies in Colombia were operationalized at the local level in terms of education plans, programs and projects.

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Continuation of Table 3.4: Key Education Programs and Projects of Four Local Governments in Colombia: 1995-1998 and 1998-2000 Administrations

Department of Antioquía District of Barranquilla

Municipality of Pasto Municipality of Pensilvania

4. The Rural Education Program of Antioquía (ERA). Included: • Curriculum and Flexible

School Schedules • Alliances with Coffee

Producers • Escuela Nueva, Post-

Primaria and SAT 5. Strengthening of Municipal Education Management Program. Support to 91 municipalities administering education that have received all of the tangible and real estate assets of the department intended for education. The department takes part through the co-financing of municipal investments. 6. Education and Peace Program. “Free School Zones” Involved peace and cohabitation focused on the school. 7. TAREANET. Provides computers, connection to the Internet and educational software

4. Education Access Programs Contracting school places with private and public (additional hours) schools: • Education Supply

Incentives Program;

• Education Network Support Program; and

• Co-financing of national secondary education project (PACES):

5. Basic Education School Construction Program. 6. Community Education Programs: Various projects for teacher training, pedagogical research and curricular adaptations.

4. Secretariat of Education Strengthening Project: Institutional strengthening. 5. Co-financed Investments • PACES • Integrated

Services for youths

6. Other Projects: • Science and Play

Center • Special Education

Program • Education

Technology Program

4.Loans for Tertiary and University Education Programs 5. Increased Access: • Construction and

Furniture • Student-Teacher Ratio

Improvement • Reduction of

Municipal Teacher Staff and Improved Allocation of State Teachers (reduce local costs)

Source: Data Collected for Case Studies of Department of Antioquia (CIDE), District of Barranquilla (Fundesarrollo), Municipality of Pasto (Ivan Montenegro) and Municipality of Pensilvania (CIDE); 1999. Department of Antioquia In the period studied, the Department of Antioquia experienced a proliferation of education projects with innovative features. In terms of diversity, education projects included expansion of coverage, education quality improvements (such as teacher training), education technology, rural education programs, and strategies to create a more peaceful environment in and around schools (and thus reducing the impact of the armed conflict on teachers and students).

The innovative features in these projects called for alliances with the private sector and support for community involvement. The school access program contracted school places with private, non-profit schools (convenios and horas extras) and hired NGOs to manage the distance education and tutoring secondary education strategies (SAT). The number of student places expanded in 1997 through these programs and their costs are presented in the table below:

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Table 3.5: Education Access Programs Through Subcontrating Strategies in Antioquia (97) Program Number of Students Cost/Year Subcontracts 85,510 26,047,675,000 S.A.T. 14,000 5,909,760,000 Extra Hours 2,926 300,000,000 TOTAL 102,436 32,257,435,000 Source: Departmental Secretariat of Education of Antioquia: Education Access Programs. June, 97 The Quality Education Improvement Program35 and its related rural education and education-and-peace strategies were based on strong community participation and co-management through school governments. The Program aimed at improving the quality of education through the participation of the education stakeholders: students, parents, teachers, schools, municipalities and the department. The center of the strategy is for the school and the program to provide resources to finance school improvement plans (PEIs), focusing on improving teaching and enhancing learning. The table below shows the components of this Program. Table 3.6: Education Quality Improvement Program – Components and Costs (Millions of pesos of 1997) Components Total (million) % 1. Strengthening of the School and the Education Community 1.1. Pedagogical Strengthening and Education Innovations 1.2 School-based Management Strengthening

43,000

30,500 12,500

54%

2. Transformation of Municipal Education Mgmt. 2.1 Education Management and Administration 2.2 Municipal Education Investment Support

17,000

5,000 12,000

21%

3. Departmental Education Mgmt Improvement 3.1 Institutional Strengthening 3.2 Management and Evaluation Systems 3.3 Information, Communication and Education (IEC)

9,000

3,000 3,000 3,000

11%

Total Investments 69,000 86% Contingencies 11,000 14% Total 80,000 100 Source: “Mejoramiento de la Calidad de la Educación Básica en Antioquia”, 1998 During 1995-1997, Antioquia also invested in a program to improve teacher development. About 37,000 teachers were trained during this period (see table 2.7 below). Also for the period between 1998-2000, the Quality Education Improvement Program included investments for teacher training by means of financing teacher training requested in school improvement plans (PEIs).

35 The Quality Education Improvement Program received a World Bank loan for US$40 million dollars for a 5 year implementation period.

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Table 3.7: Teacher Training in Antioquia

Year # of Teachers # of Teachers Trained

% Investment Cost (millions of pesos)

1995 31.408 11.374 36.2 302,753 1996 32.465 16.546 51.0 1,008,000 1997 32.656 9.170 28.0 748,825 Total 37.090 2,095,578

Source: Plan de prestación del servicio educativo y cultural 1998-2000

District of Barranquilla Between 1995-1999, the District of Barranquilla invested as well in both access to education and quality strategies. A sub-contracting program for additional school places, similar to that of Antioquia, was also implemented. “Community teachers” were hired for schooling programs for the urban poor. Other investments aimed at increasing access included school construction, increasing pre-school grades in primary schools and expanding the number of basic education schools (those providing grades 1-9).

Table 3.8: No. of School Places Created in Barranquilla: 1996-1998 1995 1996 1998 Preschool 1,049 26,167 37,117 Primary 5,153 2,584 7,479 Secondary 14,493 11,164 Total 2,843 9,090 18,474

Source: Secretariat of Education of Barranquilla Education Quality Improvement projects included support for teacher training (through the Instituto Distrital de Pedagogía, the University of Atlantico, NGOs and short term seminars), curriculum design, youth programs and the continuation of the Community-Education Program. The Community Education Program has become the showcase project for Barranquilla. It not only provides access to children in poor urban areas but also to drop-outs and parents. The Program’s accelerated education component allows an over age youth or adults to finish 3-4 school grades in one year, completing primary, middle secondary or secondary schooling (see the accelerated student population in 1999 in the table below) in a reduced period of time.

Table 3.9: Number of Youth and Adults Graduating by Level (1999) Level Student Population Literacy 501 Level I 1.053 Level II 1.597 Level III 2.922 Level IV 3.277 Level V 3.353 TOTAL 12.703 Source: Secretariat of Education of Barranquilla (Level II is equivalent to primary education, level III is equivalent to middle school and level V is equivalent to a secondary school degree)

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Municipality of Pasto The Municipality of Pasto has developed its education projects around four key strategies: (i) basic education needs (mostly maintenance of infrastructure and coverage), (ii) pedagogical quality, (iii) community participation and (iv) institutional rationalization and modernization. From a simple analysis of pertinence, the education services seem to address key factors associated with education quality. In addition to specific educational inputs–such as teacher development, educational materials and student evaluations—the education projects are promoting community participation and the role of parents in education. The institutional improvement strategies aim to guarantee the efficient delivery of education services from the Secretariat of Education, Nucleos Educativos (school supervision districts), School Networks and schools. The table below presents the broad education strategies, programs and projects in Pasto between 1995-1999. Table 3.10: Municipality of Pasto: Education Programs and Projects, 1995-1999 Strategies Programs Projects

1.1 School Maintenance and Repairs.

1.1.1 School Furniture 1.1.2. Improvement of School Infrastructure

1. Basic Education Needs Attention (Necesidades Educativas Básicas Insatisfechas – NEBIs)

1.2 School Coverage Maintenance

1.2.1 School Infrastructure Expansion 1.2.2 School Education Materials Replenishments

2.1 Pre-Service and In-Service Teacher Training

2.1.1 Teacher training 2.1.2. Support to school teacher support circles36 2.1.3 Teacher Development Proposals within the School Network Development Plans. (Planes de Red –PDR)

2.2 Education Research and Innovations

2.2.1 Education Research support 2.2.2. Pedagogical Innovations Documentation and Dissemination

2. Improving Pedagogical Practice

2.3. Education Materials and Equipment

2.3.1 Didactic Materials 2.3.2 Textbooks 2.3.3 Equipment to support pedagogical practices

3. Community Commitment and Organization

3.1 Community Commitment and Organization

3.1.1 Community-School Committees and School Government Organization, Stakeholder Training, Information Campaigns

4.1 Institutional Strengthening 4.1.1 Strengthening of the Secretariat of Education 4.1.2 Strengthening of the House of Science and Play 4.1.3 Strengthening of the Education Network Administrative Bodies 4.1.4 Strengthening of the Jefes de Nucleo and School Principals 4.1.5 Strengthening of School-based Management 4.1.6 Implementation of the Education Quality Evaluation System

4. Reordering and Rationalization of Resources and Modernization of Processes

4.2 Development of School Networks. (Creation, Development, Consolidation)

4.2.1 Creation and Consolidation of School Networks 4.2.2 Implementation of School and Network Development Plans

Source: Data Collected for Case Study of Municipality of Pasto (Ivan Montenegro); 1999.

