Ex-post Evaluation

1. Background

In the Republic of Chile, environmental pollution including air pollution by exhaust, water pollution by discharge from factories and households, and general waste, has become a significant problem due to industrial and economic development as well as increasing population in the Santiago Metropolitan area. Soil erosion and disruption of the natural environment has also been increasing and it has become necessary to actively deal with these environmental problems.

Under these circumstances, the Chilean Government sought to establish a center to conduct research and development, information provision, human resource development as well as to provide support to the Environmental Impact Assessment System and its implementation, and then requested to the Japanese Government a project-type technical cooperation in October 1992.

Based upon the request, the Japanese Government dispatched a preparatory study team in March 1994, and a project design team in January 1995. The Project started after the signing of the R/D. The term of cooperation for the Project was from 1 June 1995 to 31 May 2000.

On November 1999, the Japanese Government dispatched a project evaluation team for joint evaluation of the Project with the Chilean side. Both sides mutually recognized that there were remaining unaccomplished activities among the Project’s components, and the Chilean side accordingly requested an extension of cooperation. The R/D on the extension of duration of technical cooperation for the Project was signed in April 2000. The term of extended cooperation is from 1 June 2000 to 31 May 2002.

2. Project Overview

(1) Overall Goal

To formulate and implement the appropriate environmental protection policies in the Republic of Chile.

(2) Project Purpose

To enable the Center to conduct training, research and development relevant to environmental matters, as well as to provide environmental information.

(3) Outputs

1) Development of methods to simulate and forecast air pollution episodes in order to alleviate heavy air contamination over the MR.

2) Development of methodologies for water quality assessment.

3) Development of methodologies for characterization of industrial solid wastes.

4) Development of methodologies for air quality analysis and monitoring.

5) Contribution to the establishment of an environmental information system in both the MR and at the national level.

6) Development of human resources.

7) Establishment of the facilities and equipment necessary to conduct the activities of the project.

S1) Establishment of specific toxic substances using OECD test methods.

S2) Research on arsenic contamination.

(4) Inputs

Japanese side::

Chilean side::

1. Summary of Evaluation Results

(1) Sustainability of the Project

Self-sustainability has been maintained at the same level as of the completion of the project. Details as follow.

1) Sustainability on Technical Aspects

Self-sustainability on technical aspects, as a general observation, has been maintained since the completion of the JICA project.

The Center for the Environment (CENMA) has 3 laboratories. One of them, the Lab of Modeling and Analyzing Atmospheric (Pollution) (Laboratorio de Modelación y Análisis Atmosférico) including the Unit of Modeling and Environment Information System (Unidad de Modelación y Sistemas de Información Ambientales), has strong self-sustainability and at present is continuing to monitor the condition of the air in the capital region. After completion of the JICA project, moreover, as requested by CONAMA, the Center has begun the construction of a collaborative public-private monitoring network on a national scale, deploying technology that has been developed at the Center.

Self-sustainability at the Laboratory of Environmental Chemistry (Laboratorio de Quimica y Referencia Medio Ambiental) has declined somewhat in comparison to the situation after the JICA project was completed. Four manuals are available for analysis of water quality, as at the time of the JICA project, and a variety of studies are underway at the present time. Not much activity and little study is being made regarding a study to determine the nature of industrial waste in Chile. Studies on analysis of qualities of the air (atmosphere) are not being undertaken owing to the low level of interest in this in Chile. There has been no activity concerning study of arsenic pollution since the completion of the JICA project.

The bioassay lab was created after the JICA project but the technology it uses had been established during the time the JICA project was being realized. The number of researchers has been increased and self-sustainability is high.

Besides the 3 labs at the Environment Center there are executions of training courses, and activities in the information and telecommunication area are being carried out. These are maintaining their self-sustainability. In particular, training courses that are responsive to demand and needs in the community have been offered, and we can observe signs that since the completion of the JICA project there have been activities resulting in further development. At present the Environmental Center is engaged in contract work for customers in the government and private sectors, and is properly organized for research and analysis work. The business and activities at the lab therefore are influenced by the contract work that is obtained.

2) Sustainability on Organizational Aspects

CENMA was established as a foundation which is a non-profit organization affiliated with the University of Chile, aligned with the objective of the Government of Chile of achieving a small government. Although it now receives a budget allocation from the government, most of its funds are obtained from managing work undertaken under contract to public and private sector entities. Studies done by the Center therefore are primarily those required by contract work, and staff assignments are made on the basis of that work. Some of the experts that had been trained under the JICA project have moved to other employment. From this viewpoint it may be said that self-sustainability has declined slightly since the completion of the JICA project.

