GUATEMALA URBAN MUNICIPAL GOVERNANCE - USAID

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GUATEMALA URBAN MUNICIPAL

GOVERNANCE Fiscal Year 2019 Work Plan

SEPTEMBER 2018

This publication was produced for review by the United States Agency for

International Development. It was prepared by Tetra Tech.

This report was produced for review by the United States Agency for International Development

(USAID) by Tetra Tech through the Guatemala Urban Municipal Governance Project Task Order under

the Making Cities Work (MCW) Indefinite Quantity Contract (USAID Contract No. AID-OAA-I-14-

00059, Task Order No. AID-520-TO-17-00001).

Tetra Tech Contacts: Brian Husler, Chief of Party

[email protected]

Christian Kolar, Project Manager

[email protected]

Tetra Tech

159 Bank Street, Suite 300, Burlington, VT 05401

Tel: 802-495-0282, Fax: 802 658-4247

www.tetratech.com/intdev

COVER PHOTO: A vulnerability analysis exercise in a community supported by the project - aimed at

mapping risk factors to prepare a Community Violence Prevention Plan. A.Daccarett/ UMG Photo

mailto:[email protected]

mailto:[email protected]

http://www.tetratech.com/intdev

GUATEMALA URBAN MUNCIPAL

GOVERNANCE FISCAL YEAR 2019 WORK PLAN

OCTOBER 2018 – SEPTEMBER 2019

DISCLAIMER

The author’s views expressed in this publication do not necessarily reflect the views of the

United States Agency for International Development or the United States Government.

GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018 i

CONTENTS

CONTENTS ........................................................................................................................ I

ACRONYMS AND ABBREVIATIONS .......................................................................... III

1.0 INTRODUCTION ..................................................................................................... 1

2.0 BACKGROUND ........................................................................................................ 2 2.1 PROJECT DESCRIPTION .................................................................................................................... 2 2.2 PROJECT OBJECTIVES ........................................................................................................................ 3 2.3 OVERALL APPROACH ....................................................................................................................... 4 2.4 MUNICIPAL SELECTION .................................................................................................................... 5

3.0 ACTIVITY APPROACH ........................................................................................... 8 3.1 COMPONENT 1: STRONG PUBLIC BUDGETING AND MUNICIPAL SERVICE DELIVERY

PROCESSES IN PLACE ........................................................................................................................ 8 3.1.1 Component Approach ..................................................................................................... 8 3.1.2 Activity 1.1: Present Political Economic Assessment to Remaining

Municipalities ...................................................................................................................... 9 3.1.3 Activity 1.2: Improve the Coordination of Key Public Institutions ...................... 9 3.1.4 Activity 1.3: Implementation of Municipal Planning Activities Identified in the

PFMs ................................................................................................................................... 10 3.1.5 Activity 1.4: Implementation of Improved Cadaster and Land Registry

Activities Identified in the PFMs .................................................................................. 11 3.1.6 Activity 1.5: Implementation of Revenue Generation Activities Identified in

the PFMs ............................................................................................................................ 13 3.1.7 Activity 1.6: Identification and Implementation of Public Private Partnerships

through the Project Preparation Facility ................................................................... 14 3.1.8 Activity 1.7: Implementation of Financial and Administrative Management

Activities Identified in the PFMs .................................................................................. 17 3.1.9 Activity 1.8: Implementation of Citizen Outreach Activities ............................... 18 3.1.10 Activity 1.9: Strengthening Municipal Technical Capacities for the

Implementation of Local Crime and Violence Prevention Strategies ................ 20 3.2 COMPONENT 2: HIGH-CRIME, URBAN MARGINALIZED COMMUNITIES ARE IMPROVED

THROUGH CITIZEN-DRIVEN IMPROVEMENTS IN LIVING CONDITIONS AND MUNICIPAL

SERVICES ........................................................................................................................................... 22 3.2.2 Activity 2.1: Development of Service Delivery Improvement Plans .................. 24 3.2.3 Activity 2.2: Implement and Monitor Small Infrastructure Projects Identified in

SDIPs .................................................................................................................................. 25 3.3 COMPONENT 3: CITIZENS AND CIVIL SOCIETY ESPECIALLY IN THE MOST AT-RISK

COMMUNITIES ARE ACTIVELY INVOLVED IN MUNICIPAL DECISION-MAKING AND

ACCOUNTABILITY PROCESSES ....................................................................................................... 27 3.3.2 Activity 3.1: Implement and Monitor Activities that Improve the Weak

Community Security Situation Identified in SDIPs ................................................. 28 3.3.3 Activity 3.2: Implement and Monitor Youth at Risk (Secondary Violence

Prevention) Activities Identified in SDIPs ................................................................. 29 3.3.4 Activity 3.3: Implement and Monitor Activities that Improve Social Violence

Identified in SDIPs ........................................................................................................... 32 3.3.5 Activity 3.4: Strengthen Representation and Effectiveness of Development

Councils: COMUDES, COMUPRES, COCODEs and COCOPRES .................. 35 3.3.7 Activity 3.5: Build Alliances that Push for Municipal Government

Transparency and Accountability ................................................................................ 38 3.4 CROSS-CUTTING ACTIVITIES ........................................................................................................ 39

3.4.1 Administration and Finance .......................................................................................... 39

ii GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018

3.4.2 Grants Under Contracts ............................................................................................... 39 3.4.3 Monitoring, Evaluation, and Learning ......................................................................... 40

4.0 IMPLEMENTATION PLAN MATRIX ................................................................... 42

5.0 FISCAL YEAR 2019 BUDGET ESTIMATE ........................................................... 62

ANNEX A: MONITORING & EVALUATION .............................................................. 64

ANNEX B: TRAINING EVENTS ................................................................................... 67

ANNEX C: SECURITY CHALLENGES ........................................................................ 72

ANNEX D: SHORT-TERM TECHNICAL ASSISTANCE PLAN................................. 73

GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018 iii

ACRONYMS AND ABBREVIATIONS

ANAM Guatemalan National Association of Municipalities

APS Annual Program Statement

ASIES Asociación de Investigación y Estudios Sociales

AVD Asociación Vida Digna

CARSI Central American Regional Security Initiative

CBO Community-Based Organizations

CBT Cognitive Behavior Therapy

CGC Comptroller General Office

CICAM Centro de Investigación, Capacitación y Apoyo a la Mujer

COCODE Community Development Committee

COCOPRE Community Violence Prevention Commission

CODEFEM Colectiva para la Defensa de los Derechos de las Mujeres

CODEPRES Community Violence and Crime Prevention Commission

COMUDE Municipal Development Council

COMUPRE Municipal Violence and Crime Prevention Commission

CONAPRE National Commission for the Prevention of Violence and Crime

CONJUVE National Youth Council

COPEP Committee on Programming and Budget Execution

CPTED Crime Prevention through Environmental Design

CSO Civil Society Organization

CVPP Crime and Violence Prevention Plan

DAAFIM Directorate for Assistance to Municipal Financial Administration

DENA La División Especializada de Niñez y Adolescencia

DMM Municipal Women’s Office

DMP Municipal Department of Planning

DPM Municipal Development Plan

EMMP Environmental Mitigation and Management Plan

ENP National Prevention Strategy

ESCAT Cadastral School

iv GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018

FEDENMURG National Guatemalan Federation of Rural Women

FLACSO Facultad Latinoamericana de Ciencias Sociales (Latin American Social Sciences Institute)

FOCAS Functional Organization Capacity Assessment

FUNDAECO Ecodevelopment and Conservation Foundation

FY Fiscal Year

GBV Gender-based violence

GIS Geographic Information System

GIZ Deutsche Gesellschaft für Internationale Zusammenarbeit

GPS Global Positioning System

GUC Grants under Contract

ICT Information Communication Technology

INAP National Institute of Public Administration

INFOM Municipal Development Institute

INL International Narcotics and Law

IT Information Technology

LAIP Access to Public Information Law

MEL Monitoring, Evaluation, and Learning

MINGOB Ministry of the Interior

MIS Monitoring and Information System

MOF Ministry of Finance

MOU Memorandum of Understanding

NGO Non-Governmental Organization

OAV Oficina de Atención a la Victima

OMDUT Municipal Offices of Urban and Territorial Development

OMNAJ Municipal Youth Office

OMPC Municipal Citizen Participation Office

PEA Political Economy Assessment

PEI Institutional Strategy Plan

PEO Equal Opportunity Plan

PFM Public Financial Management

PNC National Civil Police

GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018 v

PNPDIM Promotion and Integral Development of Women

POA Annual Operating Plan

POM Multiyear Operational Plan

POT Property Registry Planning (Planificacion en Ordenamiento Territorial)

PPF Project Preparation Facility

PPP Public Private Partnerships

RFA Requests for Applications

SCEP Secretariat of Executive Coordination of the Presidency

SDIP Service Delivery Improvement Plan

SECAI Secretaria Ejecutiva Acceso de la Información

SEGEPLAN Secretariat for General Planning

SEPREM Presidential Secretariat for Women

SISCODE Development Councils’ System

TDR Terms of Reference

UDAIM Municipal Internal Audit Unit

UMG Urban Municipal Governance

UNI Universidad InterNaciones

UPCV Unit for Community Violence and Crime Prevention (of the Interior Ministry)

USAID United States Agency for International Development

USG United States Government

VMP Vice Ministry of Violence Prevention

GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018 1

1.0 INTRODUCTION

The five-year Guatemala Urban Municipal Governance (UMG) project is funded by the United States

Agency for International Development (USAID) and began on January 27, 2017. Project implementation

is led by Tetra Tech with support from a local partner (Asociación de Investigación y Estudios Sociales

[ASIES]) and Segura Consulting. It is managed by the USAID/Guatemala Democracy and Governance

Office and is part of a group of citizen security projects funded by the Central American Regional

Security Initiative (CARSI). UMG seeks to reduce levels of violence in municipalities most at risk of

violent crime through enhanced municipal governance, increased coverage and quality of municipal

services, and greater citizen participation and oversight.

This Year 3 Work Plan builds on Year 2 achievements, such as completing 17 Municipal Public Financial

Management (PFM) plans and more than half of the planned 21 community violence prevention plans

(known as Service Delivery Improvement Plans [SDIPs]). This work plan presents the project’s

implementation strategy, activities, and timeline; the projected work plan budget by component; and

training, short-term technical assistance, international travel, and sustainability plans. These are

presented in accordance with Sections C, Scope of Work and F.2, 3a. Annual Work Plans, as outlined in

USAID Contract No. AID-OAA-I-14-00059, Task Order No. AID-520-TO-17-00001. It covers the 12-

month project period beginning October 1, 2018 through September 30, 2019.

2 GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018

2.0 BACKGROUND

2.1 PROJECT DESCRIPTION

USAID/Guatemala awarded the Urban Municipal

Governance task order to Tetra Tech on January

27, 2017. It is a five-year project designed to

reduce levels of violence in municipalities most at

risk of violent crime through enhanced municipal

governance, increased coverage and quality of

municipal services, and greater citizen

participation and oversight. The project provides

municipal governments with improved technology

solutions and technical assistance to achieve

transparent and participatory planning, financial

management, and effective service delivery

implementation. UMG also provides technical

assistance, capacity building support, and resources for direct improvements to community-based

organizations working in partnership with municipalities to improve services that will help reduce crime

and violence.

Over the first 19 months of the project, UMG signed Memoranda of Understanding (MOUs) with the 17

municipalities it supports; conducted the Functional Organization Capacity Assessment (FOCAS) in each

municipality; and validated the PFM Plans with each respective municipality. By the end of Fiscal Year

(FY) 2018, the project will complete and submit to USAID its second Political Economy Assessment

(PEA) covering seven municipalities. Combined with the initial PEA, this brings the total number of

municipalities assessed to 17. In response to the needs presented in the PFMs, the project launched a

training series through local sub-grantees, Universidad InterNaciones (UNI) and Facultad Latinoamericana de

Ciencias Sociales (Latin American Social Sciences Institute [FLACSO]), and the provision of technical

assistance through individual consultants.

To help municipalities meet financial management requirements, UMG worked with the Ministry of

Finance (MOF) to support five municipalities in migrating taxpayer data into the Ministry’s system. With

the Comptroller General’s Office (CGC), the project started training several municipalities in the Public

Procurement Law. To support municipal income generation initiatives, UMG sponsored a training activity

for eight municipalities to improve their Cadastral Information Registry and presented the legal and

technical framework for municipalities to pursue public private partnerships and municipal concessions.

Lastly, FY2018 included a major emphasis on supporting the Vice Ministry and municipalities to build

their capacity in violence prevention through fora and best practice workshops. These initiatives serve as

the framework for the project’s continued support in FY2019.

To help achieve its primary goal of strengthening municipal governance, the UMG project effectively

engages key national-level institutions and links their municipal strengthening programs to the local level.

This helps promote sustainability of national-level initiatives in support of municipalities. Key national

level counterparts include: The Secretariat for General Planning (SEGEPLAN), the Directorate for

Assistance to Municipal Financial Administration (DAAFIM) within the MOF, the CGC, and the National

Institute for Public Administration (INAP). Although the Municipal Development Institute (INFOM) is

undergoing transition, it remains an important counterpart institution for UMG, as it can provide credit

for municipal infrastructure projects.

The Urban Municipal Governance project

contributes to the CARSI, which promotes an

integrated strategy to improve citizen security in

the region by building the capacity of institutions;

promoting transparent, inclusive and

participatory local governance; and improving

access to basic services for marginalized citizens.

The project advances CARSI objectives by

strengthening the capacity of local municipal

governments and communities to create

healthier more resilient communities that can

withstand the pressures of crime and violence.


At the community level, UMG works closely with members of the UPCV to help develop violence

prevention plans, also known as Service Delivery Improvement Plans (SDIPs). As of the end of FY2018,

UMG completed 12 of the planned 17 SDIPs. These form the basis for continued technical assistance

and training in crime and violence prevention initiatives in subsequent years. All participant communities

identified a variety of factors categorized into four risk areas: i) unsafe public spaces; ii) weak community

security; iii) youth at risk; and iv) social violence (i.e., domestic violence and gender-based violence

[GBV]). Based on the SDIPs, project activities during FY2019 will focus on providing targeted technical

assistance to equip the selected communities with the tools needed to respond to each risk area.

UMG’s prevention strategy will go beyond these risk factors and address primary and secondary

violence prevention—as they relate to the individual, relationships, and the community.

The project will continue to complement other USAID-funded projects, Convivimos and Community

Roots, and the International Narcotics and Law’s (INL) Municipal Precinct Project where municipalities

overlap. The UMG project shares a geographic focus with these projects and works in close

coordination to implement activities at community, municipal, and national levels. Currently there is no

overlap at the community level, as the programs agreed to work in separate communities. Specific areas

of coordination include strengthening the Municipal Offices of Women, Youth and Citizen Participation

and the creation and strengthening of Municipal Violence Prevention Committees (COMUPREs). Close

communication among the various initiatives reduces the likelihood of duplicating efforts.

As it enters the third year of UMG implementation, Tetra Tech will continue to work with its two

institutional partners, Segura Consulting and ASIES. Segura will provide continued technical assistance

and support to the three-person Project Preparation Facility (PPF) to strengthen municipal management

of public funds and service delivery. Local partner ASIES will conduct research to strengthen knowledge

of the local context; support the PEA; facilitate the baseline study; and provide data analysis to help the

project’s Monitoring, Evaluation, and Learning (MEL) Unit monitor progress toward achieving overall

results.

The national, municipal, and local elections, which begin during the second half of 2018, present major

challenges that the UMG project will face as it begins its third year. Currently, Guatemala faces

problems with illicit electoral campaign funding at both the central and municipal government levels. As

the UMG project implements activities, it must ensure that there is no appearance of favoring one

political party or candidate over another. Yet another challenge is to motivate the population (men,

women, and youth) to attend training opportunities and community events. The public is often wary of

municipal campaign events. If a project event is mistaken as a political event, attendance could be

impacted.

2.2 PROJECT OBJECTIVES

The UMG project is charged with achieving three primary objectives. The project’s staffing structure is

divided into organizational components to ensure that each objective is properly addressed. The project

components include: municipal strengthening, service delivery improvement, and citizen engagement.

These components work together to help achieve the following objectives:

1. Strengthen Municipal Performance: strong public budgeting for crime and violence prevention

related activities are in place.

2. Service Delivery Improvement: high-crime, urban marginalized communities are improved

through citizen-driven improvements in living conditions and municipal services.

3. Citizen Engagement: citizens and civil society, especially in the most at-risk communities, are

actively involved in municipal decision-making and accountability processes.


The UMG project works with 17 urban municipal governments to improve their understanding of and

responsiveness to the most pressing service-related needs of citizens living in 15 communities vulnerable

to high rates of violence, crime, and migration. The remaining two communities in Jocotán and Colomba

are covered by the Community Roots project. The UMG project strengthens municipal capacity to plan,

invest in, implement, and sustain service-related interventions in partnership with users of these services

at the community-level, including services which reduce vulnerability and prevent crime and violence.