36 Círculos Pedagógicos Institucionales.

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The education strategies and projects in Pasto have been grouped around a large investment Program, the Quality Education Improvement Program.37 This broad investment program provides financing for the projects within the four above-mentioned strategies. Municipality of Pensilvania Pensilvania’s 1995-1998 education plan focused on six education strategies: (i) Infrastructure (for increased coverage), (ii) school supplies, (ii) pedagogical innovations, (iii) human development (mainly teacher and community training), (iv) culture and sports; (v) education administration (institutional development interventions); and (vi) personnel services. The program covered investments in school access, education quality and associated factors to learning such as community involvement and institutional support (see table 2.11 below). Finally, the 2010 Education Plan (developed during the 1998-2000 administration) summarizes programs to increase school access, education quality, and community and institutional capacity building under the following five strategies: (i) Human development sustainability, (ii) pedagogical model, (iii) healthy living, (iv) community organization, and (v) local education systems. Table 3.11: Education Investment Plan of the Municipality of Pensilvania, 1995-1998 Programs Cost

(mill) % Programs Cost

(mill) %

I. Infrastructure 232 40 V. Culture, Recreation and Sports 7.7 1.3 Repairs New Construction Extensions

Recreation and Sport Activities Administration Sport Installations Cultural Events

II. School Supplies 157.1 27.1 VI. Education Administration 55.7 9.6 Educational Materials Textbooks Computer Lab Didactic Materials Furniture Laboratory Materials for Nucleos

Creation of a Municipal Secretariat of Education

III. Pedagogical Innovations 3.5 0.6 VII. Personnel Services 68.8 11.8 Municipal Teachers Subcontracting Service Administration

Municipal Teachers Education Support Staff

IV. Human Development 55.7 9.6 Student Support Support for Disabled Students In-Service Teacher Training Rural Community Training

TOTAL 580.5 100

Source: Data Collected for Case Study of Municipality of Pasto (Ivan Montenegro); 1999.

37 The Pasto Quality Education Invesment Program received a US$7.2 million loan from the World Bank.

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Section Conclusion In the four territorial entities, this simple analysis of its education plans and program shows increases in the education projects delivered and in their pertinence and relevance to local education needs (shown by the diversity of education issues addressed). With regard to the focus of education plans and programs, there seems to be an emphasis on education coverage programs. In Antioquía, over 60% of the education budget was geared towards the school places subcontracting program. In Barranquilla, over 90% of the investment budget was allocated among subcontracts for school places, new infrastructure and hiring of teachers. In Pasto, the majority of its educational investments have been part the Program of Basic Quality Improvement (with a budget of US$ 12 million), which included more integrated coverage interventions with educational quality. Nonetheless, the NEBIS component absorbed the highest amount of resources, half of which went to school construction. Pensilvania had the most balanced education investment plans, where 50% of the education investment expenditures targeted education access needs, while the other 50% supported education quality improvement programs (teacher training, school supplies, and extra-curricular and cultural activities). While education plans and programs provided the conceptual structure to deliver the education vision of local governments, Secretariats of Education still had to restructure their organizations to manage and implement these new programs.

III. Structure and Organization of Local Secretariats of Education The organization chart and its underlying values have been the standard blueprint for organizations throughout this century. It reflects the values of the authoritarian world as refined for use in the productive sector by Frederick Taylor and Henry Ford. It assumes that organizations are more effective when thinking is separate from doing; when work is divided into small, specialized chunks; and when job and group boundaries are clear and relatively discreet.38 (However) Improvement is not confined to specific tasks or organizational boundaries. Instead processes are addressed in their entirety, across conventional boundaries, with the specific intent of improving products and services delivered to customers. In this culture participants are encouraged not only to achieve results but also to improve the processes by which results are achieved.39 This section explores the operational organization structures of the Secretariats of Education of Antioquia, Barranquilla and Pasto40 where, as part of their certification to manage the Situado Fiscal, new education management functions at the local government level were broken down into activities and tasks among organizational units, teams and individuals. The evidence suggests that the four cases studied made use of intermediate units closer to the school, including non-certified municipalities, Núcleos Educativos (school district supervisory office) and Redes Educativas (school networks).

38 McLagan, Patricia and Nel, Christo. The Age of Participation: New Governance for the Workplace and the World; Berrett-Koehler Publishers; San Francisco, 1997, pg.74. 39 Tenner, Arthur R. and DeToro, Irving J. Process Redesign: The Implementation Guide for Managers; Addison-Wesley Longman, Inc; Reading, Massachussets, 1996, pg. 5. 40 With the certification of the Department of Caldas, the municipality of Pensilvania lost, rather than assumed, education management functions. The municipality still does not have a Secretariat of Education. However, when appropriate, reference will me made to Pensilvania’s to note how they innovated the provision of local education services without an administrative institution.

27

Restructuring of Secretariats of Education41 Local Secretariats of Education at the Departmental, District and Municipal level made changes in their operational structures (functions, division of labor, responsibilities, hierarchies and procedures) to perform the decentralized education management functions and to implement their new education programs and projects. The operational structures of the education systems of the Department of Antioquia and of the District of Barraquilla followed an administrative function model.42 In both cases, the Secretariats of Education created separate divisions for education planning, financial administration, pedagogical services, decentralization management (support for Nucleos Educativos, school networks, and even non-certified municipalities), and teacher relations and the Situado Fiscal. However, both Antioquia and Barranquilla have identified problems with their organizational structures (examples of the opinions collected on the appropriateness of Secretariat of Education organizational structures are presented in table below). The evidence points to isolation and lack of communication among units and divisions, as well as lack of congruence between functional units and the provision of education services through projects and programs as common to both cases. Education projects are managed by a small group of people and have little cross-divisional support: Projects assigned to a particular unit received very little support from the rest. Each project group manages its own planning, pedagogical designs and financial inputs.

Table 3.12 Opinions on the Organizational Structure of Local Secretariats of Education Antioquia Barranquilla

“ The functional [operational] structure has boxed in the work of the Secretariat of Education. Staff work in their own organization chart box and pay no attention to cross cutting issues, large strategies and integrated projects. They simply belong to a technical and bureaucratic division of the Secretariat…..” Advisor to the Secretary of Education (1999).

“There are very few [horizontal] communication channels among units. All units of the District Secretariat of Education are islands…. There is no management of information to [make informed] decisions and move the process [of education service provision] along. For example, there is no clarity of the scope of a particular project because there is no information available on the financial resources available for that project….” RADAR Assessment (1998)

“Within the new organizational chart, changes were not as dramatic. The priority was to increase the capacity of some units rather than reorganize the whole Secretariat. For example, the financial and administrative autonomy of the Secretariat was a priority and, thus, it needed to become strong vis-a-vis negotiations with the Secretariats of Finance and Planning. Strengthening the Pedagogical Development Unit was also a priority, since it was the raison de etre of the Secretariat. Planning and Information Systems were the hardest units to improve.” Top Manager of Secretary of Education (1999)

“In the beginning there were staff cuts. A technical study had to substantiate to the District Administration the restructuring process of the Secretariat of Education…. [For example,] we incorporate the CASD, which provides support to basic and secondary schools without laboratories for teaching of science and physics) as a division of the Secretariat, where previously it was a project unit…. In essence [the restructure] converted units into divisions, and divisions into units.” Secretariat of Education Staff (1999)

Source: Data Collected for Case Studies of Department of Antioquia (CIDE) and District of Barranquilla (Fundesarrollo); 1999. 41 Only Antioquia, Barranquilla and Pasto are analyzed in this section since Pensilvania still does not have a Secretariat of Education. There, most of the daily education management needs are handled by the mayor and the Director de Nucleo (the head of the District Supervisory Office). 42 In this model, different units and divisions of an organization are created around generic management functions, such as planning, finance, and human resources management.

28

The Municipality of Pasto has implemented a different organizational structure. It organized the municipal Secretariat of Education across functions and projects. This mixed structure defined the responsibility each functional division had for each education project. Although each project has a general coordination team (or individual) responsible for the achievement of development objectives of the project, the functional divisions are assigned specific responsibilities in each of those projects (see Table below).

Table 3.13: Organizational Structure of Pasto’s Municipal Secretariat of Education PROJECTS Co-financed projects Quality

Improvement Project

Other projects School Network Strategies

School Support Strategies

Central Municipal Sector Strengthening

DIVISIONS BY FUNCTION

Financial Division

Budget Payment Orders

Budget, Accounting and Payment order

Budget and Payment orders

Budget and Payment orders

Budget and Financial Advice and Controls

Budget and Payment Orders

Management division

Project Implementation Support Technical Advice Monitoring

Project Implementation Support Technical Advise Monitoring

Project Implementation Support Technical Advise Monitoring

Monitoring

Approval. And Monitoring of PEI Pedagogical Advice.