3) Sustainability on Financial Aspects

CENMA can be said to be maintaining financial autonomy. At one time CENMA was in dire straits financially but revenue has improved by wide margins in 2004 and 2005. This is a result of yearly growth in the contracts signed with other government agencies and private corporations for studies and research, as well as training. Being affiliated with the University, and not being a governmental entity, means that there are no guarantees of ongoing support from the government, and in the past the government has been gradually reducing its financial assistance to the Center. Taking all these factors into consideration from a financial viewpoint the Center has maintained self-sustainability in financial terms following completion of the JICA project.

4) Sustainability of the Project Effects

Project deliverables have been maintained at a high level. Subsequent to the JICA project and the 2-year follow-up, there have been some changes in the situation in which the Center finds itself. Fore example, there has been the departure of some researchers, a decline in the level of financial support from the government, and an expansion of contracts signed with public and private sector clients. Project effects within the organization, nevertheless, have been maintained at a high level. There have been annual increases in the contracts from government and private sector clients and although they are not tangible results of the JICA project, the organization, trust and technical capacity acquired by means of that project are greatly contributing to these results. The popular reputation of the Center is high and particular mention can be made of the appearance on TV of Center experts who speak about atmospheric pollution from a technical viewpoint.

(2) Impact of the Project

1) Impact related to the Overall Goal

In the area of Air Quality Forecast of the Metropolitan Region activities have been developed and achieved results creating impacts in the Overall Goal: “To formulate and implement suitable environmental protection policies in the republic of Chile”. However, due to the fact that the policies, laws and regulations are a responsibility of CONAMA, it is difficult for CENMA, as a private organization and not a government one to produce direct impacts to achieve the Overall Goal.

2) Impact on Social Factors

The Laboratory of Atmospheric Modeling and Analysis (Pollution) at present is engaged in regular monitoring of atmospheric pollution in the Santiago Region (PM10), under the Capital Region Air Pollution Forecasting Scheme that is a legacy of the JICA project. The basic data collected along with the indicators collected by the Ministry of Health is provided to the CONAMA of the Metropolitan Region for the regional Government to take measures, such as to curtail vehicle use during the day after, or order factories to temporarily close. In addition, the Center is constructing a monitoring system (network) for measurement and monitoring of the atmosphere in other regions of the country, on a national scale, and is measuring ozone levels (ozone hole on South Pole) as well. The Center has had a significant social impact regarding air pollution, and has proposed or is implementing eight laws or norms concerning air pollution.

The chemical lab has carried out a variety of studies and research projects concerning pollutants, for government and private organizations. It can be asserted that these studies and research projects have had indirect social impact. In the past, the chemical lab has proposed or is implementing five laws or norms concerning pollution.

The Bioassay Lab was established after completion of the JICA project and began operations about two and a half years ago. This has not been long enough for the lab to have examples of concrete impact of its work. It is thought that in the near future there will be signs promising good influences of the lab’s work. At present, the lab is carrying out toxicity studies of river water in collaboration with the Laboratory of Environmental Chemistry.

The training course has provided training and development opportunities to environmental specialists in Chile and experts from environmental agencies outside of Chile. After the JICA project, the Center has offered courses in 31 subjects, meeting the needs of the community. Further, by means of the Japan-Chile Partnership Program (JCPP) the Center has, with the support of JICA and the Chilean International Cooperation Agency, AGCI, provided training for third-country nationals. These persons, constituting 38 Latin American environment specialists, have been trained on three occasions within 2003 and 2005.

3) Impact on Environmental Factor

The Center, as a foundation (NPO) affiliated with the University of Chile, is undertaking research and studies on environmental pollution, using equipment provided under a grant by Japan. The government provides to CENMA a budget allocation, but is also widely recognized by the population as a private research institution. Although at present not all of the government’s environmental policies have the confidence of the people, there is also the opinion that the Center is important because it is capable of making statements concerning the environment from a viewpoint independent of the government. The Center proposes norms and laws in regard to the environment to CONAMA and the related ministries. It can be asserted that the Center is creating a favorable impact in connection with the environment.

4) Impact on Policy Matters and Policy Advice

All norms and laws in Chile with regard to the environment are set by CONAMA. It is CENMA that provides technical support to CONAMA. As stated above, the Center has in the past proposed environment-related norms and bills for laws to CONAMA and related ministries. It is having a favorable impact in the area of environmental policies.