Simultaneously, the project works with and through the Development Councils’ System (SISCODE) and

community-based organizations that represent the interests of these citizens to strengthen their access

to information on municipal performance and their ability to hold the municipalities accountable.

Improving municipal performance and transparency, basic services provided by the municipalities, and

the relationship between citizens and the municipal government will improve the overall resilience and

well-being of the community, thereby contributing to the reduction of violence and migration.

The specific component and activity-based approaches along with anticipated tasks for FY2019 are

presented in Section 3.0.

2.3 OVERALL APPROACH

Within the urban centers in Guatemala, crime is causing serious problems for local governments.

Populations are expanding and migrating; towns and cities and their surrounding rural areas are growing

rapidly; and levels of poverty and disparities between rich and poor are increasing. While the causes of

high rates of violence are unclear, more densely populated municipalities of the metropolitan area—and

in departments on or near borders—experience higher rates of murder than the rest of the country.

Continued high levels of crime and violence have created a serious challenge for mayors and local

governments. Traditionally, crime prevention is regarded as a police and prosecutor responsibility.

Preventing crime is complex and much broader than what traditional forces can provide. Fear of crime

and violence has led to fortification of neighborhoods, social exclusion, and imposition of tougher

sentences. These reactions fail to address the systemic problems associated with the spread of crime,

violence, and insecurity.

To affect current crime and violence problems and avoid greater problems in the future, municipal

leaders and communities must shift how they think and act. Local government leaders bear the

responsibility for fostering safe and healthy communities. The UMG project recognizes the crucial role

that local municipal leaders play in this process through organizing and motivating local partners to

foster healthy and safe communities. Effective crime and violence prevention projects require all

municipal entities, with support from higher levels of government, to work together rather than in

isolation. A serious and concerted effort to reduce crime and violence must involve community

organizations, the family unit, school systems, and youth groups, and be complemented by the work

done by police and the justice system. Municipalities must rise to the challenge and lead these alliances.

The basic elements of the UMG project’s approach to strengthen local government to reduce crime and

violence include:

1. Identifying and mobilizing key partners led by local city authorities and involvement of local agencies,

community organizations, police and justice systems, and the private sector.

2. Improving municipal authorities’ understanding of their roles in local violence prevention.

3. Coordinating regional UPCVs to facilitate a participatory assessment of local, urban safety problems

and victimization to enable consensus-based policy and priority setting.

4. Developing local action plans to address the root causes—not just the symptoms—of crime and

violence.


5. Understanding that crime and violence have multiple causes and occur in diverse circumstances.

6. Implementing long- and short-term primary and secondary prevention initiatives targeting risk

factors identified in each community.

7. Understanding that community-level crime prevention is best implemented by using data, analysis,

network mapping, and other social science tools together with law enforcement to identify the

community’s worst offenders. This should be followed by using community, individual, and family

incentives to help reverse their criminal tendencies.

8. Preparing an evidence-based evaluation tool with the Vice Ministry of Violence Prevention (VMP) to

demonstrate best practices and lessons learned.

Parallel to these specific violence prevention activities, the UMG project provides technical assistance to

improve municipal performance and transparency, improve basic services provided by the municipalities,

and the relationship between citizens and the municipal government by strengthening municipal capacity

to plan, invest in, implement, and sustain service-related and needs-oriented interventions in partnership

with users of these services at the community-level. In FY2019, the UMG project will continue working

through the SISCODE system, which comprises Community Development Committees (COCODEs),

Municipal Development Councils (COMUDEs), Community Violence Prevention Commissions

(COCOPREs), and COMUPREs. These committees and councils represent citizen interests to improve

access to information about municipal performance, which in turn enables citizens to hold municipal

authorities accountable.

2.4 MUNICIPAL SELECTION

As directed by USAID/Guatemala, the UMG project prioritizes municipalities with high rates of crime

and violence. The 17 municipalities supported by the project are in three regions throughout the

country.

1. Central Region, where gang-related violence is prevalent in the highly populated cities in and

around the Capital of Guatemala. The UMG project supports eight municipalities in this region:

UMG shares four with the Convivimos project (Mixco, Villa Nueva, Villa Canales and Amatitlán) and

UMG operates alone in the other four (Chimaltenango, Escuintla, Palencia, and Chinautla).

2. Southwestern Region, which borders Mexico and is located along the primary narcotrafficking

routes that flow from Guatemala to Mexico (Retalhuleu, Coatepeque, Malacatán, and Colomba).

The Community Roots project works in all of these municipalities with the exception of Retalhuleu.

3. Eastern Region, which borders El Salvador and Honduras, where organized crime activity is

prevalent (Esquipulas, Jocotán, Chiquimula, Zacapa, and Puerto Barrios). The Community Roots

project also works in Esquipulas, Jocotán, and Chiquimula.

Each municipality demonstrates its commitment to work in coordination with the UMG project through

an MOU that describes the role of each party.

Crime rates in each municipality is high. Homicide rates are an important indicator for assessing the

level of crime and violence in a particular area. Figure 2.1 (next page) presents a comparison of homicide

rates between 2016 and 2017 in the municipalities supported by the project. In some cases (i.e.,

municipalities of Colomba and Esquipulas), the homicide rate almost doubled from one year to the next.

Further research is required to determine the specific causes for this increase. Other municipalities, like

Retalhuleu, Palencia, and Malacatán, have decreasing levels of homicides from one year to the next.


FIGURE 2.1: CRIME RATES IN PROJECT SUPPORTED MUNICIPALITIES


TABLE 2.1: KEY STATISTICS FOR THE 17 MUNICIPALITIES SUPPORTED BY THE PROJECT

Department Municipality Population Crime

Rate [1]

Homicide

Rate

Migration

Return

Rate

Municipal

Management

Index [2]

Public

Services

Index

Financial

Management

Index

Human

Development

Index [3]

Guatemala Amatitlán 119,753 619.6 51 42 56 34 25 0.766

Villa Canales 162,017 295.1 37 23 95 79 20 0.705

Mixco 501,017 357.7 48 17 6 48 9 0.826

Villa Nueva 323,543 619.6 52 17 5 28 4 0.804

Chinautla 139,701 106.5 55 23 207 243 26 0.773

Palencia 64,164 194.3 22 240 45 85 45 0.648

Escuintla Escuintla 163,495 1,072.90 51 67 289 298 28 0.647

Chimaltenango Chimaltenango 152,919 458.5 33 71 175 91 74 0.698

Retalhuleu Retalhuleu 93,044 231 23 297 257 334 10 0.686

San Marcos Malacatán 120,030 121.7 20 289 133 57 247 0.606

Quetzaltenango Coatepeque 147,111 182.3 29 248 163 166 39 0.679

Colomba 41,416 135.2 86 181 118 106 288 0.604

Zacapa Zacapa 77,092 515.4 87 211 150 271 128 0.674

Izabal Puerto Barrios 115,260 615.8 74 141 233 104 61 0.704

Chiquimula Chiquimula 104,525 564.4 62 243 325 205 108 0.622

Esquipulas 64,835 312.8 100 367 69 45 81 0.618

Jocotán 67,355 193.2 45 150 49 214 322 0.543

Note – Municipalities in blue are shared with the Convivimos project. Municipalities in green are shared with the Community Roots project.

[1] Statistics presented for Crime Rate, Homicide Rate, and Migration Return Rate are calculated based on 100,000 people.

[2] Statistics presented for Municipal Management Index 2016, Public Services Index 2016, and Financial Management Index 2016 are the ranking of the specific municipality

compared to all participant municipalities (essentially out of 331 municipalities).

[3] The Human Development Index is based on a scale from zero to one. A rating of one signifies a positive trend and rating related to the factors contributing to the human

development index. A rating at or close to zero signifies a negative trend related to the factors contributing to the human development index (e.g., human development

indicators are poor).

Sources:

Population come from the Political Economy Assessments prepared by Tetra Tech in December 2017 and August 2018

Crime Rate data comes from the 2013 National Statistical Institute report “Departmental Characterizations” – the crime rate includes all reported incidents of crime.

https://www.ine.gob.gt/sistema/uploads/2015/07/20/WKlmHuak1yqOkr33C71wFTQEy6kLXLQW.pdf

Murder Rate shows the most recent data available from 2017, collected by Carlos Mendoza, http://www.dialogos.org.gt/category/violencia-homicida/

Migration Rate shows the most recent data from the International Office of Migration in Guatemala, unpublished

2016 Municipal Management, Public Services, Financial Management Indices are compiled from data from SEGEPLAN, http://ide.segeplan.gob.gt/sinittablero/

Human Development Index for municipalities are found in the 2011 Departmental Report, http://www.desarrollohumano.org.gt/fasciculos/cifras_v4.html

https://www.ine.gob.gt/sistema/uploads/2015/07/20/WKlmHuak1yqOkr33C71wFTQEy6kLXLQW.pdf

http://www.dialogos.org.gt/category/violencia-homicida/

http://ide.segeplan.gob.gt/sinittablero/

http://www.desarrollohumano.org.gt/fasciculos/cifras_v4.html


3.0 ACTIVITY APPROACH

3.1 COMPONENT 1: STRONG PUBLIC BUDGETING AND MUNICIPAL SERVICE

DELIVERY PROCESSES IN PLACE

3.1.1 Component Approach

Intermediate Results:

• IR 1.1 Improved management, administration, and coordination among key public institutions.

• IR 1.2 Strengthened accountability, responsiveness, and transparency in key public institutions.

The UMG project established working relationships with all 17 target municipalities by:

1. Signing MOUs with each municipality, clearly defining roles and expectations;

2. Completing two PEAs covering all 17 municipalities to provide a better understanding of the

working environment; and

3. Working alongside the 17 municipalities to prepare a FOCAS assessment to identify capacity gaps

and needs and serve as the basis for defining the PFM training plans.

The PFM training plans for all 17 municipalities supported by the project are divided into five operational

areas along with sub-functions—all crucial for identifying FY2019 municipal strengthening activities. The

operational areas and sub-functions that guide UMG project planning for FY2019 follow:

1. Planning:

a. Strategic planning (Institutional Strategy Plan [PEI]).

b. Multi-year operational planning (Multiyear Operational Plan [POM]).

c. Annual operational planning (Annual Operating Plan [POA]).

d. Community development planning.

2. Revenue Generation:

a. Tax revenue management.

b. Leveraging donor funding.

c. Developing public-private partnerships (PPPs).

d. Service fee management.

3. Financial Management:

a. Budgeting processes.

b. Application of Servicios GL and the Municipal Internal Audit Unit (UDAIM) for Internal Control.

c. Procurement management.

4. Citizen Outreach and Engagement:


a. Facilitating dialogue sessions with citizens.

b. Fostering citizen participation.

c. Communications and public information.

5. Crime and Violence Prevention:

a. COMUPRE performance.

b. Crime and violence prevention planning (CVPP).

c. CVPP funding.

d. CVPP implementation.

3.1.2 ACTIVITY 1.1: PRESENT POLITICAL ECONOMIC ASSESSMENT TO REMAINING

MUNICIPALITIES

Activity Approach

During FY 2018, project partner ASIES completed a PEA for the final seven municipalities. In FY2019,

the project will present the assessment to each Municipal Council and key municipal authorities and

generate dialogue around comments and questions. The project team will present the PEA to the

municipalities of Jocotán, Esquipulas, Chiquimula, Zacapa, Puerto Barrios, Mixco, and Chinautla.

Tasks

• ASIES presents PEAs to final seven municipalities.

3.1.3 ACTIVITY 1.2: IMPROVE THE COORDINATION OF KEY PUBLIC INSTITUTIONS

Activity Approach

The UMG project coordinated with the different public institutions in the areas of municipal

strengthening, public finances, transparency, accountability and oversight. During FY 2018, the UMG

project signed a MOU with the CGC, signed a Letter of Intent with the VMP, and agreed to terms with

INFOM1. In FY2019, the UMG project will continue facilitating linkages between national programs and

the local level. UMG will provide extensive support to and coordination with national-level entities like

SEGEPLAN, MOF, and the Guatemalan National Association of Municipalities (ANAM) as these national

institutions will utilize methodologies developed under Objective 1. The UMG project reached an

agreement with INFOM and the Ministry of Finance to provide technical assistance and training to these

national-level institutions in the areas of the Guide for Updating Municipal Public Service Rates, the

reproduction of the Integrated Municipal Financial Administration Manual, and support to their proposal

to update the National Municipal Strengthening Policy. However, due to the expected budget reduction

for the UMG project in FY2019, only the dissemination of the Integrated Municipal Financial

Administration Manual will be performed. 2

Tasks

• Sign MOUs with key public institutions (INFOM, SEGEPLAN, ANAM, and MOF).

1 The change of INFOM’s president and general manager will delay the signing of the MOU until FY2019.

2 The reproduction of the manual will be financed directly by the MOF.


• Disseminate the fourth version of the Integrated Municipal Financial Administration Manual to each

municipality supported by the project.

3.1.4 ACTIVITY 1.3: IMPLEMENTATION OF MUNICIPAL PLANNING ACTIVITIES IDENTIFIED IN

THE PFMS

Activity Approach

The municipalities follow the planning and budgeting procedures established by the government planning

entity, SEGEPLAN. Most have up to date PEIs, POMs, and POAs on file. The primary deficiency is the

lack of transparency and participation in the planning process. In most cases, the plans and budgets are

developed in isolation by the municipal staff under the leadership of the Municipal Department of

Planning (DMP). Little is being done to involve communities in participatory planning, and sometimes

even the other offices of the municipality (aside from the DMP) are excluded from the process. The

UMG project will continue working with municipal authorities and citizens to increase participatory

planning with members of the COMUDE. The UMG project will help municipalities establish

methodologies and tools for community planning and support for community development offices and

staff.

UMG will also address planning-related information technology (IT) gaps. Municipal staff express

difficulties using essential programs (like Word, Excel, and Access) to streamline and automate standard

administrative functions. The project will support training initiatives in basic IT applications. Municipal

capacity building for planning activities will be provided through grants, short-term consultants, direct

interventions, and purchases, described below.

• During the first five months of the fiscal year, project grantee UNI will continue strengthening

administrative structures in participatory planning and budgeting in the 10 initial municipalities

(Coatepeque, Colomba, Retalhuleu. Malacatán, Chinautla, Villa Canales, Amatitlán,

Chimaltenango, Escuintla, and Palencia) through an online course. Parallel to this training,

participants will take part in planning exercises with municipal employees and citizens. UNI is

also providing onsite technical assistance in the preparation of municipal POAs. Participants who

successfully complete the course are eligible for university credits. Upon the conclusion of this

online course in February 2019, UMG will bring the grant agreement with UNI to an early

closure. The timing is appropriate as municipal officials will focus on campaigning in preparation

for elections.

• Through short-term consultancies, the UMG project will provide technical assistance to strengthen

the competences of municipal officials and technical staff in the participatory planning process and

equip them with the necessary tools to support 2019 POA, PEI, and POM drafting.

• Project consultants will review 2018 POAs to determine progress toward objectives and results and

share the findings with the municipalities of Jocotán, Esquipulas, Chiquimula, Zacapa, and Puerto

Barrios. Proposed methodology is based on a combination of training and technical assistance to

promote sustainability.

• Through direct implementation and a team of consultants, the project will provide technical

assistance to ensure that the POAs, PEIs, and POMs are being implemented as planned and that

citizens are aware of the status of the plans and progress being made.

Tasks

• Contract consultants to assist Zacapa, Esquipulas, Jocotán, Chiquimula, and Puerto Barrios in the

preparation of their PEIs, POMs, and POAs.


• Monitor UNI sub-grant for its diploma course in municipal planning.

• Through direct implementation and consultants, the UMG project will provide technical assistance in

municipal administration to oversee the implementation of PEIs, POMs, and POAs in the

municipalities that received training through UNI.

3.1.5 ACTIVITY 1.4: IMPLEMENTATION OF IMPROVED CADASTER AND LAND REGISTRY

ACTIVITIES IDENTIFIED IN THE PFMS

Activity Approach

Municipal authorities expressed the need for support in modernizing land use and ownership planning

and management (known as Property Registry Planning, or planificación en ordenamiento territorial [POT]).

This is a significant problem in most urban municipalities given the increase in population pressure and

high rates of urban migration. Municipalities expressed the need for improving their cadaster office as a

way to improve their property tax income and to link property rights to public service delivery.

Accomplishing this is essential for increasing municipal level revenue. Current tax collection initiatives

are ineffective, in part due to poor administration of organized and updated property information. Some

of the tax administration problems relate to property cadaster systems, which may be more

sophisticated than local technical capacity can support and more expensive than the revenues produced

by the property tax can generate. Better tax administration thus requires increased efforts to design

cadasters for sustainability and the application of more flexible cadastral and valuation approaches to

improve the accuracy and uniformity of valuations. Encouraging tax payments, negotiating tax debts, and

consistently applying sanctions in cases of tax evasion can help improve collection rates. Effective public

information campaigns on taxation procedures and the use of tax revenues can improve the fiscal

culture and promote trust. Municipalities that implement these reforms can benefit from greater

revenues to invest in local public services. Improvements in property tax collections should strengthen

local governance while underscoring the shared responsibility of citizens and public authorities for urban

development.