Implementation Support for Inter-sectorial Projects

Administrative division

Redistribution of teachers and administrative personnel.

Appointment of teachers in commissions

Support to coverage expansion program

Tracking of school population and teaching and administrative personnel.

Design and implementation of administrative processes

Planning Division

Diagnosis and Design Support Project Implementation Support Project Monitoring

Diagnosis and Design Support Project Implementation Support

Diagnosis and Design Support Project Implementation Support Monitoring

Support in design and development of strategy. Collection of educational statistics

School project design and implementation advice. Collection of educational statistics

Proposals for social sectors planning

Office of the Secretary of Education

Identification of education strategies and development opportunities

Articulation with Functional Divisions and Project Coordination Unit Financing Allocations.

Identification of education strategies and development opportunities

Authorization of Network Investment Projects (PDRs)

Human resources, financial and logistical decisions.

Determination of policies and priorities. Selection and placement of Secretariat staff.

Civil Works Designs, construction & supervision

Designs, construction & supervision

Designs, construction & supervisions

Designs, construction & supervisions

Legal Office Legal Advice and drafting and negotiating of legal agreements and contracts. Legal management of co-financed resources.

Legal Advice and drafting and negotiating of legal agreements and contracts.

Administrative and human resources legal actions. Drafting and negotiating of legal agreements and contracts.

(*) Approximately. Source: Secretary of Education of Pasto, September 1999.

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Decentralized Units and Divisions of Local Secretariats of Education The three Secretariats of Education studied had decentralized structures at intermediate levels closer to the schools, including non-certified municipalities (the case of the Department of Antioquía), Nucleos Educativos (school districts), community organizations and school networks (The case of the Municipality of Pasto). Functions of Non-certified Municipalities in the Department of Antioquia Throughout the process of decentralization, Antioquía maintained the autonomous control of education management that had been provided to all municipalities in 1988. Although the certification process transferred responsibility for management and payment of State teachers to the department, Antioquia interpreted the law as allowing co-management with its municipalities. In essence, Law 60 of 1993 states that the department—with its municipalities—would manage the administration of education services. To make official its decentralized structures for services delivery, Antioquia signed “Education Management Delegations Agreements”, by which non-certified municipalities shared management responsibilities of all teaching staff, education services and school infrastructure. Antioquía also has continued to provide financing to municipal investments through co-financing mechanisms (though greatly reduced recently by the fiscal crisis and the diminishing ICN transferred to municipalities). Co-financing was provided for both municipal and departmental projects, with the schools in the co-financing municipality being the ultimate beneficiaries. The case of the Department of Caldas and the Municipality of Pensilvania shows that the opposite of the Antioquia strategy can occur. The Department can decide to re-centralize education management functions previously held by the now uncertified municipality. Jefes de Núcleos Educativos (School District Supervisors) Starting in 1975, Law 43 nationalized education but assigned to governors the authority to appoint and supervise teachers. Departments created the Nucleos Educativos (originally as an “education mapping” exercise) to carry out these tasks. The stated management functions of the Jefes de Nucleos (the chief school district supervisor) are both educational and administrative. In practice, however, the work is largely focussed on the latter, and includes supervision of school infrastructure, collection of school statistics, and negotiation of school staff grievances among others. Until today, the Nucleos Educativos are directly linked to the administrative structure of the departmental Secretariats of Education. In Pasto, this has caused some friction with the Municipal Secretariat of Education, especially in the initial lack of involvement of Jefes de Nucleos in the education projects launched by the municipality. In the municipality of Pensilvania, the Jefe de Nucleo of the Department of Caldas supports the mayor in all decisions related to education management, including those financed solely by the municipality. The district of Barranquilla has been promoting the Nucleos Educativos as key providers of services at the school level. Antioquía has tried to go a step further by delegating the day-to-day coordination of the Nucleos Educativos to the municipal level. In general, the supportive or constraining role of Nucleos Educativos follows the existing relations between the municipality and the department. If these were harmonious or confrontational, the relations between the municipality and the Jefes de Nucleo, in general, would reflect it.

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School Networks (Redes Escolares). Pasto created the Redes Educativas (School Networks) as a new intermediate structure to support schools. A Network groups schools according to geographic area and across educational levels. School Networks have all basic education grades (0-9) represented among their school members. In essence, this strategy of grouping schools guarantees children in the Network access to a minimum of nine school grades. Networks perform teaching support, school administration and community participation functions. The internal structure of school networks is made up of staff from both the municipal Secretariat of Education (Promotores de Red) and school governments. As a result school networks become an extension of not only the Secretariat of Education but also of individual school governments. Representatives of school governments discuss individual school development plans (PEIs) and agree on strategies to integrate them into a development plan for the Network that would benefit all schools. Staff of the Secretariat of Education and the Network Promoter provide organizational, planning, and pedagogical advice. The role of Jefes de Núcleos, as departmental staff, has been a continuous focus of contention and negotiation, since School Networks are not necessarily grouped along the geographic lines of Núcleos Educativos (school districts). Also, the increased number of local stakeholders participating in school and Network decisions makes of the role of Jefes de Núcleo even less clear. One solution has been to clarify the roles of departmental (Jefes de Núcleo), municipal (Network coordinators and promoters) and school staff (school government delegates to the Network) by means of participation workshops. Better clarity on responsibilities and tasks has led to improved relations among Network stakeholders (Table below presents the agreed division of functions within the school networks). Table 3.14: Division of Functions between Network Promoters, Jefes de Nucleos and the Secretariat of Education (SEM) in the Municipality of Pasto

ACTIVITIES Entity responsible Advising and support in development of PEIs (School Improvement Plans) Network promoter Advising and support in the implementation of the curricula and study plans Network promoter Advising and support in the development of School Social Cohesion Plans (Manual de Convivencia Escolar)

Network promoter

Support in the organization school government Network promoter Teaching Service Fund (School Bank Accounts) SEM Teacher Training SEM Support in administrative and financial management SEM Promotion of community participation SEM and Network

coordinator School Services Supervision (school calendar, hours of teaching, class schedules)

Jefe de Nucleo

Conflict Resolution within schools Jefe de Nucleo Day-to-day management SEM and Jefe de

Nucleo Evaluation and monitoring of the SEM’s education programs Jefe de Nucleo Articulation of PEIs (School Improvement Plans) within the PEMs (Municipal Development Plan).

SEM

Source: Data Collected for Case Study of Municipality of Pasto (Ivan Montenegro); 1999.

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Section Conclusion Defining an appropriate organizational structure is not an easy task. As such all operational structures are necessarily limited. However, the experience of the cases may suggest that a more flexible structure that combines responsibility for functions with products (in this case, education projects) and makes use of structures closer to the schools can improve communication, teamwork and self-adjustment. Table 2.15 below summarizes the operational and decentralized structures in each of the four cases. Table 3.15: Operational and Decentralized Education Management Structures

Department of Antioquia District of Barranquilla Municipality of Pasto Municipality of Pensilvania

Functional Structure (via Departmental Decree 2865 of July 1996).

Functional Structure (via Departmental Decree 2865 of July 1996).

Mixed Functional/Project Structure (via regulatory decree 1569/98 and law 443/98)

Pensilvania has no Department of Education

Changes starting with Certification:

Changes starting with Certification:

Changes starting with Certification:

Changes starting with the Certification of the Department of Caldas:

(i) Full financial and administrative responsibilities

(ii) Continuation of municipal decentralization

(iii) Responsible for pedagogical models and tools.

Decentralized structures:

• Creation of the “Office of Decentralization” in the Departmental Secretariat of Education (SEDUCA).

• Delegation of functions to non-certified municipalities through “Delegation Agreements”

• Development of teams of local advisors (Asesores Locales) for municipal and school-based management.

• Jefes de Nucleo accountable to each municipality.

(i) full financial, administrative and personnel responsibilities;

(ii) Incorporation of national structures (the Experimental Pilot Center, the Regional Fund and the Office of the Escalafon) into the structure of the Secretariat of Education.

Decentralized Structures: • Restructuring of the

Control, Monitoring and Institutional Support Division

• Delegation of administrative and technical/pedagogical functions to the Jefes de Nucleo.

• Education service provision through neighborhoods (comunas) and community organizations.

(i) full administrative management,

(ii) Technical and pedagogical models and tools;

(iii) Advice and Monitoring of educational networks and school governments.

Decentralized structures:

• Creation of school networks

• Delegation of school governments to networks and clarification of responsibilities between network promoters and jefes de nucleos.

• Design of functional/project organizational structure for the Municipal Secretariat of Education.

(i) Municipality loses its autonomy to manage State Public Sector teachers and school infrastructure;

(ii) Continued municipal education service is provided with support of coffee producers.

Decentralized structures: • Consolidation of

education administration in the offices of the mayor and the Jefe de Nucleo of the municipality.

• Provision of financial support by the private sector (Departmental committee of Cafeteros) to hire teachers, support schools and provide grants for secondary and higher education for honor students.