2. Factors that Have Promoted the Project

The project has been promoted by the efforts of Center employees in their daily work, research activities, and studies, as well as their efforts to obtain contracts for Center services. While the annual CENMA budget allocation from the central government has been declining from year to year, the operating budget has been kept at about the same level as at the time of the JICA project. The Center also has been able to continue its work despite the departure of several members of its staff. These efforts to maintain the autonomy of the Center have contributed significantly to the Center’s self-sustainability.

3. Factors that have Inhibited the Project

It can be said that the fact that the Center was not formed as a governmental entity has inhibited the project. Inasmuch as the Center was established as an affiliate of the University of Chile, it is able to carry out the work of research projects and technical studies, while influencing environmental policy through its recommendations to CONAMA. From this viewpoint, in connection with one of the most important objectives of the project, “to formulate and implement suitable policy for protection of the environment in Chile”, technical cooperation provided to the Center can only have an indirect effect.

4. Conclusions

As a research institution, CENMA has a variety of equipment and a highly trained staff. This is the only center in Chile where facilities, equipment, and human resources have been collected at a single location to work on environmental subjects. Moreover, it has an ISO 17025 approval, the only institution in Chile to have this. The Center has had problems in the past such as the departure of personnel and budgetary restraints, but at the present time can be said to possess a formidable capacity to do a great work.

In 2005 the OECD released its OECD Environment Performance Review” for Chile, where (p. 15) it stated that the environmental pollution problem in Chile had become extremely serious, underscoring the importance of CENMA as the Chile’s environmental studies center, having the capacity to undertake studies and research on environmental pollution. Given the ongoing growth of global awareness of environmental issues and judging from the OECD report, the cooperation provided by JICA starting in 1995 for the Center, as evaluated in October 2005, can be said to have been appropriate in its timing and in its orientation.

5. Recommendations

(1) By means of its own efforts, the Center has been able to gradually increase the contracts with private institutions and government agencies other than CONAMA, but these two sources account for about 60% of the Center’s operating budget. It has not yet reached the stage of being able to sustain its operations autonomously. This is because of the need for large sums of money for maintenance of equipment in the labs and the payroll cost of research employees. In order to maintain the precision of the equipment, the facilities in a number of rooms are kept air-conditioned using year-round filtered air. Study and research activities at the Center have a strong nature of being in the public interest. It is thought to be necessary for government budgetary support to be continued.

(2) Efforts at training are needed in order that the Center may maintain the existing level of staff capabilities. By rotation between operations and training, and other methods, it is necessary to build a system whereby the number of persons capable of various tasks and research can be increased and that even if a specialist leaves the Center to work elsewhere it will not interfere with Center operations.

(3) CONAMA is a committee made up of representatives from 15 ministries and agencies, and related organizations. That is, within government administration it does not have a position such as a ministry or agency but has the function of coordination and the role of a secretariat. Because CONAMA thus does not wield strong administrative power it is disadvantaged with regard to implementation of environmental policy. It is desirable that in the near future CONAMA could be upgraded to a ministry level in the government.

(4) When the JICA follow-up project was completed on December 21st, 2001, representatives of five organizations, CONAMA, CENMA, the University of Chile, AGCI and JICA, signed the Minutes of Meeting. Recommendations were made in the Attached Documents of the Minutes. Despite these recommendations being as important today as when they were written, and despite some of them having been carried out, those that have not received attention should be carried out..

6. Lessons Learned

The Chilean Government has adopted a small-government policy. It is because of this that CENMA, when founded was made an organization affiliated with the University of Chile. From the time of the JICA project start to the present (October 2005) the Chilean Government has provided direct and indirect support for the Center, directly through budget allocations and indirectly through research and services for CONAMA. Ever since the start of supply of government funds it has been assumed that the Center would become financially autonomous at some future date. This is the reason the Center has sought to do work under contracts to governmental entities and private organizations. As an organization itself, however, the Center has confronted administrative difficulties. Particularly unfortunate is the inability to perform research and studies requested by the people, because of a lack of budget. Further, after the completion of the JICA project, in fiscal 2002 and 2003, the Center’s finances were extremely strained, and several staff members who had been trained under the JICA project left for employment elsewhere. Perhaps it was a situation where, taking into account the transfer of technology, there should have been more thorough adherence to the rotation arrangement installed by JICA, and to following the texts and manuals provided by JICA. It is possible to think that if CENMA had been established as a governmental agency, the loss degree of personnel, budgetary constraints, performance of some researches with financial compensation, as well as providing advice on environmental policy would have been solved to some extent. In conclusionin case of carrying out a similar project, it should be taken into account, based on the political situation, the position of the organization that will receive the technological transfer within the governmental structure