UMG project staff understands that improving these systems is complex yet necessary for municipalities

to improve their financial viability and reduce their dependence on national government transfers. The

importance of developing, improving, or updating POTs and cadaster information is crucial. By

developing or updating the POT, a municipality will be able to:

1. Have a clear idea of how to use its land and plan accordingly;

2. Organize areas of urban expansion and areas for agriculture and industry expansion better;

3. Plan the expansion of future roads and overall transportation network;

4. Establish areas for environmental protection of water sources; and

5. Plan public service expansion.

These steps result in increased revenue and greater efficiencies in providing construction licenses,

increase the tax base, and benefit more people with improved public services.

The UMG project will limit the number of municipalities where these interventions are applied.

Emphasis will be placed on municipalities that requested assistance and have the political will to improve

their cadaster offices. In FY2019, the UMG project plans to implement the following activities:

• Support preparation of the POT in Chimaltenango and Escuintla through a local grantee. This may

include generating or improving the Geographic and Statistical Information System, which is essential


for decision making as well as for monitoring and evaluation by civil society organizations and

citizens. Implementing a POT will better position municipalities to institutionalize citizen

participation in decision making, have better control of public spending, and plan for the expansion

of public services. The project will support the development of a digital platform to enable citizens

to follow up on the POT. A better system for organizing property and land use will help increase

municipal revenue through more efficient processes for providing and monitoring construction

licenses, public services, and property taxes.

• The UMG project will also support the Mancomunidad de la Gran Ciudad Sur in the improvement of

the cadaster offices in the municipalities of Mixco, Villa Nueva, Amatitlán, and Villa Canales. The

level of support to each municipality will vary depending on their specific needs.

‒ UMG will provide approximately 275 square kilometers of high resolution aerial photographs

for the four municipalities to support municipal cadaster personnel in collecting the necessary

data to update property information. The expected result is an improved tax collection system

and increased municipal revenues. The municipalities will benefit from the LIDAR images as they

improve the ability of municipalities to plan and implement civil works.

‒ The aerial photographs are the first step for updating the cadaster in Villa Nueva and Mixco. In

the municipalities of Villa Canales and Amatitlán, the project will support the delimitation of land

plots. This will be the main input for the Municipal Offices of Urban and Territorial

Development (OMDUT) to establish a multi-purpose municipal cadaster.

‒ UMG will provide technical assistance to improve tax collection processes; support citizen

awareness campaigns regarding tax payments; and strengthen the tax system, procedures for

processing construction licenses, and the OMDUT offices.

‒ The project will provide technical assistance to Villa Canales to help prepare their POT.

• The UMG project will work with Progreso Cementos, a private sector company, to prepare the POT

in Chinautla and possibly Zacapa. Progreso Cementos has advanced in the preparation of the POT in

Chinautla. UMG will support the process. They have not yet started in Zacapa. UMG will work with

the municipality and Progreso Cementos to coordinate interventions. UMG will focus on completing

the cadaster and Cementos Progreso will prioritize the POT. This serves as an important example of

private sector participation in municipal development.

• The UMG project will train target municipalities in Eastern Guatemala in surveying and geographical

information systems (GIS). This builds on the success of the diploma course provided by the

Cadastral School (known as ESCAT) to municipalities in the central region. The course equips

training participants with knowledge and skills to improve and modernize municipal management,

including use and management of Global Positioning System (GPS), cartography, cadastral survey,

and use of forms. The project will promote cost-sharing arrangements to finance the ESCAT (a

parastatal institution) training. 3

3 The Mancomunidad de Gran Ciudad Sur covered the cost of ESCAT in the previous training.


Tasks

• Procure images4 for the municipalities of Villa Nueva, Mixco, Villa Canales, and Amatitlán.

• Provide technical assistance in the use of images to improve cadaster units within the four

municipalities.

• Provide training in the use of the Quantum GIS tool to the four target municipalities in the

southwest region of the country.

• Support the Zacapa, Chiquimula, Jocotán, Esquipulas, and Puerto Barrios municipalities in

implementing their respective cadaster and land management projects. This support includes GIS

training, procuring images, conducting cadaster surveys, and providing hardware, software, and

technology expertise.

• Finalize a grant agreement with the Ecodevelopment and Conservation Foundation (FUNDAECO)

to improve their cadaster and implement their POT in the municipalities of Escuintla and

Chimaltenango.

• Facilitate joint planning exercise with Cementos Progreso and the municipalities of Chinautla and

Zacapa to support the preparation of the POT.

• Contract consultants to support the municipalities of Escuintla, Villa Canales, and Chimaltenango in

the preparation of their Municipal Development Plans.

3.1.6 ACTIVITY 1.5: IMPLEMENTATION OF REVENUE GENERATION ACTIVITIES IDENTIFIED IN

THE PFMS

Activity Approach

Most municipalities cannot generate sufficient revenue to meet municipal development needs. They

depend on central government transfers. Generally, recovering taxes and fees for property and

municipal services such as water, sanitation, markets, and other services is low and highly subsidized.

Management of current and potential revenue must be analyzed to understand where administrative,

financial, legal, and service delivery improvements can be made. Based on this analysis, an action plan can

establish next steps to improve revenue generation by improving collection processes, establishing

reasonable rates, and updating databases and improving citizen´s access to information.

Few municipalities have succeeded in accessing external funding sources. Even though external sources

exist in the form of municipal bonds, loans, grants, and public private partnerships (PPPs) in some cases

to meet a variety of basic service needs, few municipalities are leveraging these resources. Municipalities

do not have the capacity, personnel, or skills to access these funding sources. An obstacle to obtaining

outside funding is overall low capacity to prepare bankable projects. Municipalities have requested

support from the UMG project to increase capacity and help develop strategic alliances with donors or

private partners. Proposed activities for FY2019 include:

• Project grantee FLACSO completed one of three courses they started last fiscal year— a 60-hour

course for 200 planning and program employees addressing results-based management. The course

requires municipal officials to submit a proposal to update the municipal plan for rates charged for

4 LiDAR images are useful for natural disaster planning. However, standard imaging is sufficient for improving cadaster systems –

resulting in important cost savings.


services. However, due to UMG’s expected budget reduction and upcoming municipal elections,

UMG will close-out the grant agreement with FLACSO early, in December 2018. The originally

planned courses for municipal council members addressing tax policy, income generation, and

economic and social policy will not be implemented.

• After the elections, UMG will support training workshops for new municipal officials on relevant

topics to include: the municipal code, municipal official roles and responsibilities, public services,

budget preparation, municipal accounting, and inventory management. Both UMG staff and national-

level entities like INFOM, SEGEPLAN, MOF, and ANAM will coordinate and lead the workshops.

The UMG project will provide logistical support. These workshops will off-set the impact of closing

out the FLACSO grant agreement.

• Through short-term technical assistance, the UMG project will analyze municipal service delivery

processes and develop action plans to improve them. The objective of this assistance is to

strengthen the provision and accountability of at least four municipal public services. The project will

help draft diagnostic reports detailing the status of public service provision according to the

municipal code—addressing the technical, administrative, financial, and legal issues surrounding each

service. Once the diagnostic stage is complete, the project will help the municipalities prepare five-

year action plans aimed at achieving improvements in quantity and quality of service coverage. Local,

in-country study tours will be used to help target municipalities gain a better understanding of best

practices in management of water services, sewage, wastewater treatment, and integrated

management of solid waste and waste. The five-year action plans will be adjusted based on

information gathered during the study tours.

Tasks

• Coordinate with INFOM, SEGEPLAN, MOF and ANAM to deliver training workshops to new

municipal authorities after the elections.

• Provide short-term technical assistance to analyze four public services in Zacapa, Esquipulas,

Jocotán, Chiquimula, and Puerto Barrios.

3.1.7 ACTIVITY 1.6: IDENTIFICATION AND IMPLEMENTATION OF PUBLIC PRIVATE

PARTNERSHIPS THROUGH THE PROJECT PREPARATION FACILITY

Activity Approach

The UMG project’s three-person Project Preparation Facility Team is working to strengthen municipal

capacity to manage public funds, leverage resources from the private sector, and generate income for

the municipality. The PPF unit is essential to help the project meet its leverage goal of $2 million.

To operationalize PPF unit activities, the UMG project established contact with two counterpart

entities, INFOM and the Mancomunidad Gran Ciudad del Sur. In FY2019, the project will look for

additional, more appropriate partners to promote ownership and sustainability of the PPF mechanism.

Specific steps include:

• UMG will re-direct plans of embedding the PPF mechanism in INFOM and look for other institutions

which play that role. After promising initial coordination efforts to house the PPF unit with INFOM,

it became clear that the institute would not be offering project preparation services to

municipalities. Therefore, the institute is not a viable counterpart to advance PPF initiatives. The

UMG project will continue to engage INFOM in its efforts to provide credit to municipalities.


• In FY2019, the UMG project will work to strengthen the capacity of SEGEPLAN as it oversees

municipal construction activities. This involves supporting SEGEPLAN as it directs the National Pre-

Investment System and the National System of Public Investment, two entities that are key in

municipal infrastructure investment. SEGEPLAN plays an important role in identifying potential

infrastructure projects for study in anticipation of receiving funding from the CODEDEs.

To leverage resources to finance specific projects, the UMG project will continue to work with INFOM

and its regional delegates, as well as with SEGEPLAN and its departmental delegates. It will help link the

two teams with municipal officials and strengthen institutional capacity to implement the PPF mechanism

throughout the country, institutionalize it, and ensure it is properly funded for its sustained operations.

Due to expected reductions in available funding for the UMG project in FY2019, FY2020, and FY2021,

the project prioritized support to one public service per selected municipality. It will not be able to

work in all 17 target municipalities for this initiative. Public lighting and waste management are the two

public services the project will support in selected municipalities. Both can contribute to violence

reduction and are prioritized in community violence prevention plans. They also have high potential to

leverage private sector investment through a concession or a public-private partnership.

The UMG project will conduct the public lighting/electricity feasibility analysis in the following

municipalities during FY2019 - Escuintla, Chimaltenango, Esquipulas, and Zacapa. Feasibility studies for

solid waste management will cover Colomba, Malacatan, Coatepeque, and Retalhuleu. The studies are

essential for leveraging private sector resources and generating municipal income. The activity is also

conducive to taking place during an election year, as the studies can serve either incumbents or newly

elected officials. Upon completing the studies, UMG will help municipalities prepare corresponding

action plans (see Table 3.1).

The two municipalities most advanced and prepared to work with PPPs or concessions are Villa Nueva

and Puerto Barrios. Both municipalities have either approached private sector actors or advanced in

project design but need the legal expertise in project structuring. In addition to supporting the feasibility

studies, the UMG project will assist Puerto Barrios in FY2019 to structure projects and provide targeted

assistance to identify the most appropriate financing mechanism.

TABLE 3.1: PROJECTS PROPOSED BY MUNICIPALITIES FOR PPF SUPPORT

No. Municipality Project Identified by Municipalities UMG Proposed Support

1 Villa Nueva • Cableway

• Public transportation (bicycle project)

• Solid waste disposal system (possibly through the

Mancomunidad)

No support during FY2019

2 Retalhuleu Solid waste treatment plant Feasibility study for solid waste

management plant

3 Puerto Barrios Urban mobility study, which could lead to additional

support for:

• Bicycle transportation system

• Marine transport to free up road traffic

Support for full Municipal

Concession for the bicycle

transportation system

4 Palencia • Municipal market (two options)

• Bike path

• Tourist trail

• Integrated solid waste management system


5 Coatepeque • Construction of a municipal shopping center

with two or three levels for parking

• Improvement of public lighting (change of lamps)

• Urban wastewater treatment plant

• Road improvement (several sectors)

Feasibility study for solid waste

management


No. Municipality Project Identified by Municipalities UMG Proposed Support

6 Amatitlán • Improvement of public lighting (change of lamps)

in the municipal


7 Mixco • Cableway No support during FY2019

8 Jocotán • Bus terminal

• Solid waste treatment plant


management

9 Chiquimula • Bus terminal (market)

• Improvement of public lighting

• Solid waste management


management

10 Malacatán • Solid waste management Feasibility study for solid waste

management

11 Zacapa • Municipal market



• Bus Terminal

Feasibility study for public

lighting

12 Colomba • Municipal market



management

13 Escuintla • Cultural center



lighting

14 Chimaltenango • Improvement of public lighting Feasibility study for public

lighting

15 Esquipulas • Bus terminal (market)



lighting

16 Chinuatla • Solid waste management



17 Villa Canales • Solid waste management



Specific activities in the implementation of PPPs for the upcoming fiscal year include:

• Preparation of a municipal infrastructure investment guide to serve as a “how to” manual on

accessing PPP municipal infrastructure projects. Short-term international PPP specialists will prepare

the manual with the PPF unit. The manual and accompanied support will build municipal capacity to

access outside private funding for their infrastructure needs. The consultants will analyze and

present the current legal and financial mechanisms in Guatemala governing PPPs and will prepare a

detailed methodology for identifying and selecting possible projects. Upon completing the manual,

the specialists will present the results to mayors and key actors involved in the PPP process.

• In FY2019, the UMG project will support Puerto Barrios with at least one infrastructure project that

accesses private sector funding through a municipal concession. The support will include legal,

financial, and technical advice through all phases of project development (feasibility studies, project

design, accessing finance and leveraging resources, and project implementation).

• Various municipalities requested support to improve lighting in public spaces (a project that also

appears in the various CVPPs). This type of project is ideal to promote a municipal concession.

However, the current situation is complex as many municipalities have been denounced with breach

of contract by failing to make monthly payments to the electricity companies. In FY2019, the UMG

project plans to implement pilot studies in Escuintla, Chimaltenango, Esquipulas, and Zacapa to

provide information on the technical, financial, and legal aspects of the lighting systems. Based on

these studies, the project will propose necessary improvements to the service, which may translate

into increased municipal revenues.


• Due to inadequate waste collection services, some inner-city communities leave trash on the road

or in illegal dumps. This creates an environment prone to violence. People do not feel safe walking

through neighborhoods that look unsafe. For this reason, UMG will work with a select group of

municipalities to improve solid waste management. Colomba, Malacatan, Coatepeque, Jocotan and

Retalhuleu require solid waste management support. UMG plans to provide technical and financial

assistance to conduct feasibility studies in four municipalities during FY2019. Upon completing the

studies, UMG will structure a service improvement program.

Tasks

• Redefine relationship between the project’s PPF unit and INFOM and SEGEPLAN. Establish an MOU

to describe roles, responsibilities, and expectations clearly.

• Structure financing for a public transportation project in Puerto Barrios.

• Support feasibility studies for public space lighting projects in Esquipulas, Escuintla, Chimaltenango,

and Zacapa.

• Approach potential partners: foundations, other projects, other donors, NGOs, and private sector

associations to promote PPPs.

• Engage banks to gauge their interest and available services for financing municipal infrastructure

projects.

3.1.8 ACTIVITY 1.7: IMPLEMENTATION OF FINANCIAL AND ADMINISTRATIVE MANAGEMENT

ACTIVITIES IDENTIFIED IN THE PFMS

Activity Approach

Lack of capacity among municipalities to implement the financial management software system, Servicios

GL, is a major obstacle to sound fiscal management. With the introduction of Servicios GL to improve

documentation, tracking, and collection of service fees and new procurement procedures resulting from

the Ley de Contrataciones del Estado, municipalities require capacity building support in the use of these

systems and procedures. All municipalities except Villa Nueva, Mixco, Villa Canales, and Malacatán use

Servicios GL. Effective application of this program enables the MOF to oversee municipal spending,

essential for improving transparency.

Even though formal plans, budgets, and funding exist at the municipal level, budget execution rates are

low and reliance on central government transfers is high. Compliance with the Central Controller’s

Office is challenging, and municipal staff struggle with new and complicated regulations and procedures.

Many municipalities are facing significant monetary penalties and fees resulting from audit findings. To

address this, the UMG project, along with the CGC, INFOM, and INAP will pilot a training activity and

provide technical assistance in the application of procurement processes and procedures to ensure

compliance with the law. Training will be provided in three different regions and will reach 72

municipalities.

During the launch of the third Public Procurement course in Retalhuleu, interim Controller, Mr.

Fernando Fernandez, publicly agreed to continue supporting the initiative to reduce and harmonize a

series of instruments that municipalities must manage. At present, at least 80 instruments were

identified (they include regulations, internal regulations, circulares, among others), that various

institutions (CGC, MINFIN, INFOM, other Ministries) require local governments to manage with little

to no coordination between the institutions. This results in duplication of efforts and tasks. During


FY2019 and before the departure of the interim Controller, UMG will propose a new list of prioritized

instruments, validate them with the relevant municipalities, and have Mr. Fernandez sign off on them.