• The Jefes de Nucleo (3 in the municipality) assume the functions of “Secretary of Education” supported by the mayor and his cabinet.

Source: Data Collected for Case Studies of Department of Antioquia (CIDE), District of Barranquilla (Fundesarrollo), Municipality of Pasto (Ivan Montenegro) and Municipality of Pensilvania (CIDE); 1999.

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IV. Resocializing: Organizational Cultural Change

Today’s work differs from the traditional model in three significant ways: First, employees are better informed, better educated, and less tolerant of work for the sake of work…. When people see problems today, they want to be able to correct them. Second, work itself has changed: physical labor has been replaced with information and knowledge work…. Third, expectations are different: the rapid pace of

change now demands that decisions must be made at the working level….43

The resocializing (changing attitudes and beliefs of staff) process in some of the Secretariats of Education studied are developing a participatory process among staff from the Secretariat and their intermediate units and communities and schools. Participation is generated in two ways: a) re-structuring formally and b) re-socializing informally. Formally, restructuring efforts have attempted to delegate some education management responsibilities to school governments, municipal community committees (Juntas Educativas), and smaller, non-certified municipalities (as described in the section above). Informally, high level managers claim new works practices seek to promote common beliefs, attitudes and values of openness, confidence and collective work among staff. Based on qualitative data (interviews and focus groups) collected, structural and formal changes alone have not changed the culture of traditional education management systems. High level managers may claim their organizational structures as open and flexible, while the rank and file workers consider them closed and rigid. As seen in the last section, there have been participatory efforts through the creation of formal structures in non-certified municipalities, Núcleos Educativos and School Networks. However, the common beliefs of lower ranks – and thus, the organizational culture – still considers education management centralized. However, re-socialization—or change in common beliefs and attitudes of staff—may take place when community and school participation focuses on improving relations among education actors, builds trust and creates a vision for improved teaching and learning in each school. This last section explores organizational culture change in each of the cases. Organizational Culture: Common Beliefs and Attitudes among Education Sector Staff Identifying beliefs, values and attitudes in an organization is a complex task. Not simply because of the varying types of answers a researcher may collect, but also, and perhaps most importantly, because the stated answer of a staff may not necessary reflect his/her real beliefs. Nonetheless, common answers—or lack of them—can eventually reflect underlying human moods. Addressing underlying attitudes and beliefs is critical to the successful implementation of any substantive change. In this section, we attempted only to scratch the surface of organizational culture by detecting the congruency, or lack thereof, between the statements and expectations of top management regarding participation and delegation and the opinions and comments of staff at intermediate and lower levels of the system.

Differences of opinion were expected because participation provides the opportunity for different actors to raise opposing views and express discontentment with the current situation. Opposite opinions did not invalidate a particular participatory strategy; they only confirmed that structural changes did not imply immediate cultural ones. Table 3.8 shows examples in the four cases of the 43 Tenner, Arthur R. and DeToro, Irving J., Process Redesign: the Implementation Guide for Managers. Addison-Wesley, Massachusetts, 1996, pg. 14.

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consistency of top management participation and delegation statements and the latent beliefs and attitudes among other education stakeholders.

Table 3.16: Common Beliefs and Attitudes Regarding Decentralized Education Management Case study Top Management Statements Comments and Opinions by other Stakeholders Department of Antioquía

“The persistent decentralist strategy of the nineties – supported by the political leadership and the Secretary of Education -- is a crucial factor for the change in mentality of employees and for establishing new department/municipal relationships that are more focused on cooperation and coordination” (Interview with the Advisor to the Office of the Secretary of Education)

“We called on representatives of all offices of the Secretary of Education and of Education Stakeholders—Planning, Financing, Jefes de Nucleos, principals, teachers, indigenous and black communities, academics, NGO – to develop through their participation the 1997-2000 Sector (Education and Culture) Plan. (Top Manager of the Secretary of Education).

“The government is giving social, education, health responsibilities to local governments … and also to (education) institutions, but with no allocation of resources (Labor Union leaders of Antioquía)

“It should be admitted that (in school management) the major emphasis has been curriculum and pedagogy and not management…. The lack of school autonomy, the centralist interventions and decision of the national and departmental organizations, the lack of leadership and management training for principals, the diminished legitimacy and social recognition of the school are some factors that have created this situation” (Focus Group with civic leaders of Antioquía).

District of Barranquilla

“Our objectives are coordination and advice through the leadership and commitment of Jefes de Nucleos to support pedagogical management, to reinforce school autonomy and management capacity through the PEI (School Improvement Plan); and to democratize school life and integrate schools with society at large” (Top Management of the District Secretary of Education)

“They (the Secretary of Education) are the ones that determine what the district’s needs are. Just last year a little more became known. However, I think more importance needs to be injected (into the communication process) because we know they are making decisions but there are no official statements. We should know when committees meet, what their proposals are, and how proposals are approved.” (Comments of an employee regarding the Barranquilla Secretary of Education, Teacher Training Committee);

Municipality of Pasto

“In some schools studied, the participation of the families and to a lesser degree that of the students is obvious, even though to different extents” (School Participation researcher in Pasto). “The principles that sustain our Sector Plan are: quality, warmth, knowledge, human development in school and community…” The warmth is the attitude toward the peaceful acknowledgement of our differences, the duties and the rights of the citizens and in particular with regard to education….” (Top Management of the Department of Education).

In other schools, there are tangible restrictions to the participation of families, in spite of the efforts made…”(Researcher of School Participation in Pasto).

“Within the current government, we have had political opposition (to participation), which has been lessened with the conclusion of the decentralization processes at the networks and school level. (Researcher).

Municipality of Pensilvania

“We are here primarily because we care for the people”(Top Political Leader) “A top-level commission of experts by means of community’s participation process will formulate the 20-year “Plan for Educational Development” (Top Political leader)

“Before, we had more of a protagonist role in the decisions that were made… Now we are mere coordinators. The Department of Education (of Caldas) is our boss, but we do not feel supported by them…” The Nucleos Educativos have administrative, curriculum, pedagogical, and community participation functions… But we are missing key inputs, such as money…” (Jefe de Nucleo).

Source: Data Collected for Case Studies of Department of Antioquia (CIDE), District of Barranquilla (Fundesarrollo), Municipality of Pasto (Ivan Montenegro) and Municipality of Pensilvania (CIDE); 1999.

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Common conclusions in terms of the contrasting opinions between top management and other education stakeholder are: (i) top management embraces participation and delegation in their official statements and in their formal decentralized structures; (ii) rank and file staff are still not fully convinced that the decentralized management structures have changed centralized decision making and power; and (iii) the reason most used to invalidate decentralization efforts to-date are the lack of decision making delegation and resources to schools.

Re-socializing Needs and School-Based Management The national education decentralization framework goes as far as to propose organizational structures and planning tools for school management and community participation. These national structures and tools include the creation of school governments, school-based planning tools (the PEI – the School Improvement Plans), and school bank accounts (called Fondos the Servicio Docente). However, national education regulations have left a void regarding school management functions, implementation autonomy and financial resources.

Nonetheless, local governments have begun to fill this void. In all four cases studied some type of strategy to support school-based management is underway. Pasto and Antioquia have made the most progress in strengthening school-based management as a strategy for improving the quality and efficiency of the educational service. Both local governments have committed public funds to be managed directly by schools in support of their own school improvement plans (PEIs).

As a re-socializing tool, the focus of school-based management strategies in the case studies has been on improving relations and trust among education actors (students, teachers, principals, parents and Secretariat staff) and in creating a common vision for teaching and learning improvements in each school.

The Department of Antioquia Antioquia supports school autonomy through the financing of subprojects prepared by the school government, teachers and families. About US$40 million dollars have been committed to support school improvement plans during a five-year period (1998-2003).44 The process of school-based management was initiated by an extensive campaign to promote community participation and to support the organization of community and school actors within school governments. The focus was not on the organizational structure itself but on building commitment, trust and collaboration among teachers, parents, principals and municipal and departmental staff (mayors, jefes de nucleos, etc.). Subsequently, schools and communities develop their PEIs and requested financing to implement them from the Department Secretariat of Education and from their own municipalities (which pay 50% of the cost of implementing PEIs in their schools).

The financed school subprojects include proposals from teachers, parents and Jefes de Nucleo. The type of school investments financed include improvement to the school environment, teacher training and classroom support, educational materials and equipment, and extracurricular activities to complement classroom teaching and applied learning (see table below).

44 Antioquia School-Based management strategy is supported by World Bank loan of US$40 million dollars earmarked to finance 50% of Antioquia’s Basic Education Project.

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Table 3.17: School-Based Management and School Investment Subprojects

Participating Stakeholders Types of Investment • School Governments • Teacher • Parents • Jefes de Nucleo

• Improvements in school environment • Teacher Training and Classroom Support • Materials and educational equipment • Extracurricular activities;

Source: Basic Education Improvement Project. Secretariat of Education of Antioquia, 1997 So far, the goal is to implement school investments in 1,200 schools in the department, representing 80 municipalities. This goal implies mobilizing the participation of 80 mayors, 160 jefes de nucleos, 5,120 teachers, 12,800 families and 201,600 students (see table below).

Table 3.18: Municipalities, Schools, Students and Families Supporting School-Based Management Strategies in Antioquia Stakeholders Number Municipalities 80 Jefes de Nucleos (2 x municipality) 160 RURAL URBAN TOTAL Schools 1200 960 240 1200 Teachers 5120 1920 3200 5120 Students 201,600 57600 144,000 201,600 Families 12,800 3712 9088 12800 Source: Basic Education Improvement Project. Secretariat of Education of Antioquia, 1997

The Municipality of Pasto Pasto considers school-based management the basis for the success of its School Network program. Well-organized school governments are the backbone of School Networks since coordination between them is essential to Network success. School PEIs are consolidated to create a network improvement plan or to identify resources for individual school implementation. The network coordinator supports not only the network committee but also each school member. In essence, the network coordinator becomes the key promoter of school-based management and positive relationships between the network and school actors. According to a survey of actors involved with school-based management45 (cf. table 3.19), students and families believe the decentralization process has improved the relations among community and school actors and the Municipal Secretariat of Education.

Table 3.19: Opinions Regarding Improvements in Relations Between School and Community Actors and Staff of the Municipal Secretariat of Education

School Actor Opinion Improved Worsened Stayed the same Teachers X Principals X Students X Families X

45 Source: School and School Networks Survey in Pasto. September 1999

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Likewise, network coordinators feel that teachers and principals—though still expecting further delegation from the decentralization process—have increased motivation and their performance has improved to support school-based management and School Network strategies.

Table 3.20: Network Coordinator Opinion of Motivation and Performance of School/Community Actors

Motivation Performance Actors:

Good Avg. Poor Good Avg. Poor

Teachers X X Principals (for heads of core unit) X X Students X X Families X X

Source: School and School Networks Survey in Pasto. September 1999 The Municipality of Pensilvania Schools in Pensilvania have also been experimenting with school-based management. In terms of academic autonomy, most urban and rural schools see an increased autonomy in curricular decisions but feel that there has either been no change or they have less of a role in teacher management. In terms of financing, most schools see increased financial demands at the school level; however most schools with increased needs also see a decreased in financial resources available to them (cf. table 3.21). Table: 3.21: Opinions of Principals Regarding Degree of Administrative, Academic and Financial Autonomy

7 Schools in Pensilvania URBAN RURAL

Current degree of autonomy by Management Areas

Basic Education and Higher Secondary (grades 1-11)

TraditionalPrimary Education

Basic Education (grades 1-9)

Basic Education and Higher Secondary

Primary Multigrade (Escuela Nueva)

Basic Education (Escuela Nueva)

Academic Curriculum design Teacher management

Increasing Same

Same Same

Same Same

Increasing Increasing

Increasing

Decreasing Increasing

Financing Financial need Financial resources

Same Same

Same Same

Increasing Decreasing

Increasing Increasing

Increasing Decreasing

Increasing Same

Source: Inquiry to Principals and Teachers in Pensilvania – September 1999 There are no public financial transfers to schools in Pensilvania. Those funds managed by schools are mainly raised from the community, families, extracurricular activities and school cafeteria revenues. Secondary schools have higher budgets, since they also may charge for some small laboratory fees and for complementary student services. These funds are used for general expenditures such as electricity, school maintenance and some non-durable materials (ink, paper, staplers, etc.). In general, some schools are better available than others to independently raise funds, contributing, thus, to financial inequalities between schools.

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Chapter Conclusion Some of the evidence that is common to local education management efforts in the four cases includes political leadership, conceptual frameworks (vision, mission, plans and programs) for education service delivery, and organizational change (both through restructuring and resocializing). Political leadership is important to formulate a long-term vision of education development, rally support across levels of government and institutional stakeholders and consolidate (give continuity) to education strategies that worked in the past. Even when negotiations have stalled between different education actors, as in the case of Pasto and Nariño and Pensilvania and Caldas, the process of local actors uniting against a common education vision has build commitment and local alliances have formed that benefit the education sector in diverse ways. At the education services planning and investment program formulation level, the four cases presented interesting education innovations, such as alliances with the private, non-profit sector; programs for conflict resolution and peace; and strategies for community involvement and support for school-based management initiatives, including financial transfers to each school for implementation of their school improvement plans (PEIs). An “appropriate” organizational structure model may not exist. Communication flow and teamwork are key indicators of good division of labor and coordination among actors, whatever the organizational structure may be. The example of Pasto shows an attempt to make boundaries across divisions (functional and projects) more permeable by means of integrating management functions with project responsibilities. Beyond the Secretariat of Education, another common feature identified in all cases is the use of intermediate structures closer to schools. Secretariats of Education have delegated management functions to non-certified municipalities, jefes de nucleos, neighborhood committees and school networks. Nonetheless, efforts to improve communication and shared responsibility may not be solved by structures alone. Education stakeholders, mainly those at the community and school levels, still believe education management is centralized and does not allow for real participation. The most often cited examples of this were the lack of clear management mandates and resources at the school level. Most schools demand financial resources to implement their PEIs. Finalizing the process of decentralization at the school level can help improve the quality of education within the school. School-based Management interventions should focus also on improving relations and trust among local actors and build common visions for improved teaching and learning in each school. By doing so, the school and the community can begin to change mentalities, beliefs and attitudes toward education managers, participation strategies and shared work in support of schools. Organizational restructuring will then be accompanied by a true organizational culture change.

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Table 3.22: Common Education Management Functions in the Four Cases Studied

Management Functions Operational Elements Leadership • Formulate a long-term vision for education

• Rally support across levels of government and other education stakeholders

• Consolidate previous successful experience in education management

Organizational Structure • Proliferation of Innovative Education Plans, Programs and Projects

• Flexible structures that promote communication and team work.

• Decentralization to intermediate entities near the school (small municipalities, Jefes de Nucleo, neighborhood committees and School Networks)

Organizational Culture • Common beliefs and attitudes do not immediately change after structural reorganizations.

• School-based management is a strategy being promoted by local governments in Colombia.

• Delegation and participation at the lowest levels, accompanied by a process of relation building, trust and a common vision among community and school, seems to be a way to change traditional beliefs and attitudes.

Let us now turn to chapter 4 to review the national regulatory framework and the strategies local governments used to reduce the ambiguity among the laws reviewed in chapter 1, as well as to overcome certain rigidities in the national system of financial transfers to education (Situado Fiscal and PICN).

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CHAPTER 4: THE NATIONAL EDUCATION DECENTRALIZATION

FRAMEWORK: A LOCAL GOVERNMENT PERSPECTIVE The 1991 constitution of Colombia and the subsequent education laws of 1993-94 propelled a series of education management changes in the different sub-national governments of the country. In this process of reorganizing, planning and reinventing the decentralized education management structure, local governments also had to overcome some obstacles inherent in the national legal and financial decentralization framework. The objective of this chapter is to present opinions, facts, and direction regarding the national decentralization framework from the perspective of local governments. However, this is only an initial step in the analysis of these issues. Case studies do not pretend to be representative for nation wide behavior. Nonetheless, they are conducive, through local experiences, to what eventually may become national problems. The analysis will be focused on two main topics: 1. Legal difficulties derived from: • Contradicting interpretations of the education law • Fragmentation of management responsibilities between different levels of government • Omission of the school and its education management functions

2. Financial and economic difficulties regarding: • National transfers and sustainability • Allocation formulas and budget rigidity • High dependence on national financial transfers • Local education financial strategies to overcome dependence on the nation I. Legal difficulties Contradiction of the laws leading to legal interpretation conflicts between subnational governments:

The generality of education decentralization laws allows for different interpretations and applications of the law at the local level. The key example of a contradictory interpretation is Law 60. This law has been applied either to re-centralize education management responsibilities from municipalities to departments, or to support the decentralization process by involving departments in the support of municipal education management. For municipalities, in article 2, Law 60 states that they should administer and direct the education programs. Article number 3 establishes that departments are obliged to direct and administer, jointly with the municipalities, the national education services for preschool, primary and lower and upper secondary education. For departments, the law requires that they participate in the financing and co-financing of the national education services, infrastructure and supplies. Finally it states that departments must

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assume the functions of administration, programming and distribution of the resources from the Situado Fiscal that are specifically for education. Considering articles 2 and 3 together, municipalities administer and direct the programs of education and departments work jointly with them. Departments control and assign the resources from the Situado Fiscal. Nevertheless, some departments have assumed that with financial controls come management responsibility over teachers and schools; while others have limited their financial role to allocating and transferring these resources to the municipal level. Article 16 allows for adjustment of the competencies and functions assumed by the municipalities in the 1980s (through Law 29 of 1989) to what is mandated in Law 60. Thus, the case studies show two examples of how municipal education competencies were “adjusted”. The Department of Antioquia interpreted Law 60 as continuing municipal education management in the spirit of Law 29 of 1989. The municipalities of Antioquia continue to administer education services – teachers, schools, and supplies – but now in a closer relationship with the Departmental Secretariat of Education. The department received the Situado Fiscal but allocates it to its municipalities to manage it. Municipalities continue to have responsibility and control over the selection and allocation of teachers and their day to day management (leave, grievances, supervision, attendance, payment, etc.).