In FY2018, UMG coordinated with the CGC's Information Technology Management Office, to improve

the tools used by the internal audit units. This initiative seeks to strengthen transparency by encouraging

citizen participation to conduct social audits. The UMG project contracted four senior systems

consultants to analyze, code and test new tools. This will equip municipal internal audit units with the

necessary tools to facilitate planning, implementation, and reporting required by the CGC. This activity

will continue during FY2019.

Managing public procurement processes (service contracts and purchases) presents another challenge

for municipalities. To support and strengthen these areas, FY2019 UMG project activities and tasks are

detailed below.

Tasks

• Continued support to the municipalities of Amatitlán, Chimaltenango, Escuintla, Malacatan and

Chinautla in the migration of taxpayer data to the Servicios GL system. This activity started in

FY2018 and completing the migration is expected in mid-FY2019.

• For those municipalities managing Servicios GL, the project will provide direct technical support to

municipal officials in the use of the system.

• Continue support for the municipal procurement course offered by INFOM, CGC, and INAP in

eastern and southwestern municipalities.

• Provide technical assistance and training, in coordination with relevant local counterparts, to

improve financial management of the Committees on Programming and Budget Execution (COPEP)

for each of the 17 municipalities. The course strengthens municipalities’ abilities to conduct proper

financial close-outs, improve financial reporting, manage municipal contracts properly, and complete

the required municipal inventory process.

• Continued support to the CGC and mayors in addressing low budget execution levels. The project

will continue to promote dialogue; establish a follow-up commission to address public issues

between the municipal authorities and the CGC; simplify and reduce the number of manuals and

other instruments needed by the municipalities; simplify processes and instructions to municipalities.

• Conduct short-term consultancy to update administrative manuals in Amatitlán.

• Continue providing technical support to CGC’s Information Technology Management Office.

3.1.9 ACTIVITY 1.8: IMPLEMENTATION OF CITIZEN OUTREACH ACTIVITIES

Activity Approach

Municipalities note that citizens are not adequately engaged in advocating effectively for improved

services or in holding municipal officials accountable. Several municipalities requested assistance to

improve communications to increase citizens’ understanding of municipal performance and create a

willingness to pay for services. Municipalities also requested assistance in improving their compliance

with the Access to Public Information Law (LAIP) and specific improvements to their webpages and use

of social networks to reach citizens. Since each municipality is unique, the project assessed each

municipality’s compliance with the LAIP in FY2018, including their social community strategy and website

content. Municipal performance related to LAIP requirements are included in Secretaria Ejecutiva Acceso

de la Información performance index listed in the Figure 3.1 below


FIGURE 3.1: PERFORMANCE ON ARTICLE 10, LAIP 2017

(2017 Secretaria Ejecutiva Acceso de la Información (SECAI) Report

To strengthen citizen outreach efforts, the project will facilitate workshops in FY2019 on the Access to

Public Information Law for its target municipalities. These workshops will be implemented in

coordination with INFOM, ANAM, Procurador de Derechos Humanos, and INAP. After completing the

workshops, the project will provide short-term technical assistance to ensure each municipality reaches

compliance. Support will also be provided to improve websites where required to improve access to

public information. Additionally, the project will help municipalities prepare monthly infographics

highlighting progress in financial management and project implementation. This information will be

disseminated to the communities within each municipality, strengthening access to public information.

New and relevant uses in technology will be considered in the dissemination of this information.

The UMG project will also work with at least two municipalities to develop participatory integrity plans

to improve good governance and reduce corruption. This new strategic approach aims to achieve

institutional change at the local level that will ultimately result in improved public services, greater

citizen trust, and a better business environment. This intervention will be implemented through a grant

agreement with a locally trained civil society organization (CSO). This activity is expected to begin once

agreed to by newly elected authorities – and may be pushed in FY2020.

0%

0%

0%

0%

0%

20%

25%

28.57%

30%

35.71%

44.44%

45%

59.52%

61.11%

61.11%

64.29%

68.75%

0% 10% 20% 30% 40% 50% 60% 70% 80%

Colomba

Zacapa

Jocotán

Malacatán

Puerto Barrios

Retalhuleu

Chiquimula

Chimaltenango

Coatepeque

Mixco

Chinautla

Escuintla

Esquipulas

Amatitlán

Villa Nueva

Palencia

Villa Canales

Performance on Article 10 LAIP 2017


Tasks

• Support initiatives to automate fee collection processes for municipal public services in at least two

municipalities.

• Provide technical assistance for compliance with the Law on Access to Public Information at the

municipal level.

• Provide technical assistance to municipal staff and municipal and community leaders (COMUDEs and

COCODEs) to define and implement a strategy to improve citizen engagement in development

planning and budgeting.

• Provide technical assistance and logistical support to develop capacity in planning, budgeting, and

monitoring of Municipal Women’s Office (DMM), Municipal Youth Office (OMNAJ), and Municipal

Citizen Participation Office (OMPC) activities so that they can properly prepare assessments and

participatory violence prevention action plans.

• Link technical assistance from the national offices of the Presidential Secretariat for Women

(SEPREM), Secretariat of Executive Coordination of the Presidency (SCEP), and National Youth

Council (CONJUVE) to the DMM, OMNAJ, and OMPC.

• Through the support of SEPREM, develop and implement a municipal women’s policy in each

municipality.

• Support the DMM, OMNAJ, and OMPC in assessing the situation of women and youth in the

municipalities.5

• Prepare assessment of the role of women in the elaboration of the municipal policy for women.

Ensure the National Policy for the Promotion and Integral Development of Women (PNPDIM)

and the Equal Opportunity Plan (PEO) are considered in the strategy.

• Provide technical assistance to help prepare DMM, OMPC, and OMNAJ operations manuals.

• Enter into a grant agreement to improve webpage development in municipalities that fall below the

standard.

3.1.10 ACTIVITY 1.9: STRENGTHENING MUNICIPAL TECHNICAL CAPACITIES FOR THE

IMPLEMENTATION OF LOCAL CRIME AND VIOLENCE PREVENTION STRATEGIES

Activity Approach

Municipal authorities and employees know little about crime and violence prevention. Traditionally,

crime prevention is regarded as a responsibility for the police, prosecutors, and the national

government. These entities are not able to contain crime. To reduce crime and violence and avoid

greater problems in the future, municipal leaders must shift how they think and act. Seeing and

5 UMG’s work with the OMPC will be completed in all 17 municipalities. UMG´s work with the DMM will only take place in the

western and eastern municipalities and in the central level municipalities where Convivimos does not have presence

(Escuintla, Chimaltenango, Chinuatla). Support to SEPREM will improve coordination between the national government and

municipal governments to support their training programs to DMM, DAAFIM and DMP. The objective is to align municipal

actions with national policy guidelines. FY2019 work with the DMM will assess the situation of women in these municipalities to

inform municipal policies expected to be developed in FY2020. UMG´s work with OMNAJ is being planned with Community

Roots in the west and east and where Convivmos is present. UMG is developing complementary actions to what the other two

programs have planned.


understanding community safety as a basic human right, good governance insists that local government

leaders also bear the responsibility for fostering safe and healthy communities. Local municipal leaders

play a critical role in this process through organizing and motivating coalitions of local partners to create

healthy and safe communities.

A major project objective is to is to strengthen knowledge and capacities of municipal staff, authorities,

and leaders in crime and violence prevention programming and linking this to other municipal processes

(e.g., planning and budgeting). In FY2018, the UMG project supported the Violence Prevention Forum to

clarify roles and responsibilities related to crime and violence prevention. This also included workshops

and study tours directed at mayors and municipal staff. Prior to the forum, the UPCV prioritized 30

municipalities to pilot national violence prevention interventions. All 17 municipalities supported by the

UMG project are included within the 30 selected. As violence prevention pilots are proven successful

through evidence-based data, they will be rolled-out to other municipalities.

The Violence Prevention Forum served as an opportunity to map out future interventions within the

National Violence Preventions Strategy framework, which will focus on strengthening municipal

governments in crime and violence prevention. The tasks are included below.

Tasks

• Support the UPCV in the implementation of the National Commission for the Prevention of

Violence and Crime (CONAPRE) through a consultancy. The Ministry of the Interior (MINGOB)

through the VMP launched the National Violence and Crime Prevention Strategy to address major

risk factors of violence, such as youth unemployment, domestic violence, single parent households,

and child abuse. A subsequent executive order established functions across line ministries (Ministries

of Labor, Economy, Culture and Sports, Education, Health; MINGOB; and the Executive Secretariat

of the Commission Against Addictions and Illicit Drug Trafficking) and other institutions such as

SEPREM and CONJUVE to operationalize the strategy. Local governments are instrumental actors in

planning and managing policy at the regional level and coordinating with community leaders and

stakeholders through existing engagement mechanisms. Accordingly, the VMP sees the

operationalization of the Strategy as an opportunity to pilot and validate this community-based

model for violence prevention.

• Provide short-term international and local technical assistance to design and implement a training

course on citizen security for national and local government officials. The course will focus on

developing violence prevention programs, establishing indicators, means of verification, and

monitoring and evaluation.

• Support municipalities in the implementation of their violence prevention policies.

• Provide short-term international technical assistance to relevant Municipal Violence and Crime

Prevention Commissions (COMUPREs), to focus on at least one action plan line item included in the

Municipal Prevention Policy. This requires a thorough and detailed analysis of the issue and the

formulation of concrete actions to address it. We expect international consultant, Ms. Lucia

Dammert to conduct this assignment in FY2019.

• Raise awareness among municipal officials and personnel in the National Strategy for Crime and

Violence Prevention, their roles, and how to understand and address crime and violence prevention

at the municipal and local levels through the provision of training and facilitating “learning through

practice.”

• Conduct study tours to Los Angeles—one in October 2018, in which five to six mayors and/or CSO

representatives will attend, and one tour to attend the Gang Conference in May or June 2019.


• Accompany municipalities and COMUPREs and COCODEs (in target communities) in the

implementation of municipal and community-level violence prevention plans and service delivery

improvement plans that are designed to reduce vulnerability.

• Improve the role of UPCV within the municipalities (i.e., national to regional link):

‒ Work with UPCV field delegates in targeted municipalities to improve the institutional

credibility and promote a greater commitment from the municipal government;

‒ Support the UPCV to mobilize the community around activities that improve social cohesion

and change the perception towards violence; and

‒ Make a concerted effort to use the institutional capacity of the UPCV’s training team to facilitate

community trainings.

Training and technical assistance will also be provided to the DMMs and OMNAJ. The FOCAS

workshops clearly demonstrated that further support is needed to better understand roles and

responsibilities related to violence prevention activities within each municipality. Few municipalities have

manuals or procedures which highlight GBV. Although Municipal Councils are empowered to open and

fund DMMs, not all municipalities have them in place and far fewer are currently operating programs.

The UMG project will strengthen the opening and operation of DMMs and raise awareness of GBV

through training for municipal officials and others; and promote cross-municipal training and exchanges

on successful experiences promoting women’s rights and reducing GBV.

3.2 COMPONENT 2: HIGH-CRIME, URBAN MARGINALIZED COMMUNITIES ARE

IMPROVED THROUGH CITIZEN-DRIVEN IMPROVEMENTS IN LIVING

CONDITIONS AND MUNICIPAL SERVICES

3.2.1 COMPONENT APPROACH

Intermediate Results:

• IR 2.1 Vulnerability of at-risk youth to crime decreased.

• IR 2.2 Vulnerability of at-risk populations reduced.

• IR 2.3 Civic responsibility increased.

The UMG project works in at least one high-crime urban community in each of the selected

municipalities.6 The UMG project, requested that each municipality select a high-crime community based

on the following criteria:

• High rates of violence—chronic “hot spots” with high-crime rates especially shootings and killings

have persisted for multiple years (see text box below).

6 In communities and municipalities where the UMG project complements the work of Convivimos and Community Roots and community-

based vulnerability information has already been gathered and Community Violence Prevention Plans have already been defined, UMG and

counterparts will use this information to define Service Delivery Improvement Plans to support the development and improvement of municipal services that prevent violence.


• Level of community organization—preference given to communities with active COCODEs or some

form of community group in existence.

• Presence of at least one primary or secondary school.

• Communities near cemeteries, prisons, or trash dumps (generally high-crime areas or areas

vulnerable to gang recruitment).

Table 3.3 below presents the updated list of the communities in their respective municipalities.

TABLE 3.3: UPDATED LIST OF UMG COMMUNITIES

Municipality Community Estimated Community

Population*

Homicide

Rate

2016**

Homicide

Rate

2017**

1 Villa Nueva Colonia El Mezquital 18,480

(within the prioritized area

of UMG implementation)

48.70 108.22

2 Mixco 1 de Julio 23,910 N/A N/A

3 Villa Canales Aldea El Jocotillo 17,000 29.41 29.41

4 Amatitlán Colonia Altos de la Cruz 1,000 0 300

5 Palencia Cantón Rincón de la Piedra 3,000 0 0

6 Chimaltenango Aldea Socobal 4,350 45.98 91.95

7 Chinautla Colonia San José Jocotales 3,000 133.33 0

8 Escuintla Colonia Modelo I 1,500 0 0

9 Retalhuleu Cantón Tableros 5,000 0 0

10 Colomba UMG will only focus on Component 1,

as Community Roots will cover all

high-violence communities

_ _

11 Coatepeque Barrio Chuatuj 25,000 16 24

12 Malacatán Cantón Santo Domingo Belén 2,400 0 0

13 Chiquimula Colonia El Zapotillo 384 0 0

14 Esquipulas Colonia Los Pinos 1,600 63 312.5

15 Jocotán UMG will only focus on Component 1,

as Community Roots will cover all

high-violence communities

_ _

16 Puerto Barrios Two communities: Caserío El

Manantial and Caserío San Agustin,

with a combined population of 10,000.

They share a COCOPRE.

10,095 9.91 59.44

17 Zacapa Fragua 4,500 88.89 88.89

* Source : COCODEs and Municipalities ** Dialogos

UMG’s Approach to Hot Spots

UMG´s approach to “hot spots” is to locate the places with the highest number of victims and people affected by violent acts

during the last two years. Once identified, these locations will be classified based on socio-demographic parameters, and a map of associated state institutions (PNC, MP, hospitals, firefighters, etc.) will be developed. Referencing official databases (PNC,

INACIF) on violent crimes that occurred at the community level, involving cases of domestic violence, homicides by firearm,

knife, and theft will be a primary source of data. UMG will disseminate and analyze these statistics with the community

(COCOPRE) and municipality (COMUPRE).

The objective is that the COMUPREs and COCOPREs will eventually be able to gather this information and use it in the future

to inform their interventions. To accomplish this, UMG will strengthen the capacity of both COMUPREs and COCOPREs to

access open data sources to obtain information from PNC and INACIF. Additionally, UMG train the COMUPREs and

COCOPREs in community information analysis.


Within these communities, the UMG project will pilot crime and violence interventions based on risk-

factors identified in a participatory vulnerability analysis performed in each municipality. Activities will

focus on situational initiatives (e.g., improving municipal public service delivery) and social violence

prevention initiatives in each selected municipality. In FY2018, the project supported 11 community-

based participatory vulnerability analyses led by the municipality, with the participation of UPCV to gain

a differentiated understanding of where community members feel most vulnerable and why (including

soliciting perspectives of the COCODE, women, and youth). Based on this analysis, the project

developed SDIPs to support the development and improvement of municipal services that prevent

violence.

The analyses resulted in a similar pattern of areas of risk to crime and violence across the municipalities.

Communities identified a variety of risk factors, categorized into four risk areas: unsafe public spaces,

weak community security, youth at risk, and social violence (violence in social spaces including

households, schools, and partner relationships). The first risk area is focused on situational violence and

will be managed out of Component 2. The remaining risk factors will be managed out of Component 3.

3.2.2 ACTIVITY 2.1: DEVELOPMENT OF SERVICE DELIVERY IMPROVEMENT PLANS

Activity Approach

In addition to strengthening the capacity of 17 municipalities, the project works in one community per

municipality to build the capacity of municipal and community actors to work together to prevent crime

and violence by strategically improving service delivery. The project facilitates a process in which

municipal governments work with citizens to understand their vulnerability to crime and violence and

design, fund, implement, and sustain crime and violence prevention activities that increase community

resilience. The purpose of the methodology, from analysis to the implementation of the SDIPs, is to

build the capacity of municipal government and community leaders to design and implement crime and

violence prevention activities at the community-level that reduce the vulnerability of all community

members (men, women, girls, and boys) to crime and violence.

The UMG project designed a participatory community-based analysis of vulnerability to crime and

violence to engage municipal counterparts and community leaders effectively in crime and violence

prevention planning, implementation, and monitoring at the community level, as envisioned in the

National Strategy for Crime and Violence Prevention. The project worked closely with members of the

UPCV and municipal and community counterparts to adapt and apply a methodology compatible with

the UPCV’s approach and results in community-level crime and violence prevention plans which are also

service delivery improvement plans. In FY2018, the project completed 11 of the 17 SDIPs and will start

implementing violence prevention activities throughout the remaining years of the program. The three

communities in which the UMG project is not accompanied by another USAID program and has not

completed the vulnerability analysis are Los Pinos, Esquipulas, Chuatuj, Coatepeque, and the community

in Mixco is to be determined. The planning process in both municipalities will be completed early during

FY2019.