The department of Caldas interpreted Law 60 as restricting small municipalities to manage their own education programs. Caldas reclaimed the education management functions that small municipalities, such as Pensilvania, performed since the expedition of Law 29 of 1989. Pensilvania could no longer appoint teachers, reallocate them, and replace them. Thus, it also became difficult to supervise, provide incentives and resolve grievances without basic human resources management functions. Fragmentation of management responsibilities between different levels of government:

Another locally perceived obstacle of the national decentralization framework was its tendency to fragment management functions between levels of government. The most pronounced was budget management. Departments and municipalities share the management of the education budget. Departments receive the Situado Fiscal, mostly for recurrent costs (teacher salaries). Municipalities receive national transfers for investment expenditures. In addition, municipalities without a recurrent budget may utilize their investment resources to supplement recurrent costs (payment of municipal teachers, school supplies and maintenance, etc.). Education laws allowed municipalities to hire their own teachers. The existence of municipal and state teachers (recognized and paid with the Situado Fiscal) has fragmented the administration of the teaching force. Teacher selection, hiring and allocations decisions do not necessarily follow common norms and criteria. This has lead to non- uniform decisions about the number of teachers, and thus student/teacher rations, across municipalities. Lastly, the municipality responsibility over teaching training is to manage and inspect the teacher training process. However, since law 60 of 1993, the department has the responsibility of scheduling and deciding about teacher training based on its departmental education plan. Municipalities usually wait for the department to decide upon training strategies and schedules. The national goal for “joint” education management may have, in certain cases, resulted in fragmented and conflictive management relations.

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Omission of the school and its education management functions:

In certain issues, the law is vague resulting in important omissions of guiding norms and key national decentralization structures. Law 115 of 1994, also called the General law of Education, is vague in a very important item for decentralized education management: the management role of schools. The law states the organizational structures and planning tools for school-based management, such as the composition of school governments and the requirement of school planning processes reflected in a school improvement plan (PEI). However, the law does not make specific references to management functions and financial resources available to school to implement their PEIs. Because of the omission of the real functions, obligations and competencies of the school, municipalities and departments have omitted the topic in their development plans and education budgets. There are but a few experiences of departments and municipalities transferring resources to schools for the implementation of their school improvement plans, two of which were part of this study: Antioquia and Pasto.

II. Financial and Economic Difficulties Financial decisions and processes have important repercussions on decentralized education management. The sustainability of national transfers, the vagueness and rigidity of allocation formulas, and the dependence of local governments on national financial sources were identified obstacles. Nonetheless, the case studies also show examples of ways to overcome financial risks through local innovations. National Transfers and Sustainability

The Constitution of 1991 committed increased national financial resources to further the decentralization process. Two types of transfers from the National Income (ICN) ceded by Colombia to its sub-national governments for direct attention of social services: The Situado Fiscal and the Municipal Participation of the National Income (ICN).46 Law 60 of 1993 details the norms for these national transfers. Article 10 sets the Situado Fiscal at 24.5% of the National Income (ICN) to be transferred to departments, large certified municipalities (over 100,000 inhabitants) and districts. This transfer must use 60% for education services, 20% for health services and the remaining 20% to either education or health according to local sectorial plans. For municipal participation of the ICN, the law destines this financial source for education, health, housing, drinking water resources and basic sanitation. It also earmarks 30% of the transferred ICN to be used in education. These national transfers increased rapidly and became a major source of fiscal demand for the national government. According to the Expenditure Rationalization and Public Finances Commission, the percentage of the permanent Gross Internal Product (PIB) allocated to education

46 Constitution 1991 of the Republic of Colombia, Article 356 and 357. 47 Law 60 of 1993, Articles 21, 22 and 23.

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for national transfers to local governments (Situado Fiscal and Municipal Participation of ICN) increased from 4.86% in 1992, to 5.65% in 1997.48 Given constant pressures from local governments, a new source of finance–the Fondo de Compensación Educativo, FEC49–was created in 1996 to compensate those departments, districts and municipalities for which the Situado Fiscal was not enough to pay for its education recurrent costs. From 1996 to 1999, the Situado Fiscal and the FEC created a more pronounced upward trend in the evolution of national transfers. The graphic below shows the trends of national transfers as percentage of GNP during the 1990s. Figure 4.1: Evolution of National Transfers 1991-2000

Source: Consejo Superior de Politica Nacional (Panorama Fiscal de Colombia, April 2000). Education expenses also continued to increase putting pressures on the sustainability of national transfers for the sector. In millions of constant pesos in 1996, the pre-school, basic and medium vocational education corresponding budget increased from 1,160,000 to 2,590,000 (as constant Gross Internal Product percentages, from 2.69% to 3.96%). According to the DNP the actually registered amount of students in those levels increased from 5.972.000 to 7.829.000. The cost per student (in pesos in 1996) in pre-school, basic and medium vocational education increased from 203.000 pesos in 1992, to 248.000 pesos in 1997 (a 22% increase in those five year-period); excluding investment expenditure.

48 These percentages do not include the Fondo de Crédito Público. 49 Known as the Fondo de Crédito Público. See Panorama Fiscal de Colombia, April 2000. Ministerio de Hacienda y Crédito Público. República de Colombia. CRGFP. El Saneamiento Fiscal, un Compromiso de la Sociedad. Volume III Annex, 1997. DNP. Estadísticas Históricas de Colombia. Volume II. Chart 9.24ª

Evolution of National Transfers 1991-2000(As % of GNP)

0

1

2

3

4

5

6

1991 1992 1993 1994 1995 1996 1997 1998 1999 2000

Situado Fiscal Participaciones Municipales Situado + FEC TOTAL

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Finally, the real growth of the Situado Fiscal and the Municipal Participation of the ICN has not matched increased education expenses. Real growth in the latter part of the mid-1990s has been negative or minimal (see table below). The sustainability of national transfers to education is precarious; however, it is more so when it is compared to the high dependence of local government and their education sectors to the Situado Fiscal and the municipal participation of ICN (this theme will be explored in a later section). Table 4.1: Real Growth of National Transfers to Subnational Governments (1994-1998)

NATIONAL TRANSFERS

1994-95 1995-96 1996-97 1997-98 1998-99 1994-1999

SITUADO FISCAL 6.202% 9.340% -3.895% -2.530% 1.556% 10.468%

PARTICIPATIONS 17.056% 3.786% 15.996% 4.134% 0.495% 47.473%

TOTAL 10.154% 7.192% 3.555% 0.266% 1.094% 23.940%

Source: Federacion Nacional de Departamentos

National Transfers Allocation Formula and Education Budget Rigidity First, the local governments studied considered the national transfers’ distribution formulas both vague and complicated. Fifteen percent of the Situado Fiscal is to be distributed equally among the departments and the three special districts (Bogota, Cartagena and Santa Marta). The remaining 85% of the funds are to be allocated as follows:

(i) The first part in a percentage equal to the sum of all the health and education demand costs, “efficiently assessed” (called the minimum Situado Fiscal).

(ii) The remaining percentage (if any) will be distributed in proportion to the potential population that is left unattended in the health and education sectors.

For municipal participations of the ICN, 60% of the participation is distributed based on two criteria: (i) 40% in direct relationship with the population with unsatisfied basic needs; and (ii) 20% in proportion to the degree of poverty of each municipality compared to the national average level of poverty. The remaining 40% of the participation are distributed based on four criteria:

(i) 22% in relationship to the participation of the population of the municipality in the total population of the country;

(ii) 6% in direct proportion with the fiscal efficiency of local authorities, which is measured as the positive variation between two fiscal years of tax per capita in proportion with a relative index of unsatisfied basic needs;

(iii) 6% for administrative efficiency based on the smaller administrative costs per capita for public services; and

(iv) In relation with the demonstrated progress in quality of life of the population of the municipality.

Article 11, Law 60 of 1993. Article 22, Law 60 of 1993.