In communities and municipalities where the UMG project complements the work of Convivimos and

Community Roots (specifically Colomba, Jocotán, and Villa Nueva), it will use available community-based

vulnerability information to develop SDIPs to support the development and improvement of municipal

services that prevent violence.

Tasks

• Prepare and implement the community-level violence and crime vulnerability analysis in three

communities (Esquipulas, Coatepeque, and Mixco).


• Develop CVPPs through a participatory process in three communities (Esquipulas, Coatepeque, and

Mixco).

• Facilitate workshop with Convivimos and the Municipality of Villa Nueva to define crime and

violence prevention initiatives.

• Facilitate workshop in Colomba and Jocotán with Community Roots to define SDIP interventions.

• Validate of key findings with key stakeholder groups and identify potential interventions to reduce

risk.

• Respond to community initiatives based on findings in the Crime and Violence Prevention Plans

through the provision of technical assistance or goods that address prioritized risk factors.

3.2.3 ACTIVITY 2.2: IMPLEMENT AND MONITOR SMALL INFRASTRUCTURE PROJECTS

IDENTIFIED IN SDIPS

Activity Approach

As previously mentioned, Component 2 will focus on responding to the situational violence risk factors.

Various risk factors related to unsafe public spaces were described during the vulnerability mapping

analysis process in the communities. Safe public spaces refer to physical public environments (roads,

parks, schools, and markets, among others) where community members feel like they can congregate or

travel through safely. Key factors common in unsafe public spaces include:

• Insufficient public lighting that leaves spaces (particularly on the outskirts of the communities) prone

to crime, violence, and harboring perpetrators (e.g., thieves, youth gangs, users of drugs and alcohol,

and perpetrators of sexual assault, among others);

• Green areas and abandoned public buildings (particularly those on the outskirts of the communities)

that are over grown and provide hiding places for youth and potential perpetrators;

• Abandoned recreational areas (which are rarely used and without fences and gates) that provide

areas for youth to congregate in unconstructive ways (e.g., dealing and consuming drugs);

• Armed assaults take place in abandoned and dark areas, particularly at night;

• Illegal dumps and random drainage areas (lack of enforcement of sanitation and waste policies), often

on the outskirts of communities, that put the community at risk by exposing them to health risks

and providing additional areas for harboring individuals;

• Lack of policies related to solid waste disposal lead to the presence of illegal dumps;

• Lack of traffic safety measures (e.g., control of speeding and pedestrian crossing, among others); and

• Main roads that are used at night for illegal car racing.

UMG’s situation violence prevention strategy aims to change the physical and spatial environmental

conditions that generate violence, crime, and fear through improved urban planning, design, and

infrastructure. Improvement measures include better access to parks and green areas or improved solid

waste management and street lightening, among others. Clear and integrated town planning, from larger

areas down to site-specific considerations (implemented in Component 1), are elements of situational

violence and crime prevention. Planning tools include tailor-made urban and architectural design

standards based on the identification of crime and insecurity hotspots. They will form part of the

community consultation process.


The objective for the unsafe public spaces strategy is to recover public spaces resulting in citizens feeling

safe when congregating in and transiting through these areas. The UMG project recognizes the crucial

role that local municipal leaders play in this process. Recovering public spaces is a municipal mandate

and requires effective coordination across municipal actors. Successful efforts must include COCODEs,

COCOPREs, UPCV, families, school systems, police, and youth groups, working together to ensure

these spaces are once again safe for all citizens.

During FY2018, UMG advanced in investigating and designing interventions to help communities create

and maintain “safer spaces.” The Crime Prevention Through Environmental Design (CPTED)

methodology is being used to develop interventions. Three principles guide the CPTED participatory

approach: natural surveillance, control of natural access points to public spaces, and natural territorial

reinforcement. Enhancing visibility in public spaces enables neighbors to “keep an eye out” for one

another. Open space encourages legitimate users to interact and ensure their mutual safety.

Communities prioritized the projects listed in Table 3.4 below using the CPTED methodology.

TABLE 3.4: IDENTIFIED CPTED PROJECTS

Municipality Community Identified CPTED Project

Amatitlán Altos de la Cruz Create “safe space” for youth in front of school/church

Chimaltenango Socobal Children’s park with lighting

Chinautla colonia San José

Jocotales

Street improvement in dangerous area – 15 Ave.

Retalhuleu Cantón Tableros Bike path

Malacatán Santo Domingo

Belén

Community Center

Puerto Barrios Caserío El Manantial Improve dark areas by constructing a lighted soccer field

Villa Canales El Jocotillo Create “safe space” for youth in front of school/church

Palencia Cantón Rincón de la

Piedra

Recuperate park which is now used to sell drugs- by improving fencing

and lighting

Chiquimula Barrio El Zapotillo Paving and lighting of the perimeter street of El Zapotillo

Zacapa Fragua Recovery of the land adjacent to the sports courts, through

constructing a community park and lighting dark alleys

To finance the needs in the safe spaces, the project will support the municipality to be responsive by

using up to $500,000 to support strategic, small-scale infrastructure projects. Currently four

municipalities have offered co-financing for these projects. Special attention will be given to end user

participation and feedback in the implementation of these SDIP projects. The UMG project expects to

begin implementing small-scale infrastructure projects in all 17 municipalities during FY2019.

Tasks

• Continue the participatory identification and municipal validation of small scale CPTED projects.

• Contract services for the design of the projects.

• Submit an umbrella Environmental Mitigation and Management Plan (EMMP) for small infrastructure

projects to USAID for approval.

• Support small-scale infrastructure initiatives using the CPTED methodology.

• Once safe spaces are secure, the project will work with municipalities and community groups to

promote healthy activities within these safe spaces.


• Support the municipality in the development and implementation of a participatory program to

maintain and protect public areas, with community involvement.

• Provide technical assistance to develop a program to help maintain and protect public areas.

• Provide technical assistance to develop a practical guide for project management for COCODEs

coordination bodies.

• Propose options and solutions to address lack of property rights within municipalities.

3.3 COMPONENT 3: CITIZENS AND CIVIL SOCIETY ESPECIALLY IN THE MOST

AT-RISK COMMUNITIES ARE ACTIVELY INVOLVED IN MUNICIPAL

DECISION-MAKING AND ACCOUNTABILITY PROCESSES

3.3.1 COMPONENT APPROACH

Intermediate Results

• IR 3.1 Increased representation and effectiveness of development councils at community and municipal level.

• IR 3.2 Increased impact of citizen voice through coalition-building.

• IR 3.3 Increased civic engagement.

If Component 2 is about strengthening institutional capacity and effectiveness to deliver urban municipal

violence prevention public services which respond to citizen needs, especially the most vulnerable

citizens, then Component 3 is about strengthening human capacity and opportunity to advocate for and

benefit from violence prevention services. Component 3 is about ensuring that crime and violence

prevention services are accessible and effective in reducing the vulnerability of all citizens, including the

most vulnerable (women, youth, and indigenous). The UMG project’s crime and violence prevention

programming aims to establish and sustain secure and resilient cities and communities. The

characteristics of a secure and resilient community includes the following attributes:

• A place where citizens feel secure and can utilize available resources to respond to, withstand, and

recover from adverse situations.

• A community in which men, women, girls and boys, indigenous and non-indigenous, enjoy public

spaces and a public life without fear of being assaulted (in their homes or in the streets).

• A community where women, girls and indigenous peoples are not discriminated against and their

social, economic, political and cultural rights are respected.

• Institutions (public and private) protect the rights of all citizens including these vulnerable groups.

• Institutions and communities implement activities to prevent GBV (attend to victims of GBV and

prosecute perpetrators of GBV in all of its forms [physical, psychological and sexual]) and guarantee

access to justice for all of these social groups.

The UMG project will work with municipalities and other counterparts to improve the resilience of

citizens by promoting equitable access to rights and services among all social groups within the

communities where it works.

As mentioned previously, in FY2018, the UMG project completed 12 Community Vulnerability Analysis

and Service Delivery Improvement Plans in which risk factors were categorized into four categories:


public spaces, citizen security, high-risk youth, and social violence. Component 3 focuses on improving

the situation of the final three risk factors.

3.3.2 ACTIVITY 3.1: IMPLEMENT AND MONITOR ACTIVITIES THAT IMPROVE THE WEAK

COMMUNITY SECURITY SITUATION IDENTIFIED IN SDIPS

Activity Approach

The community Vulnerability Analysis describes several risk factors related to weak community security.

Community security refers to the ability of the community to create a lawful and peaceful environment.

In summary, the risk factors are:

• Easy access to the community from several vehicular entry points, without control.

• Poor condition of main roads prohibits the regular entry of public transportation, resulting in

citizens walking to their destination from the outskirts of town or at night.

• Presence of businesses selling alcohol (to youth) that also serve as places for unwanted gatherings of

youth, people under the influence of drugs or alcohol, and unknown individuals.

• Insufficient PNC presence or patrols in public spaces to prevent acts of crime and violence.

• Lack of relationship between long-term or more permanent residents and more recent migrants.

• In Chimaltenango, the Center for Detention Prevention presents a risk of gang members escaping

and putting the neighboring community at risk.7

• Community members are reluctant to report problems to officials.

• Legal uncertainty (e.g., land rights and liability) limits municipal investment in service delivery

improvements.

• Threat of gun violence.

Tasks

• Work with municipalities and UPCV to establish and enforce strict alcohol regulations, which

include restricted hours and fewer outlets (especially eliminating alcohol sales near schools) in the

communities supported by the project.8

7 Risks associated with the prison in Chimaltenango and other municipalities goes well beyond escapees. This particular risk factor

was highlighted in the Vulnerability Analysis developed by the community. As the community becomes involved in the

implementation of actions to address the issues mentioned in the SDIP, it will have a better understanding of the challenges

and scope of the risks it is facing (which go beyond escapees). UMG is taking the risk factors identified into consideration as it

works with the community, with the understanding that those identified by the community do not encompass the scope or

breadth of the real challenges.

8 The sale of alcohol by businesses is regulated at the national level. Within the national legal framework, municipalities may

establish additional regulations. Through support to the COCOPRE and the COMUPRE, the UMG project will be better

positioned to identify and analyze problems associated with the sale of alcohol near educational institutions and other areas

where youth congregate. Recently, UMG, along with the UPCV, facilitated a course for COMUPREs and COCOPREs with a

module dedicated to the alcohol issue. These courses will continue in coordination with the national institution, SECCATID.

UMG is reviewing the GIZ plan and will discuss it with the Vice-Ministry. If GIZ is interested in piloting new initiatives, UMG is

open to working with them in any of the 17 targeted municipalities.


• Help improve the image of police.

• Reproduce materials (police action protocols and/or protocols used by different police specialties

such as La División Especializada de Niñez y Adolescencia [DENA] and Oficina de Atención a la Victima

[OAV], gender equity, multiethnicity, others).

• Encourage community leaders to work with police to help build mutual trust, information-sharing,

and become more familiar with the police.9

• Work with communities to improve social cohesion between long-term or more permanent

residents and more recent migrants. See text box for information related to UMG’s strategy for

addressing this issue.

3.3.3 ACTIVITY 3.2: IMPLEMENT AND MONITOR YOUTH AT RISK (SECONDARY VIOLENCE

PREVENTION) ACTIVITIES IDENTIFIED IN SDIPS

Activity Approach

Youth at risk is a major area of concern in the communities where the UMG project works.10 A youth

at risk is a child or adolescent who faces extreme threats to a successful transition into adulthood.

Youth at risk tend to lack interest or opportunities to engage productively either via school or work.

Addressing risk factors is difficult and complicated and requires communities, teachers, parents and

businesses working together to ease the successful transition into adulthood. Community leaders; men,

women and youth, made valuable observations regarding the risk factors that affect their youth. In

summary, the risk factors are:

• Many primary school graduates find it difficult to access secondary education due to financial

constraints and/or the distance to the educational institution.

• Access to drugs and alcohol within the community is relatively easy.

9 Using FY2016 funding in which waiver with police is approved.

10 As the project works with its counterparts to identify at-risk youth, its focus is on young people between 13 and 24 years of age.

Statistics show that this is the age range where young people tend to become involved in criminal or violent activity (Source:

PNC 2015, 2016, until July 2017). However, young people under this age range may still participate in relevant project

activities if deemed appropriate and if other risk factors are present – and this will be evaluated on a case-by-case basis.

Establishing the age range allows for age appropriate training and didactic materials.

Strategy to Integrate New Arrivals

UMG´s strategy to integrate new arrivals into the community is through a community participatory process which also

includes women and youth. The strategy fosters active participation and helps participants become involved in the decision-

making process. The strategy emphasizes valuing people as individuals – whether a new resident or not - with the right and

ability to make decisions about their own quality of life. The approach fosters participation and coordination between new

community members and older residents – ensuring that they work hand in hand to improve the quality of life for all in the

community. In many communities where UMG works, new residents are often stigmatized and accused of provoking

conflict and violence. This tension between current and new residents is often perpetuated by individuals who feel excluded

from the decision-making process. This feeling of inadequacy – by-product of having no voice - often contributes to conflict

and violence. In contrast, participatory processes can be self-empowering for these marginalized groups that were

previously excluded from decision-making. Bringing these different community members into contact with one another and

working together to resolve common problems will become the mechanism by which negative perceptions and attitudes

are improved.


• Unemployed youth are vulnerable, and they lack employment opportunities.

• Youth, especially those unemployed or out of school, are more easily influenced by gangs. Some are

extorted by gangs to participate in illegal and violent activities (i.e., dealing drugs).

• Communities lack venues and opportunities (recreational, vocational, community service) for

engaging in positive social events; especially for unemployed youth.

• Many youth live in inadequate home environments (negative role models, domestic violence, hard

working parents absent most of the time, among others). Youth are often exposed to violence in

the household (child abuse, gender-based violence) which has a negative influence on their behavior

(negative role models).

• Community members are not skilled in how to identify risks and protect youth from them.

• Lack of programs for drug use prevention.

The UMG project will strengthen the ability of community members to support youth within the

community to become healthy and productive citizens. The project will support programs aimed at the

individual, relationship/family, and community levels.

Individual level: Programs will support life/social skills training, which is considered a core element

that cuts across most interventions of children violence and delinquency prevention. This will include

conflict management and resolution as a basic skill that gives the individual tools to address, resolve and

prevent conflicts in a peaceful manner. The project will combine life skill training with other

interventions such as school-based interventions, recreational activities, and vocational training, as it

gives the individual the fundamental tools to face other risk factors.

Relationship level: Strategies address risk factors arising from the child’s relationship with his/her

parents, family and peers. Parenting training is an intervention that tackles the risk factor of poor

parenting and of a weak bond between parents and their children. Again, life skills training cuts across

these practices since good parenting training should result in the transmission of these types of skills

from the parents to the child.

Community level: Interventions will focus on making communities more resilient to risk factors.

Interventions such as training leaders, organizing recreational activities aim at improving the social capital

within the community that could contribute to a more peaceful environment. The UMG project will

support situational violence prevention through improved service delivery and the CPTED methodology

as described previously.

The project’s focus on reaching at-risk youth considers lessons learned from other violence prevention

programs. The project will use overlaying data, analysis, network mapping, and other social science tools

together with law enforcement processes to identify the community’s worst offenders. Those who are

disproportionately responsible for gun violence. Then use community, individual and family incentives to

help reverse their criminal tendencies. To help identify high-risk youth, UMG and their partners will use

the following criteria:

• Young people and adolescents between 13 and 24 years of age:

• Involved in violent activities, or that are linked to or related to gangs and youth gangs, as long as

they are not subject to criminal proceedings or in compliance with a sanction or conviction.

• They do not study and do not work.

• They have or are suffering from gender-based violence.


• They reside in a high impact area due to urban violence, in urban areas with high population

density.

• Have reached a minimum of sixth grade of primary school.

• High risk family environment (single-parent families, overcrowding, broken families, migrant

parents, relatives with addiction, lack of basic services)

The implementation of these secondary violence prevention activities will be achieved both through the

Grants Under Contract mechanism and direct support to the new Interior Ministry’s Secondary

violence prevention strategy. The project identified CSOs able to implement secondary violence

prevention activities in the identified communities. The table below highlights potential CSOs that the

project is working with (or plans to work with).

TABLE 3.5: SECONDARY VIOLENCE PREVENTION PROJECTS

Civil Society

Organization

Secondary Violence

Prevention Strategy

Municipalities Approved by USAID

Fundación Sida i Societat School Based Prevention

Programs-CBT

Escuintla Yes

La Asociación Por Una Vida

Digna AVD- Jóvenes Contra la

Violencia

Violence Interrupters Villa Nueva Yes

Propaz School Based Prevention

Programs, including

parent and teacher

training

Retalhuleu, Coatepeque,

Malacatán,

Chimaltenango

Yes

CEIPA Vocational training

programs

Coatepeque, Malacatán11 Yes

Grupo Ceiba Vocational training

programs

Puerto Barrios,

Chiquimula

No

Centro de Investigación de

Salud Urbana (CISU)

School Based Prevention

Programs-CBT

Mixco No

Fundacion Paiz Vocational training

programs

Mixco No

Fundacion Crisalida

(Glasswing)

Prevention Programs for

high risk youth outside

schools -CBT

Villa Nueva No

The UMG project is considering using the following methodologies:

1. Violence Interrupters specialized in detecting and interrupting conflicts in the community (Cure

Violence approach, a U.S. NGO).

2. School based training and structured leisure time activities for at-risk youth that include the

psychosocial and life skills training.

3. Vocational training programs to help working age youth access employment opportunities.

4. Better parenting skills designed to improve the relations between parents and children.

5. Cognitive Behavior Therapy where therapeutic approaches based on counseling, skills building, and

multiple services are used to reduce further criminal behavior.

11 Could possibly work in Colomba


The UMG project will invite organizations that implement these activities to participate in the first

community-based crime and violence prevention “community of practice” event. Regularly scheduled

sessions with these organizations will help share lessons learned and best practices to enhance

interventions while in progress.

The project plans to support the Vice Ministry of Violence Prevention in piloting their Secondary

Violence Prevention programs (Liga Joven, Ruta Joven, and Vecindario Próspero) in supported communities.

Liga Jóven will be implemented in Puerto Barrios, Mixco, Colomba, Amatitlán, Villa Nueva, Chinautla,

Retalhuleu, Chimaltenango and potentially a community in Guatemala City. Programa Ruta Jóven which

includes structured leisure time activities, health activities, vocational training, culture, sports and art

classes will be implemented in Chimaltenango and Chinautla. The Vecindario Próspero will be implemented

in at least three municipalities which will be prioritized during FY2019.

Tasks

• Identify and sign grant agreements with CSOs capable of implementing secondary violence

prevention with youth at risk activities in the identified communities.

• Implementation of school-based prevention programs with structured leisure time activities that

focus on preventing children and youth from engaging in violent behavior and delinquency by

offering them structured activities (e.g. sports, arts) during their leisure time.

• Implementation of family-based prevention programs aimed at strengthening child-parent

relationships and interventions focused on reducing children's aggression and behavior problems.

• Implement vocational training and employment programs to facilitate the access to job opportunities

for eligible young people.

• Logistical support and targeted technical assistance for the launch of the MINGOB and UPCV

secondary violence prevention programs including the procurement of hats, shirts and other

materials.12

• Reproduce and disseminate MINGOB materials (infographics of the programs, Modelo Logico,

National Prevention Strategy (ENP) and municipal prevention policies) in UMG supported

municipalities and communities.

3.3.4 ACTIVITY 3.3: IMPLEMENT AND MONITOR ACTIVITIES THAT IMPROVE SOCIAL

VIOLENCE IDENTIFIED IN SDIPS

Activity Approach

Social violence is a risk area that was not identified and discussed as openly by the participants. For

example, participants mentioned that young people did not want to spend time in their homes because

their parents fight a lot. Gender-based violence is prevalent throughout Guatemalan society and people

are reluctant to talk about it. However, it is known that GBV is a factor that increases vulnerability of

12 Support to the MINGOB and UPCV to link their secondary activities to UMG communities is primarily logistics and materials.

However, UMG is currently supporting their youth program, Liga Joven in Puerto Barrios, and Tableros, Retalhuleu and others

will be identified later in the year (they are present in seven of UMGs municipalities). Liga Joven provides training in violence

prevention, drug prevention, and prevention of pregnancies in adolescents.

Additionally, UMG will provide technical assistance and training to help MINGOB identify high-risk youth, as currently their activities

are more related to primary prevention. During a recent study tour to Mexico, MINGOB and UPCV staff were encouraged by

the YTT tool being used by USAID programs there. UMG is also considering using this tool and will take advantage of an

upcoming training to invite authorities from the MINGOB to participate.


certain social groups (i.e., women and children) to crime and violence and tendencies toward violent

behavior among other social groups (i.e., young men). The communities that identified social violence as

a risk area mentioned child abuse, domestic and gender-based violence within the home and bullying in

schools. Specific risk factors were described as follows:

• Alcohol consumption, high levels of poverty, negative norms and behavior lead to domestic violence

(child abuse and gender-based violence) within some households.

• Pervasive domestic violence has a negative impact on the well-being of the entire community.

• Unhealthy family environments cause children to develop psycho-social problems leaving them

vulnerable to violence (as victims or perpetrators).

• Sexual assault by family members.

• Husbands provoked by jealousy and alcohol consumption are abusive to their wives.

• There are high levels of alcohol and drug consumption.

• Some schools do not control bullying among students or the bad behavior of teachers who abuse

students.

• There is a significant level of violence in some schools.

• Youth, affected by drugs and alcohol, tend to be violent (verbally abusive and use of weapons).

• Children are used to distribute and deliver drugs.

• Women suffer abuse in the workplace which has a negative impact on their relationships with loved

ones. Generally, they are afraid to report the abuse for fear of losing their job.

• Abusing children at home and in school has a negative impact on their behavior and makes them

more vulnerable.

• Lack of response or services to provide protection to women and children vulnerable to violence.

Grants Under Contract that have been identified to implement GBV activities in municipalities

supported by the UMG project. Initiatives are highlighted below:

TABLE 3.6: SELECTED CSOS TO WORK IN GBV

CSO Municipality Approved by USAID

Centro de Investigación,

Capacitación y Apoyo a la

Mujer (CICAM)

Coatepeque, Malacatán, Retalhuleu Chinautla, Zacapa Yes

Federación de Mujeres

Rurales de Guatemala

(FEDENMURG)

Chimaltenango No

UMG aims to implement social violence activities by promoting the following strategic lines of action:

• Develop and instill a culture of equality among citizens: influence the public agenda of local

government to address violence prevention and gender-based violence by influencing policies that

promote equal access to rights; including citizen security and justice. Incorporate the differential

opinions and actions that address the unique needs and circumstances of men and women, young

people, indigenous and non-indigenous.


• Improve women’s access to justice: strengthen services that provide attention to victims of violence,

including GBV, at the municipal and community levels; especially services that are sensitive and

responsive to achieving justice for victims while guaranteeing and respecting their dignity and rights

(i.e., psycho-social and legal counseling along with social support).

• Improve understanding of and commitment to achieving gender equity: promote the integration of

gender throughout organizations and programs that address crime and violence prevention.

• Promote new masculinities: strengthen processes for communicating, educating and promoting

citizen action that transforms negative traditional masculine behaviors to positive behaviors that

foster transformative relationships among men, between men and women, and among community

members.

Tasks

• Engage GBV specialists to oversee Social Violence Prevention Activities

• Identify and sign agreements with CSOs capable of implementing GBV activities in identified

communities.

• Together with CSOs, develop comprehensive assistance models, which include:

a. Tools for the early identification of violent situations and necessary response, with the purpose

of victim protection

b. Develop and/or strengthen capacities within families and schools to reduce the recurrence of

violent behavior, using family principles and values that allow the repair and restitution of rights

in cases of violence against women or domestic violence and reduce the social vulnerabilities;

c. Develop and instill a culture of equality among citizens: Influence the public agenda of local

government to address gender-based violence by influencing policies that promote equal access

to rights; including citizen security and justice. UMG will insure the additions of the different

opinions and actions that address the unique needs and circumstances of men and women,

youth, and the indigenous populations

d. Provide referrals for psycho-social and legal assistance for the emotional recovery of victims

identified in their homes and schools.

• Strengthen capacities of key actors to identify risks factors (victims, incident, where it takes place,

who causes it, its effects) creating digital maps and applying protection factors that increase the

safety perception and prevent violent situations in the family environment, schools, groups of

women and youth, and organized communities;

• Develop public informational and awareness campaigns to communicate, educate and promote

citizen action that transforms negative traditional masculine behaviors to positive behaviors that

foster transformative relationships among men, between men and women, and among community

members.

• Design and implement safe spaces for women and youth through:

‒ Promotion of the right for recreation for youth, women, and families through the recuperation

of public spaces

‒ Support the education of values and rights through cultural, sports, and artistic activities, that

transcend the formal education in the classrooms, contributing to the interests and motivations


of young women and men contributing to their personal growth on effective relationships,

healthy life styles and mental health

• Modify and/or update municipal or community policies for the comprehensive development of

women, through:

‒ Capacity building programs to strengthen their leaders and organization for the participation in

public spaces;

‒ Facilitate workshops with the Women Municipal Directorate and Municipal Youth Office to

modify and update municipal policies of comprehensive development for women and youth with

focus on violence prevention.

3.3.5 ACTIVITY 3.4: STRENGTHEN REPRESENTATION AND EFFECTIVENESS OF

DEVELOPMENT COUNCILS: COMUDES, COMUPRES, COCODES AND COCOPRES

COCODE Activity Approach

UMG will continue building off the advances from last fiscal year to improve the capacity of Councils to

ensure that municipalities are satisfying demand. Therefore, Council members must be skillful and

effective in representing and responding to their constituencies. The Development Councils are the

essential link between governments that provide and sustain services (supply) and those who benefit

from the services, the citizens (demand). Typically, the membership is a mix of official and citizen

leadership that represent the different constituent groups and officials who provide oversight and

expertise.

UMG’s strategy is to strengthen the capacity of the COCODEs in all the selected communities to play

this dual role by improving their ability to promote improved municipal performance and responsiveness

while effectively representing and engaging citizens to meet their needs. UMG will work through the

OMPC to build the capacity of each COCODE to ensure that local governments develop and implement

needs-based planning and budgeting and deliver services that are accessible and effective to all citizens.

The OMPC will then use lessons learned from UMG communities and implement successful strategies in

other COCODEs present in their jurisdiction.

COCOPRE Activity Approach

UMG will continue to work through the Violence Prevention Commissions at the community level to

improve their ability to implement the Violence prevention action plans. In the past, UPCV would create

COCOPREs for the preparation of the community violence prevention assessments and preparation of

the action plans. But once plans were developed and it was clear there was little to no funding to

implement the plans the COCOPREs would disappear. UMG will work closely with UPCV to ensure an

active of each COCOPRE in the implementation of the Community Violence Prevention Plan. This also

includes that the COCOPRE play an active role in advocating for future funding from the municipalities

and other institutions for their plans.

UMG´s will implement a comprehensive and practical strategy to support the COCOPREs. The work

with COCOPREs considers the crime and violence assessments facilitated by the UPCV, the

vulnerability analysis implemented by UMG with the community and the SDIPs (Community Violence

Prevention Plans). UMG already initiated a violence prevention training course with the existing

COCOPREs which began in July 2018 and ended in November 2018. The course equips participants

with the tools necessary for addressing social issues that lead to violence.

As part of the final evaluation process, all COCOPRE participants (from Santo Domingo Belén,

Malacatán, Tableros, Retalhuleu, Zapotillo, Chiquimula and San Agustín) must submit a violence


prevention action plan for one of the problems raised in the SDIP. This process starts the COCOPREs

involvement in administering the SDIPs. Once they grasp the issues and viable solutions, their activities

within the action plan will be expanded. UMG and UPCV representatives will accompany the process

and provide technical assistance and logistical support when needed. The initial action plans will be

presented during the course’s closing ceremony.

As a result of this process, the COCOPREs will take ownership of the SDIPs and UMG will identify gaps

to better direct technical assistance. Throughout the implementation of the action plan, the COCOPREs

will present projects to the COMPUREs – ensuring citizen needs are heard. COCOPRE members will

work with COCODEs to ensure the inclusion of women and youth and strengthen the role of these

groups in the identification of problems and definition of strategies taking their perspectives into

consideration. The UMG project will support the implementation of these action plans.

COCODE and COCOPRE Tasks

• Continue the assessment of the situation of the COCODEs, including ability to work with municipal

government and meet community needs, challenges, and representativeness

• Based on the assessment, identify a training/capacity building strategy that will improve Council

members’ skills and effectiveness in representing and responding to their constituencies.

• Contract consultant(s) to design and deliver training program for Development Councils that will

improve their skills and effectiveness in representing and responding to their constituencies.

• Provide technical assistance for the OMPC (Component 1) in the preparation of an operational

guide for COCODEs (documentation and registration of COCODEs).

• Support the inclusion of COCOPREs, in the development of COCODEs.

• Technical assistance for the legal interpretation for the laws and regulation of COCODEs.

• Completion of the COCODE Diploma Phase I (Using Manual prepared for USAID Nexus program)

for all the COCODEs in Esquipulas and Chiquimula and begin course in Puerto Barrios, Santo

Tomás de Castilla, Jocotán, and Coatepeque.

• Start second phase of the COCODEs course focused on strategic vision where representatives of

vulnerable groups will participate.

• Study tour to El Salvador and Guatemala City with COCODE leaders to visit and learn best

practices in citizen participation in violence prevention.

COMUDE Activity Approach

While Component 1 focuses on strengthening the capacity of municipal government, including Municipal

Councils, in how to best manage the accountability sessions (COMUDEs) through improved

presentations and ability to understand constituent needs, Component 3 focuses on improving the

capacity of Council to ensure that municipalities are satisfying demand. Component 3 aims to strengthen

the capacity of COMUDE to improve their ability to promote improved municipal performance and

responsiveness while effectively representing and engaging citizens to meet their needs. The project will

support the improvement of the COMUDEs by first understanding their present status, and then based

on this understanding, develop targeted capacity building and training. To complement this capacity

building effort, UMG will also work with citizens, represented by civil society organizations, to improve

their understanding of the role of the COMUDEs in municipal governance and how to more effectively

engage with them and hold them accountable.


COMUDE Tasks

• Continue with the COMUDE assessment through a consultancy in the remaining municipalities

• Verify the incorporation of women, youth and other underrepresented groups proposals in the

COMUDE and CODEDE presentations throughout the process.

• Ensure the incorporation of projects developed by COMUPREs, in COMUDE presentations.

• Ensure that COCODE in the UMG selected community is represented in the COMUDE and

CODEDE presentations

• Prepare training modules for members of COMUDE on:

‒ Organization and Operations focused on accreditation, representativeness, internal regulations,

commissions, work plan;

‒ Training (Legal Framework, Parliamentary Standards (agenda management, governance,

moderating meetings, application of regulations), Participatory Planning and Budgeting; and

‒ Accountability.

COMUPRE Activity Approach

In FY2018, the UMG project, in collaboration with Convivimos, UPCV, the Deutsche Gesellschaft für

Internationale Zusammenarbeit (GIZ), organized the First Meeting of the COMUPREs, within the

framework of the National Strategy for the Prevention of Violence and Crime. Based on the results of

this workshop, the project designed a strategy that will support the COMUPREs in the selected

municipalities which will support them in their planning, budgeting and monitoring and evaluation of the

local violence prevention strategies outlines in their respective policies. In an agreement with the Vice

Ministry, the project will support the COMUPREs in the implementation of activities prioritized in their

action plans.

The strategy to support the COMUPREs is the same as that of the COCOPREs – with the exception

that instead of using the SDIP to develop action plans, the approved Municipal Policy for Violence

Prevention will be used. To support this, UMG will reproduce copies of the policy to share with all

COMUPRE members. During FY2019, UMG will strengthen eight COMUPREs through training. By the

end of the course, participants must prioritize at least one problem area and present an action plan

which UMG may support.

UMG will also provide international short-term expertise, through Lucia Dammert, to support violence

prevention initiatives through the COMUPREs. UMG will train COMUPRE members in violence

prevention strategies, developing indicators, planning, project management, advocacy, establishing

strategic alliances, monitoring and evaluation. UMG will also promote meetings between the

COMUPREs and COCOPREs to ensure community projects are presented.

COMUPRE Tasks

• Prepare training workshop for COMUPRES members on planning, budgeting and monitoring and

evaluation of their violence prevention plans at the municipal level

• Design action plan with each supported COMUPRE to discuss which activities listed in their action

plan that UMG can support

• Design and facilitate an accredited training course and workshops in crime and violence prevention

for members of the COMUPREs, municipal authorities, and women’s and youth groups


• The project will support production and dissemination of government materials on violence

prevention strategies, policies and programs, so that key concepts and messages are spread as

widely as possible to all stakeholders.

• Accompany COMUPREs in their monthly meetings and provide support where needed.

• Support the intersectoral articulation and the construction of Prevention Strategies within the

CODEPRES (Departmental-level Violence Prevention Commissions) where UMG has intervention

at the municipal level.

• Provide international short-term technical assistance to train COMUPREs in violence prevention

strategies – which includes developing indicators, planning, project management, advocacy,

establishing strategic alliances, monitoring and evaluation.

• Support activities in the COMUPREs action plan.

• Continue facilitating National best practice workshops for COMUPREs.