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Second, the local governments studied claimed rigidity in the allocation and destination of national transfers. The Situado Fiscal is to be used only for salaries and social security payments of the teaching staff, leaving no financial maneuver for other education investments. Moreover, it provides an incentive to use these resources to expand the teaching force without planning and rationalizing its use. The Municipal Participation of the ICN, as a financial source for investment expenditures, is more ample in its use. It can be used for school construction or remodeling, purchasing materials and school supplies and financing scholarships, for example. However, as most municipalities have no access to the Situado Fiscal -- and, thus, decision making in hiring and managing teacher – many use the ICN for their own recurrent costs, including payment of municipally hired teachers. The rigidity of the ICN is perhaps attributed more to the insufficient resources rather than limitations on its use. High dependence on National Government Transfers In the four case studies, subnational governments’ general income sources for education showed a tendency to be reduced or stagnated, mainly income from direct taxes, Situado Fiscal and capital resources. This was more noticeable in the education sector given the high dependence on national income transfers. Table 4.2: Local Government’s Income and Expense Accounts Income Expense Tributary Income Unified Predial Industry and Commerce Gasoline Consumption Others Non Tributary Income Municipal Participation of National Income National Govt. Transfers (Situado Fiscal) Co-financing resources Public lighting taxes Contractual Rents Capital Resources Resources from credit Resources from balance

Operational Expenses Personal Services General Expenses Transfers Executive branch Legislative and fiscal branch Council Accounting (Contraloria) Legal (Personeria) Debt Capital Interest Delayed interest

In Antioquia and its municipalities, Pasto and Barranquilla, Situado Fiscal funds are the main source of funding for education followed by the municipal participation of the ICN. In Pensilvania, the ICN participation is the main source of income (as a small municipality, it does not receive resources from the Situado Fiscal). In Pasto, transfers represented, on average, approximately 54.4% of the total current income of the municipality during the decade of the 1990’s, but have only represented 45.88% and 35.75% Article 175, Law 115/1994

45

in 1997 and 1998 respectively. The decrease in transfers during 1997 and 1998 has been such that the real value of 1998 transfers is less than that of 1993. Therefore, considering that Situado Fiscal and participation on the ICN are the main sources of income for education in the municipality, this may have presented a mayor obstacle to implement education plans and projects. Table 4.3: Municipality of Pasto: Current Income 1990 – 1998* (In 1998 Millions of Colombian pesos)

1993 1994 1995 1996 1997 1998 Tributary 4,373 33.56% 4,463 30.27% 4,970 29.12% 5,558 26.86% 7,757 32.08% 8,296 41.25%Non-Tributary

8,658 66.44% 10,281 69.73% 12,098 70.88% 15,138 73.14% 16,420 67.92% 11,816 58.75%

Transfers 8,195 62.89% 9,301 63.08% 9,956 58.33% 11,855 57.28% 11,091 45.88% 7,189 35.75%Others 463 3.55% 980 6.65% 2,142 12.55% 3,283 15.86% 5,329 22.04% 4,627 23.01%Total 13,03

1 14,745 17,068 20,696 24,177 20,112

*Excluding Capital Income In Barranquilla, transfers represent, on average, approximately 43% of the total current income of the district of which 24% is represented by Situado Fiscal funds. In 1997-98, the Situado Fiscal decreased significantly from 43,998 to 36,098 or from 26.7% of the total current income of the district to 18.7%. The co-financing account also decreased. Considering the importance of the Situado Fiscal in education’s income, the result has been a financial setback for the education sector during the period. Table 4.4: District of Barranquilla: Income 1996 – 1998* (in 1996 Millions of Pesos)

1996 1997 1998 Income % of Total Income % of total Income % of total

Tributary 37,568 31.17% 56,778 34.53% 85,745 44.41%Non-Tributary 82,956 68.83% 107,645 65.47% 107,322 55.59%Participation ICN 25,594 21.24% 29,781 18.11% 32,383 16.77%Situado Fiscal 32,424 26.90% 43,998 26.76% 36,089 18.69%Co-financing 8,921 7.40% 13,695 8.33% 5,284 2.74%Others 16,017 13.29% 20,171 12.27% 33,566 17.39%

TOTAL 120,524 164,423 193,067 *Excluding Capital Resources Pensilvania experienced a total current income decrease from 1997 to 1999 due to lower co-financing resources that were at their peak in 1997. Although the municipality has received substantive support from external sources, it is still dependent on national transfers (participation of the ICN), which stood at 58.6 of total income in 1999.

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Table 4.5: Municipality of Pensilvania: Income 1994-1999 (In 1999 millions of pesos)

1994 1995 1996 1997 1998 1999 % % % % % %

Tributary 188 7.9% 205 6.7% 243 6.4% 232 3.3% 259 4.9% 309 6.2%

Non-Tributary

2,096 88.3% 2,247 73.7% 2,602 68.8% 2,490 35.4% 2,533 48.2% 2,974 59.6%

ICN 2,073 87.3% 2,228 73.1% 2,550 67.4% 2,417 34.3% 2,476 47.2% 2,924 58.6%Others 23 1.0% 19 0.6% 52 1.4% 73 1.0% 57 1.1% 50 1.0%

External 90 3.8% 595 19.5% 497 13.1% 2,504 35.6% 1,615 30.8% 1,397 28.0%Co-financing 0 0.0% 0 0.0% 440 11.6% 1,816 25.8% 843 16.1% 314 6.3%

TOTAL 2,374 3,047 3,782 7,042 5,250 4,994

Finally, in the department of Antioquia, overall departmental income also began to be affected by the downward trend in the Situado Fiscal from 1997 to 1998 (see graph below).

Figure 4.2: Department of Antioquia: Evolution of Income (1990-1998)

III. Local Education Financing Strategies The national dependence cycle, which does not respond to local education demands, is a fragile link in the national education decentralization framework. Nonetheless, local governments may have already begun to look for solutions to this problem. Some examples were documented in the four cases of this study:

See table 2.13 in Appendix 5

Departm ent of AntioquiaEvolution of Incom e (1990 - 1998)

(In 1998 millions of Pesos)

0

100,000

200,000

300,000

400,000

500,000

600,000

700,000

1990 1991 1992 1993 1994 1995 1996 1997 1998

Tributary Situado Fiscal Educ TOTAL

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The rationalization of the existing expenses: Antioquia’s experience

In 1998, to improve the efficiency of existing education services, in the midst of fiscal crisis, Antioquia initiated its own process of rationalizing education resources. The strategy considered fusion of schools, creation of additional grades in existing schools, reallocation of teaching positions, and increases in the teacher-student ratios. The result was a reduction in recurrent and investment spending while increasing the coverage of public education in the department. Table 4.6: Rationalization of Education Personnel and Impact on Coverage

Subregión No. of

Municipa-lities

School Places Before

Rationalization

Substituted School Places

Increased School Places

Teacher Positions Reallocated

Valle de Aburra 10 22,242 4,613 11,278 342Magdalena Medio 6 2,589 714 2,276 53Bajo Cauca 6 21,162 4,555 2,138 204Nordeste 10 4,308 3,523 2,956 47Norte 17 6,210 1,813 2,867 86Occidente 19 5,605 2,307 4,705 141Suroeste 23 7,781 4,048 2,551 200Oriente 23 16,745 2,135 3,857 181Uraba 11 23,358 6,354 1,937 108TOTAL 125 110,000 30,062 34,565 1,362

Increased efficiency in tax recollection: Barranquilla’s case

From 1996 to 1998, the District of Barranquilla doubled its revenue through improved efficiency in tax collection, especially industry and commerce tax. Increasing debt service offset increased income; nonetheless, it was critical to sustain the district during the recent fiscal crisis of the national and sub-national governments. Table 4.7: District of Barranquilla: Income 1996 – 1998: (in 1996 Millions of Pesos)

1996 1997 1998 Income % of total Income % of total Income % of total

Tributary 37,568 31.17% 56,778 34.53% 85,745 44.41%Source: District Secretariat of Finance of Barranquilla Access to external sources of financing

Private Sector: Pensilvania exemplifies private sector involvement in co-financing social spending. The Department of Caldas recentralized the education recurrent budget (Situado Fiscal) and placed high pressures on the municipal education budget (mostly participation of the ICN). Pensilvania’s response was to look for private sector sponsorship for their education projects,

See Appendix 5 (Antioquia) for a deeper explanation of the strategy.