3.3.7 ACTIVITY 3.5: BUILD ALLIANCES THAT PUSH FOR MUNICIPAL GOVERNMENT

TRANSPARENCY AND ACCOUNTABILITY

Activity Approach

During FY2019, the UMG project will emphasize social auditing and transparency activities. The project

will support youth organizations in getting prioritized violence prevention projects into the municipal

budgets. Social audits of the municipalities will enable youth groups to better monitor implementation of

municipal budgets, ensuring municipalities implement those violence prevention projects that are

budgeted. Community youth leaders, for example, will identify prioritized information requests within its

citizen base and will carry out public information requests evaluating its content and reporting back to

its constituents. The project will work with youth groups to identify community leaders, who are willing

to invest time and resources to lead advocacy efforts and mobilize citizen bases. It will work with youth

groups that have roots in these communities, who will identify leaders of urban neighborhoods who are

recognized by their own bases as change agents. Through these youth groups, the project will work with

them to provide them the skills, knowledge and tools to design and carryout civic advocacy through a

wide-range of citizen participation techniques. The projects learn-by-doing approach will engage citizens

to develop violence prevention advocacy agendas, present and negotiate community and sector-sourced

violence prevention project proposals with local government officials to be included in municipal

budgets. Citizens will learn how to access municipal government budgets and how to evaluate the extent

to which local government officials are executing their annual budgets and honoring commitments to

community-sourced projects and funding levels. Additionally, through our initial assessment of regional

community-based organizations and CSOs, it is evident that their use of Information Communication

Technology (ICT) in our target municipalities are uneducated in how to utilize ICT (including computer

training). UMG will also ensure these skills are improved over the next year. UMG will train equip youth

groups with the technological tools to perform social auditing at the municipal level.

Tasks

• Document successful municipal youth social audit experiences

• Train youth including university students from UMG municipalities to promote their effective

participation and contribution to strengthen democracy, transparency and governance.

• Promote the creation of inter-municipal youth networks of SISCODE.


• Support the formal registration of youth organizations in the COMUDEs.

• Support the creation of Integrated interuniversity and multidisciplinary platforms for social audit.

• Promote the creation of ICT tools to support youth in social audits.

• Promote the articulation of youth networks through transparency and social auditing.

• Support “International Day Against Corruption” on December 9, 2018.

3.4 CROSS-CUTTING ACTIVITIES

3.4.1 ADMINISTRATION AND FINANCE

Activity Approach

In the last year, UMG consolidated its presence in both western and eastern region by opening and

staffing regional offices in Chiquimula and Coatepeque and a physical presence in Puerto Barrios. In Year

3, with full staff and adequately equipped, the administration unit will be in the position to provide

support to implement activities in all seventeen project municipalities.

Human Resources will ensure all policies and manuals are in place and implement training for staff in

finance and administrative procedures, and security policies.

Tasks

• Hire pending staff – One technical specialist for the main office, two drivers for the regional offices,

and one Component 2 Specialist for the Chiquimula regional office.

• Manage service contracts and annual staff reviews.

• Continual staff training (security, finance, and administration).

3.4.2 GRANTS UNDER CONTRACTS

Activity Approach

The Project’s Grants under Contract (GUC) is structured to support the project objectives, leverage

funding from other non-United States Government (USG) resources and build the capacity of local

partners. The grants program will be used to achieve a number of goals of the UMG project.

Under Result 1, grants are anticipated to be used conduct public outreach regarding municipal budget

development, including transparency, open source PFM systems, and inputs to budget design; under Result

2 to implement and monitor Community Improvement Plans; and under Result 3 to implement UMG’s

primary and secondary violence prevention strategy and to increase the representation of vulnerable

groups in Civil Society Organizations and Community-Based Organizations, and to implement social

accountability tools in high-risk communities. Grants may also be used to meet other project objectives as

needs and identified during project implementation.

During Year 2, the grants program supported activities responding to the needs assessed through the

FOCAS methodology and crime and violence prevention programs identified in the Community

Violence Prevention Plans. As a result of these assessments, two grants were awarded approaching

activities under Result 1 and two grants approaching activities under Result 3. Additionally, four grants

approaching activities under Result 3 have been approved by USAID’s TOCOR, to perform activities


during periods ranging from 15 to 24 months. During FY 3, UMG expects to have at least 20 fully

operational sub-grantees operating in all 17 target municipalities.

Assessments performed during Year 1 and Year 2 also served to address the municipalities’

strengthening needs through the award of four in-kind grants to the Municipalities. During Year 3,

Grants will continue to be awarded to support activities for a single component, or the combination of

two or three components, as well as to support one or the combination of two or more municipalities

based on the technical purpose of the grants and similarities within the municipalities.

Grants awarded and approved during Year 2 will implement activities and will be managed and

monitored by the Project during Years 3 and 4. UMG expects to award at least eight more grants during

the first quarter of Year 3 based on the last round of proposals processed through the Annual Program

Statement. UMG also plans to issue specific Requests for Applications and to award additional in-kind

grants to address specific areas of needs assessed through the different activities and products issued

during Year 2. UMG’s Grants are awarded in support of activities to achieve the Project’s goal to reduce

levels of violence in municipalities most at risk of violent crime.

Tasks

• Evaluate applications from the organizations who submitted Concept Papers in response to the

Project’s Annual Program Statement (APS) issued during Year 1 and 2 to continue the award of

grants.

• Assessment, evaluation and award of in-kind grants to the municipalities responding to their specific

needs for technical assistance, training or equipment.

• Manage Grants awarded during Years 2 and 3. This entails monitoring of technical activities,

reporting, compliance verification and milestones achievement, and also financial monitoring and

reports review in close coordination with the grantees.

• Provide institutional strengthening to the grantees through specific training activities and

accompaniment as needed during performance of activities.

3.4.3 MONITORING, EVALUATION, AND LEARNING

Activity Approach

In Year 3, the approach of the Monitoring, Evaluation and Learning team is to consolidate monitoring,

learning and communications structures and platforms; continue a rigorous learning process through

which studies and best practices will be documented, analyzed and replicated; and build visibility and

recognition for the project and its results. The first activity will be to manage the project’s monitoring

and information system (MIS), which will include training for partners and validation and reporting of

results regularly. The second major activity will be to carry out a project’s midline study.

MEL’s technical assistance will be given to grantees so that grant projects capture and report progress

according to the M&E Plan. Communications and reporting activities include management a social media

strategy, materials friendly to target audiences and spaces and processes for strengthening

communications within municipal authorities.

Tasks

• Co-generation of knowledge based on practice, including management of MIS, midline study, and

violence prevention related studies.


• Analysis of models and adaptation, such as FOCAS and vulnerability analysis, through documentation

of experience, internal learning and sharing of analysis.

• Strategy to share learning through documentation of best practice, external panels and forums,

through the project electronic media platform and public campaigns, among others.

• Support to develop monitoring and communications plans for grants, and document progress of

grants.

• Communications activities to document program activities, report out to stakeholders, publish

results among key audiences and strengthen communications practitioners in target areas.


4.0 IMPLEMENTATION PLAN MATRIX

Table 4.1 (next page) provides a timeline of the activities described in this Work Plan.

TABLE 4.1: IMPLEMENTATION PLAN MATRIX FOR FISCAL YEAR 2019

UMG Y3 Work Plan

Responsible

Oct Nov Dec Jan Feb Mar

Apr

May

Jun

Jul

Aug

Sep

Result 1 - Strong public budgeting and municipal service delivery processes in place

IR 1.1 Improved management, administration, and coordination among key public institutions

IR 1.2 Strengthened accountability, responsiveness, and transparency in key public institutions

1.1.0 Present Political Economic

Assessment to remaining municipalities

1.1.1 ASIES presents PEAs to final seven municipalities

C. Granados

1.1.2 Finalize contract with ASIES

C. Granados

1.2.0 Improve the coordination of key public institutions

1.2.1 Sign the MOUs with key public

institutions (INFOM, SEGEPLAN, ANAM

and Finance

Ministry)

C. Granados

1.2.2 Reproduction of the Integrated Municipal

Financial Administration Manual -MAFIM-

version IV and socialization with the 17 municipalities

C. Granados

1.3.0 Implementation of Municipal Planning activities

identified in the PFMs

1.3.1 Consultancy of PEI-

POM-POA for Zacapa, Esquipulas, Jocotán, Chiquimula

and Puerto Barrios

C. Granados

1.3.2 Monitor UNI sub-grant for it Diploma

Course in municipal planning

C. Granados

1.3.3 Contract Technical Assistance in Municipal Administration to

oversee the implementation of PEI-POM-POA in 10

municipalities that

are trained by InterNaciones.

C. Granados

1.4.0 Implementation of Improved Cadaster and


UMG Y3 Work Plan

Responsible


Apr

May

Jun

Jul

Aug

Sep

Land Registry activities identified in the

PFMs

1.4.1 Procure LIDAR images for the

municipalities of Villanueva, Mixco, Villa Canales and

Amatitlan

W. Giron

1.4.2 Provide Technical Assistance in the use

of images to improve cadaster units within

the four

municipalities

W. Giron

1.4.3 UMG will provide training in the use of

the Quantum GIS tool for Geographic Information Systems

to the four target municipalities in the south west region of

the country

W. Giron

1.4.4 Support the Zacapa, Chiquimula, Jocotan,

Esquipulas and Puerto Barrios

municipalities in

implementing their Cadaster and Land Management

projects which includes SIG training, imaging procurement,

cadaster surveys, technology infrastructure and

technical expertise

W. Giron

1.4.5 Sign and Implement

Grant Agreement with FUNDAECO for the

implementation of

Cadaster and POT in the municipalities of Escuintla and

Chimaltenango.

W. Giron

1.4.6 Map out activities with Cementos

Progreso and Chinautla Municipality to assist

in the preparation of their POT

W. Giron

1.4.7 Consultants to support Escuintla, Villa Canales, and Chimaltenango in

the preparation of their Municipal Development Plans.

1.5.0 Implementation of Revenue


UMG Y3 Work Plan

Responsible


Apr

May

Jun

Jul

Aug

Sep

Generation activities identified in the

PFMs

1.5.1 Hire Consultants for analysis of four

public services in Zacapa, Esquipulas, Jocotán, Chiquimula

and Puerto Barrios

C. Granados

1.5.2 Coordinate with INFOM, SEGEPLAN,

MOF and ANAM to deliver training

workshops to new

municipal authorities after election

1.6.0 Identification and

Implementation of Public Private Partnerships

through the Project Preparation

Facility

1.6.1 Redefine relationship with PPF and

INFOM and SEGEPLAN and

create working

document mapping responsibilities

F. Castanaza

1.6.2 Structuring of

financing for the project identified in Puerto Barrios.

(Bikeway)

F. Castanaza

1.6.3 Feasibility Study for the project for the

project identified in Escuintla, Chimaltenango,

Esquipulas, and Zacapa.

F. Castanaza

1.6.4 Meeting (discussion)

between mayors, authorities of the electricity sector and

representatives of distributors and investors, topic to

be discussed: analysis of the perspectives of public lighting in

the municipal sector.

F. Castanaza

1.6.5 Approach potential allies: foundations,

other projects, other donors, NGOs, INVEST in

Guatemala,

FUNCAGUA, PRONACOM,

ANADIE, CENTRARSE, etc.

F. Castanaza


UMG Y3 Work Plan

Responsible


Apr

May

Jun

Jul

Aug

Sep

1.6.6 Meet with Private

banks to best determine their interest and

mechanisms for financing Municipal Infrastructure projects

F. Castanaza

1.7.0 Implementation of Financial and

Administrative Management activities

identified in the

PFMs

1.7.1 Provide technical

assistance and training to improve financial management

of all the 17 municipality’s Committee on Programming and

Budget Execution (COPEP)

C. Granados

1.7.2 Provide technical assistance for the municipalities of

Amatitlán, Villa Canales, Palencia,

Chimaltenango and Escuintla to help

streamline their management processes through

IT programs

W. Giron

1.7.3 Monitor the National

Comptroller (CGC) training course focused on Municipal

Procurement best practices. This course will be

directed at 27 Municipalities in

Eastern Guatemala

including the 5 UMG municipalities.

C. Granados

1.7.4 Implement a similar

course by the CGC in the South-western municipalities

C. Granados

1.7.5 Provide Technical Assistance to the National

Comptroller (CGC) to develop the new version of the SAG-

UDAI system which will improve municipal

transparency. This intervention will benefit the 340

municipalities of Guatemala

W. Giron


UMG Y3 Work Plan

Responsible


Apr

May

Jun

Jul

Aug

Sep

1.7.6 Technical assistance

to define the administrative process on the

registration of taxpayers in Jocotan and Colomba

C. Granados

1.7.7 Conduct short-term consultancy to update

administrative manuals in Amatitlan.

C. Granados

1.8.0 Implementation

of Citizen Outreach

activities identified in the PFMs

1.8.1 Support the automation of the collection of

municipal public services in at least 2 municipalities

C. Granados

1.8.2 Provide technical assistance for compliance with the

Law on Access to Public Information at

the municipal level

L. Sequeira

1.8.3 Provide technical assistance to municipal staff and

municipal and community leaders (COMUDEs and

COCODEs) to define and implement a strategy

to improve citizen engagement in development

planning and budgeting

C. Granados

1.8.4 Through the support

of SEPREM, elaborate and implement a

Municipal Women’s Policy in each municipality

S. Vasquez

1.8.5 Technical assistance and logistical support to develop capacity

in planning, budgeting, monitoring of

Municipal Women´s Office (DMMs) Municipal Youth Office (OMNAJ) and

Citizen Participation Office (OMPC) activities so that

they can properly prepare assessments,

S. Vasquez


UMG Y3 Work Plan

Responsible


Apr

May

Jun

Jul

Aug

Sep

participatory violence prevention action plans

1.8.6 Link technical assistance from the National Offices of

the SEPREM, SCEP and CONJUVE to the DMM, OMNAJ

and OMPC

S. Vasquez

1.8.7 Support the DMM, OMNAJ and OMPC

in assessing the situation of women

and youth in the

municipalities

S. Vasquez

1.8.8 Provide technical assistance to help

prepare DMM, OMPC and OMNAJ operations manuals

S. Vasquez

1.8.9 Sign sub-grant agreement to improve Webpage

development in municipalities that fall below the

standard

L. Sequeira

1.9.0 Strengthening of

technical

capacities of the municipal offices for the

implementation of local crime and violence

prevention strategies


assistance for the design and implementation of

CONAPRE

S. Vasquez

1.9.2 Contract services of national or

international consultants to design and implementation

a training course on Citizen Security for officials of the

national government and local government

S. Vasquez

1.9.3 Study tours to Los Angeles- one in October in which

only 5-6 mayors and/or CSO representatives will

attend and the other

to attend the Gang Conference in May

or June of 2019

S. Vasquez

1.9.4 Invite mayors and municipal staff

S. Vasquez


UMG Y3 Work Plan

Responsible


Apr

May

Jun

Jul

Aug

Sep

members to violence prevention workshop, forums,

trainings so that they better understand other international/national

best practices

1.9.5 Present UMG

support to municipalities on project support to

violence prevention activities within

Action plans of each municipal policy

S. Vasquez

1.9.6 Training and technical assistance

will also be provided to the DMM, OMPC and OMNAJ on their role in violence

prevention

S. Vasquez

1.9.7 Together with

Community Roots, support VMP to develop their

Communication Strategy to position the topic of Violence

Prevention at the

National level with an emphasis within the prioritized 30

municipalities

S. Vasquez

Result 2: High-crime, urban marginalized communities are improved through citizen-driven improvements in living conditions and municipal services

IR 2.1: Vulnerability of at-risk youth to crime decreased

IR 2.2: Vulnerability of at-risk populations reduced

IR 2.3 Civic responsibility increased

2.1.0 Development of Service Delivery Improvement

Plans (SDIPs)

2.1.1 Prepare and implement the

community-level violence and crime vulnerability analysis

in three communities (Esquipulas,

Coatepeque and Mixco)

M. Gaitan

2.1.2 Develop Community

Violence and Crime Prevention Plans in participatory process

in three communities

(Esquipulas,

Coatepeque and Mixco)

M. Gaitan

2.1.3 Facilitate workshop

with Convivimos and

M. Gaitan


UMG Y3 Work Plan

Responsible


Apr

May

Jun

Jul

Aug

Sep

Municipality of Villa Nueva to define crime and violence

interventions

2.1.4 Facilitate workshop in Colomba and

Jocotan with Community Roots to define SDIP

interventions

M. Gaitan

2.1.5 Seek validation of key findings from

key stakeholder groups; and identify

potential

interventions to reduce risk

M. Gaitan


assistance or goods to support Crime and Violence

Prevention Plans for relevant communities.