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mainly from the Federation of Coffee Growers (Federación de Cafeteros). Overall, public-private education co-financing averaged up to 10% of the total of external income from 1993 to 1999. Figure 4.3: Municipality of Pensilvania: Behavior of Income (1994-1999)

Multilateral Credits: Other subnational governments, with indebtedness capacity, negotiated multilateral loans that provided less risks than local credit. The Department of Antioquia and the Municipality of Pasto contracted credits with the World Bank for US$40,000 million and US$7.2 million respectively. Table 4.8: Municipality of Pasto’ Allocation of World Bank for Education Investments Components/sub-components Amount % 1. ATENTION TO NEBIS. 9.749.588 53.3 2. INSTITUTIONAL STRENGTHENING 3.147.042 17.2 3. NET CONFORMATION 4.702.606 29.5 TOTAL 18.277.536 100.0 Source: Sem, Subdirección Financiera, 1.999. Table 4.9: Department of Antioquia’s Allocation of World Bank for Education Investments (In 1997 millions of Colombian Pesos)

Component Total Amount % School-based Management 43,000 54 Municipal Education Mgmt. 17,000 20 Departmental Education Services 10,000 13 Contingencies 10,000 13

TOTAL 80,000 100 Source: Seduca project “Mejoramiento de la Calidad de la Educación Básica en Antioquia”, 1997

Municipality of Pensilvania Behavior of Income (1994-1999) (in1999 millions)

01,0002,0003,0004,0005,0006,0007,0008,000

1994 1995 1996 1997 1998 1999

Tributary Non-Tributary Transfers Others TOTAL Co-f inancing

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Co-Financing Mechanisms

Co-financing of educational services aims to share investment responsibility and decision across different levels of government or institutional actors. Initially, the local government, through the creation of its investment funds, implemented a nation wide co-financing strategy. For education the Fondo de Inversion Social (FIS) led the national co-financing process. Local governments welcomed FIS co-financing contributions but resented its rigidly earmarked financial investments and convoluted procedures, which limited local decision making. FIS no longer exists. National education projects have continued to require local co-financing by departments, districts and municipalities but have expanded local decision making in terms of the type and mix of educational expenditures. At the sub-national level, local governments have rediscovered the co-financing strategy as means to complement education investment budgets. Antioquia’s Education Quality Program requires 50% co-financing by the municipalities, but allows municipal and school decision making in the identification of their own education investments. Antioquia does not receive ICN transfers for education investments, which are directly sent to its municipalities by the national government. Thus, the department-municipal co-financing strategy has allowed an integration of their education budget management. Chapter Conclusion Conflicting interpretations of the law and fragmented education management competencies are key obstacles of the national decentralization legal and financial framework, as perceived by local governments. Furthermore, the management roles and responsibilities of two key actors in the education decentralization strategy are unclear: the municipality and the school. Especially, the omission of concrete functions and resources for schools requires consideration, as this institution is the only one that can convert educational inputs into real education outcomes reflected in student attendance, learning and social contributions. Financially, the sustainability of national transfers deserves to be studied more in depth. Colombia is already developing new proposals to improve national transfer’s allocation formulas, formulas that better reflect education needs and prioritized investments. While local governments are dependent on national transfers, national transfers are themselves dependent on the overall fiscal health of the nation. Local financial strategies can be developed to complement national transfers. Local financial strategies do not absolve national responsibility to finance public education, rather it ensures the sustainability of public education for all Colombian children and youth. In general, the case studies provided evidence of lack of alignment between national education decentralization policies, the interpretation of such policies at the local level, and the insufficient and/or unsustainable national financial transfers to operationalize locally these policies. Finally, to extrapolate or explain the county’s overall education finance obstacles and solutions, there is a need for further quantitative analysis. This analysis can provide larger samples of different levels of sub-national governments (departments, municipalities or districts) to compare and generalize conclusions in terms of education finance sustainability, dependence and innovation in the country as a whole.

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CHAPTER 5: CONCLUSION AND RECOMMENDATIONS

This final chapter presents some lessons learned from this exploratory study and recommendations for further analysis--from the experience of local government--regarding local government institutional and education management change and reforms for the national education decentralization framework. I. Conclusions and Recommendations

Education Policies as External Demands for Local Organizational Changes. The national education decentralization framework demanded local organizational changes; however, the case studies suggest a lack of alignment between the national education descentralization policies, the interpretation of these policies locally, and the level of financing required to sustain them. Further studies would need to expand on other external forces which pressure for local organizational and management change, such as local communities’ demands for more diverse and better targeted education services. External pressures for local institutional changes may also come from interest groups, other government officials and traditional local authorities. Political Leadership. The political leadership—governors and mayors—managed external education demands through their commitment to education, visions for education reform and support for organizational changes in the education sector. However, political leadership has to rely on the administrative leadership (the directors and chiefs of education offices within Secretariats of Education), those actors that can operationalize the political leadership visions for education reforms. The relation between political and administrative leadership within education management and organizational change needs to be studied further.

Conceptual Framework --Educational Mission, Plans and Investment Programs. The overview of the education strategic plans and programs for the four Local Governments studies shows a high number of education projects at the departmental, district and municipal levels. The education plans and investment portfolios also include more diverse provision strategies, such as private-public alliances (for example for coverage for low income students) and community participation (for example, the development, financing, and implementation of school improvement plans).

Actual education allocations, however, still devote a large amount of resources to coverage programs. Some of the reasons for the perceived bias in favor of education access (rather than education quality) projects can be the following: (i) quality education investments may be more difficult to plan and implement than coverage programs, and their impact takes longer to be perceived; (ii) the short political cycles of mayors, governors and Secretaries of Education may demand education investments that produce visible results during their administration (more school places, teachers, etc.); and (iii) there is not enough incentives (technical assistance, resources, financing) to foster political commitment for investments to improve the quality education in the classroom (the teaching and learning process).

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Organizational Change: Structural and Cultural. Both restructuring and resocializing were needed to reform local education institutions. Restructuring was achieved by modernizing the structure of local Secretariats of Education; using intermediate institutions (such as Nucleos Educativos and School Networks) to support schools; and creating governance structures for community involvement and school-based management. Resocializing was needed to promote common beliefs and attitudes conducive to a participatory effort for school development.50 Finally, in Antioquia, Pasto and Pensilvania, community and school-based management strategies are attempting to address issues of improved teaching and learning and positive relations between school and community (especially between teachers and parents). This is a positive example of change from the traditional community participation strategies propelled by the national decentralization framework, which focused only on building structures (community committees and school governments) and developing planning tools (education diagnosis and school improvement plans).

National Education Decentralization Framework. Lack of clarity in the national education decentralization laws in Colombia allowed diverse interpretations, fragmentation and omission of key management functions at the local level. A confusing decentralization framework has weakened and/or excluded two key actors in the decentralization strategy: the municipality and the school. A flexible, yet coherent, legal framework allows local adaptation, creativity and innovation, but provides clear national standards for roles and functions of each government and education institutional level. Clarifying the national framework with respect to municipal and school management is required to continue strengthening the decentralization of the Colombian education system. Financial Management and Local Management Decisions. Departments (and Districts and a few large certified municipalities) hold the recurrent budgets while municipalities are responsible for the investment budgets. This fragmentation of resources for investment and recurrent expenditures rendered local governments unable to make efficient financial management decisions in their education sectors—such as municipal recurrent expenditures financed by investment budgets, a proliferation of municipal teachers paid out of capital investment funds, and infrastructure investments without budgets for maintenance. The division of education budget management needs to be reassessed for decentralization to be successful in promoting the delivery of quality education services at each level of government.

National Transfer Sustainability and Local Financing Innovations. The costs of education in Colombia are high—and rising. National and local decision-makers need to prioritize education investments, balancing universalization of coverage and improvements in the quality of teaching and learning, which currently compete for the same investment resources. Although, national transfers (Situado Fiscal and Municipal Participation in ICN) represent a large percentage of overall local government income —as high as 35-50% in the cases studied— a very small percentage of the ICN is used for quality inputs. Presently, the municipal ICN expenditure data shows that national transfers favor two types of investments: hiring of teachers and infrastructure construction.

50 This study, however, did not explore the inherent costs of participatory strategies. Participation takes time and does not produce fast tangible outputs (i.e., easily measured). The trade-off of participation and building relations and trust vis-à-vis traditional strategies to deliver educational goods should be further explored.

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Notwithstanding, the case of Pensilvania shows that the development of alternative sources of financing can be promoted through public-private sector alliances. Barranquilla and Antioquia also have attempted to increase their local incomes (through improved tax collection) and to reduce expenditures (through rationalization of education demands, school places and teacher allocations). Some local governments have overcome the recent national crisis regarding financial transfers for education and can provide lessons on how to reduce dependency and increase local education financing innovations.

II. Forethought.

The final, overall conclusion of the study is that stronger incentives need to be in place at the national level to encourage development of local innovations in organization, management, education, and financing strategies. Innovations already exist; lessons learned should be shared; and promising examples emulated. Of course, contexts do vary and change, but most local governments in Colombia are dealing with a large percentage of common restrictions and opportunities. Thus, this is not a recommendation to adopt or adapt foreign or international models or preconceived solutions, but to listen to what is happening inside one’s own country, where solutions may be found.

We end this exploratory study with a very pertinent quote:

Decentralization is not created by passing a law. Rather it must be built by overcoming a series of challenges at the center and the periphery by, for example, changing long established behaviors and attitudes, developing new skills, convincing people in the center who enjoy exercising power to give it up, permitting and sometimes encouraging people to take creative risks, promoting and rewarding local initiatives, and maintaining continuity with decentralization reform even as governments change.51

51 Hanson, M. Education Decentralization: Issues and Challenges. Program to Promote Educational Reform. Santiago, Chile, 1997; pg. 14.

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