M. Gaitan

2.2.0 Implement and monitor small infrastructure

projects identified in SDPIs

2.2.1 Continue the

participatory identification and municipal validation

of small scale projects

M. Gaitan

2.2.2 Contract services for the design of the projects

M. Gaitan

2.2.3 Submit Umbrella EMMP for small infrastructure

project to USAID for approval

M. Gaitan

2.2.4 Construct small

scale infrastructure

through the Crime Prevention through

Environmental Design (CPTED) methodology. The

CPTED approach focuses on environmental design, guided by

three principles of: natural surveillance; control of natural

access points to public spaces; and natural territorial

reinforcement

M. Gaitan

2.2.5 Once safe spaces are secure, work with

municipalities and community’s groups in promoting

M. Gaitan


UMG Y3 Work Plan

Responsible


Apr

May

Jun

Jul

Aug

Sep

community identified

activities within these safe spaces

2.2.6 Advise the

municipality in the formulation and implementation of a

participatory program of maintenance and

protection of public areas, involving the community

M. Gaitan

2.2.7 Preparation of TDR

for consulting to formulate a program

for maintaining and protecting public areas

M. Gaitan

2.2.8 Preparation of TDR to hire consultant to develop a practical

guide for project management directed to

COCODES coordination bodies

M. Gaitan

2.2.9 Prepare and

disseminate a practical guide to

strengthen

COCODES coordination bodies for the management

of community projects under the SDIP

M. Gaitan

2.2.10 Analyze the legalizations of land plots in certain

communities where migrants are living without title to

present possible solutions to municipalities

M. Gaitan

Result 3: Citizens and civil society especially in the most at-risk communities are actively involved in municipal decision-making and accountability processes.

IR 3.1: Increased representation and effectiveness of development councils at community and municipal level

IR 3.2 Increased impact of citizen voice through coalition-building

IR 3.3 Increased civic engagement

3.1.0 Implement and monitor activities that improve the

weak community security situation identified in

SDIPs

3.1.1 Work with municipalities and

UPCV to establish

strict alcohol regulation, which

included among other measures restricted hours and

S. Vasquez


UMG Y3 Work Plan

Responsible


Apr

May

Jun

Jul

Aug

Sep

fewer outlets

(especially eliminating alcohol sales near schools)

in the UMG communities

3.1.2 Support on

strengthening the institutional image of the PNC. These

activities will be carried out in schools in all 17

municipalities where

UMG has a presence

S. Vasquez

3.1.3 Reproduce materials

(police action protocols and/or protocols used by

different police specialties such as La División Especializada de

Niñez y adolescencia (DENA) and Oficina de Atención a la

Victima (OAV), gender equity, multiethnicity, etc.)

S. Vasquez

3.1.4 Support the different

programs available to the Sub-

directorate of prevention such as: Patrullas escolares,

niño comisario, niño jefe de distrito which are directed at

improving the institutional image of the police

S. Vasquez

3.1.5 Encourage community leaders to work with police

to help build mutual trust, information-

sharing, and become

more familiar with the police

S. Vasquez

3.1.6 Work with

communities to improve social cohesion between

long-term or more permanent residents and more recent

migrants

S. Vasquez

3.2.0 Implement and monitor youth at

risk (Secondary Violence Prevention)

activities identified in SDIPs

3.2.1 Identify and sign agreements with civil

S. Vasquez


UMG Y3 Work Plan

Responsible


Apr

May

Jun

Jul

Aug

Sep

society organizations

(CSOs) that can implement secondary violence

prevention with youth at risk activities in the identified

communities

3.2.2 Implementation of

School Based Prevention Programs with Structured

Leisure Time

Activities that focus on preventing children and youth

from engaging in violent behavior and delinquency by

offering them structured activities (sports, arts, etc.)

during their leisure time. These activities are designed not

only as a recreational tool to divert them from risky behavior, but

also to transmit and develop in them life and social skills,

which will work as protective factors against their

involvement in such behavior

S. Vasquez

3.2.3 Implementation of

Family Based Prevention Programs that are aimed at

strengthening child-parent relationships and attachment

interventions

focused on reducing children's aggression

and behavior problems (reducing child aggression and behavior problems)

S. Vasquez

3.2.4 Implement Vocational Training

and Employment Programs which considers all kind of

employment training implemented to facilitate the access to a job for young

people and to

reduce unemployment.

These programs will also reinforce life and social skills as

S. Vasquez


UMG Y3 Work Plan

Responsible


Apr

May

Jun

Jul

Aug

Sep

well as cognitive

knowledge, the goal of vocational training is to help the

youngster to gain the abilities required by the labor market

3.2.5 Logistical support for the launch of the Mingob and UPCV

secondary violence prevention programs including the

procurement of

caps, shirts and other materials

S. Vasquez

3.2.6 Logistical support within UMG communities for

implementation of the Mingob and UPCV secondary violence prevention

programs

S. Vasquez

3.2.7 Reproduce and

disseminate MINGOB materials (infographics of the

programs, Modelo Logico, National

Prevention Strategy (ENP) and municipal

prevention policies) in UMG municipalities and

communities

S. Vasquez

3.3.0 Implement and monitor activities

that improve social violence identified in

SDIPs

3.3.1 Hire GBV specialist

to oversee Social Violence Prevention Activities

S. Vasquez

3.3.2 Identify and sign agreements with civil society organizations

(CSOs) that can implement GBV activities in the identified

communities

S. Vasquez

3.3.3 Together with

CSOs, develop comprehensive assistance models

S. Vasquez

3.3.4 Strengthen capacities of key actors to identify risks factors

(victims, incident, where it takes place, who causes it, its

effects) creating digital maps and applying protection

S. Vasquez


UMG Y3 Work Plan

Responsible


Apr

May

Jun

Jul

Aug

Sep

factors that increase

the safety perception and prevent violent situations in the

family environment, schools, groups of women and youth, and organized

communities

3.3.5 Develop public

informational and awareness campaigns to communicate,

educate and

promote citizen action that transforms negative

traditional masculine behaviors to positive behaviors that foster

transformative relationships among men, between men

and women, and among community members

S. Vasquez

3.3.6 Design and implement safe spaces for women

and youth

S. Vasquez

3.3.7 Modify and/or update municipal or

community policies for the comprehensive

development of women

S. Vasquez

3.4.0 Strengthen

presentation and effectiveness of Development

Councils: COMUDES, COMUPRES,

COCOES and COCOPRES

3.4.1 Continue the

assessment of the situation of the COCODES,

including ability to work with municipal government and

meet community needs, challenges, and

representativeness

S. Vasquez

3.4.2 Based on the assessment, identify

a training/capacity building strategy that will improve Council

members’ skills and effectiveness in representing and

responding to their constituencies

S. Vasquez


UMG Y3 Work Plan

Responsible


Apr

May

Jun

Jul

Aug

Sep

3.4.3 Contract

consultant(s) to design and deliver training program for

Development Councils that will improve their skills and effectiveness in

representing and responding to their constituencies

S. Vasquez

3.4.4 Provide Technical assistance for the

OMPC (Component

1) in the preparation of Operational Guide for

COCODEs (documentation and registration of

COCODES)

S. Vasquez

3.4.5 Support the inclusion of

COCOPRES, in the development of COCODES

S. Vasquez

3.4.6 Technical assistance for the legal

interpretation for the laws and

regulation of COCODEs

S. Vasquez

3.4.7 Completion of the COCODE Diploma

Phase I (Using Manual prepared for USAID Nexus program) for all the

COCODEs in Esquipulas and Chiquimula

S. Vasquez

3.4.8 Start additional Diploma Course

Phase 1 for Puerto Barrios and Santo Tomás de Castilla.

Jocotán and

Coatepeque

S. Vasquez

3.4.9 Start Phase 11 of the

COCODES Diploma course focused on strategic vision where

representatives of vulnerable groups will be invited

S. Vasquez

3.4.10 Study tour to El Salvador and

Guatemala City with COCODE leaders to visit best practices in Citizen

Participation in Violence Prevention

S. Vasquez

3.4.11 Prepare assessment of the role of women in the

S. Vasquez


UMG Y3 Work Plan

Responsible


Apr

May

Jun

Jul

Aug

Sep

elaboration of the

municipal policy for women

3.4.12 Ensure the National

Policy for the Promotion and Integral

Development of Women (PNPDIM) and the PEO (Equal

Opportunity Plan) are considered in the strategy

S. Vasquez

3.4.13 Continue with the

COMUDE assessment through

a consultancy in the remaining municipalities

S. Vasquez

3.4.14 Verify the incorporation of women, youth and

other underrepresented groups proposals in

the COMUDE and CODEDE presentations

throughout the process.

S. Vasquez

3.4.15 Ensure the

incorporation of projects developed by COMUPRES, in

COMUDE presentations

S. Vasquez

3.4.16 Ensure that

COCODE in the UMG selected community is

represented in the COMUDE and COCODE

presentations

S. Vasquez

3.4.17 Prepare training modules for

members of COMUDE on: Organization and

Operations, Training, Participatory Planning and

Budgeting, and Accountability

S. Vasquez

3.4.18 Prepare training workshop for COMUPRES

members on planning, budgeting and monitoring and evaluation of their

violence prevention plans at the municipal level

S. Vasquez

3.4.19 Design action plan with each supported

S. Vasquez


UMG Y3 Work Plan

Responsible


Apr

May

Jun

Jul

Aug

Sep

COMUPRE to

discuss which activities listed in their action plan that

UMG can support

3.4.20 Design and facilitate a Diploma training

course and workshops in Crime and Violence

Prevention for members of the COMUPREs,

municipal

authorities, and women’s and youth groups

S. Vasquez

3.4.21 UMG will support production and

dissemination of government materials on violence prevention

strategies, policies and programs, so that key concepts

and messages are spread as widely as possible to all

stakeholders

S. Vasquez

3.4.22 Accompany COMUPREs in their

monthly meetings and provide support where needed

S. Vasquez

3.4.23 Support the intersectoral articulation and the

construction of Prevention Strategies within the

CODEPRES (Departmental level) where UMG has

intervention at the municipal level

S. Vasquez

3.4.24 Continue facilitating

National best practice workshops for COMUPREs

S. Vasquez

3.5.0 Build alliances that push for municipal

government transparency and accountability

3.5.1 Document successful municipal youth

social audit experiences

L. Sequeira

3.5.2 Train youth including

university students from UMG municipalities to

promote their effective participation and

L. Sequeira


UMG Y3 Work Plan

Responsible


Apr

May

Jun

Jul

Aug

Sep

contribution to

strengthen democracy, transparency and

governance

3.5.3 Promote the creation of inter-

municipal youth networks of SISCODE

L. Sequeira

3.5.4 Support the creation of Integrated interuniversity and

multidisciplinary

platforms for social audit

L. Sequeira

3.5.5 Promote the creation of ICT tools to support youth in

social audits

L. Sequeira

3.5.6 Promote the articulation of youth

networks through transparency and social auditing

L. Sequeira

3.5.7 Support "International Day

Against Corruption December 9

L. Sequeira

Cross-Cutting Activities

0.1 Administration and Finance

0.1.0 Vehicles S. Garcia

0.1.2 Rent/ lease vehicles S. Garcia

0.2.0 Personnel P. Izaguirre

0.2.1 Contract pending

staff

- One (1)

Infrastructure and

Environment Specialist

- One (1) Regional

Component 2

Specialist

- Two (2) Regional

Drivers

P. Izaguirre

0.2.2 Management and

Implementation of

operations manual

R. Diaz

0.2.3 Manage annual

evaluations of staff

P. Izaguirre

0.2.4 Services and lease

contracts renewal

P. Izaguirre

0.2.5 Implementation

of Security Plan

(training of

drivers,

receptionist;

A. Lopez


UMG Y3 Work Plan

Responsible


Apr

May

Jun

Jul

Aug

Sep

emergency

drills)

0.2 Grants and Contracts

0.2.1 Evaluate applications from the

organizations who submitted Concept Papers in response

to the Project’s APS issued during FY1 to award the first

round of grants

L. Rodas

0.2.2 Assessment, evaluation and award

of in-kind grants to the Municipalities responding to their

specific needs for technical assistance, training or

equipment

L. Rodas

0.2.3 Manage Grants awarded during

Years 2 and 3. This entails monitoring of technical activities,

reporting, compliance

verification and

milestones achievement, and also financial monitoring and

reports review in close coordination with the grantees.

L. Rodas

0.2.4 Provide institutional strengthening to the grantees through

specific training activities and accompaniment as

needed during performance of

activities.

L. Rodas

0.3 Monitoring, Evaluation and Learning

0.3.0 Establish the

project Management Information

System (MIS)

Management of the MIS

F. Armenta

MIS trainings for grantee

F. Armenta

Data analysis from the MIS reports including gender and

violence prevention focus

F. Armenta

0.3.1 Oversee

implementation of baseline data collection


UMG Y3 Work Plan

Responsible


Apr

May

Jun

Jul

Aug

Sep

Terms of Reference

and hiring of the institution to implement midline

F. Armenta

Collect data F. Armenta

Analyze data F. Armenta

Final report F. Armenta

0.3.2 Monitoring and support to grantees

Technical assistance to develop,

implement and follow-up M&E Plans, Trainings Plan and Communications

Plan for each grantee

F. Armenta

Monthly monitoring

meetings with grantees

F. Armenta

Spot checks and

documentation (activities and indicators) to the

grantees

F. Armenta

Design, collect and management of

surveys

F. Armenta

Data analysis and

dashboard development

F. Armenta

Regional workshops

to build capacities to document activities

F. Armenta

0.3.3 Knowledge

management

Sharing the main findings of the

Project’s activities through forums, panels and public

events

F. Armenta

Hire a consultant to

systematize

FOCAS's process and outcomes

F. Armenta

Hire a consultant to systematize the vulnerability analysis

process and outcomes

F. Armenta


design and develop a tool to identify at-risk youth basing on

the national context

F. Armenta

Violence prevention and education study

F. Armenta

Violence cost study F. Armenta

Exploration of alternative

prevention models in Guatemala (focused on the municipalities

F. Armenta


UMG Y3 Work Plan

Responsible


Apr

May

Jun

Jul

Aug

Sep

with the lowest

rates of violence)

0.4 Communications and Reporting

0.4.1 Regional workshops aimed to grantees and stakeholders on the project's

communications strategy

F. Armenta

Prepare and submit project contractual communications

deliverables to USAID. Launch and

manage the project's social media

platforms.

F. Armenta

Designing and

implementing two municipal/community media campaigns

F. Armenta

Design and develop a project communications kit

to be delivered among key stakeholders

F. Armenta

Hire a graphic designer to design

and produce project

institutional materials

F. Armenta


provide technical assistance for municipal

communications strengthening

F. Armenta

Production and

purchase of communication materials for key

activities and public events including media

F. Armenta

Workshop aimed to build a network or community of

practice among the Municipal Social Communications

units

F. Armenta


5.0 FISCAL YEAR 2019 BUDGET ESTIMATE

TABLE 5.1: UMG FY2019 REVISED WORK PLAN BUDGET

(DISAGGREGATED BY MAJOR BUDGET CATEGORIES)


TABLE 5.2: UMG FY2019 REVISED WORK PLAN BUDGET

(DISAGGREGATED BY MONTH AND BY PROJECT COMPONENT)

Table 5.2 is disaggregated by month and by project component as required by Section F.2 Reports and Deliverables (a) Annual Work Plans. The “Operations” line item includes recurring,

operational costs not directly related to technical activities or discrete start-up tasks.


ANNEX A: MONITORING & EVALUATION

TABLE A.1: PERFORMANCE INDICATOR TABLE

N° Performance Indicator Disaggregation Data Collection

Method

Base-

line

Targets

FY1 FY2 FY3 FY4 FY5 LOP

RESULT 1: Strong public budgeting and municipal service delivery processes in place

1

Degree of citizen satisfaction with

service delivery provided by target

institutions (USAID framework)

Municipality,

Community,

Gender, Age, Type

of Service and

Level of Citizen

Satisfaction

Quantitative, population-

based survey TBD 0 0 8% 0 10% 10%

IR 1.1: Improved management, administration, and coordination among key public institutions

2

Number of municipalities with

demonstrated improvement in

institutional capacity for public

financial management (USAID

framework)

Municipality FOCAS

Capacity building plans 0 0 5 11 16 21 21

3

Number of municipalities that practice

participatory planning and budgeting

(Custom - UMG framework)

Municipality Activity reports 0 0 5 11 16 21 21

IR 1.2 Strengthened accountability, responsiveness, and transparency in key public institutions

4

Number of public accountability and

transparency mechanisms

implemented (USAID framework)

None Activity reports

FOCAS reports 0 0 3 6 9 12 12

RESULT 2: High-crime, urban marginalized communities are improved through citizen-driven improvements in living conditions and

municipal services

5

Number of municipalities and

communities that are implementing

strategies for crime and violence

prevention (USAID framework)

Municipality,

Community

Municipal-level and

community-level crime

and violence prevention

plans and activity reports

0 0 10 26 41 51 51

6

Number of municipalities with

Municipal Crime Prevention

Committees (USAID framework)

Municipality Activity Reports 5 0 5 5 5 5 5



Method

Base-

line

Targets


7 Number of awards made directly to

local organizations (F Indicator)

For-profit

organizations, Not-

for-profit

organizations

Activity Reports 0 0 10 10 10 10 40

IR 2.1: Vulnerability of at-risk youth to crime decreased

8

Number of youth who have

participated in a USG-supported

activity to improve municipal services

within their communities (Custom -

UMG framework)

Municipality,

Community,

Gender, Age

Activity Reports 0 0 250 750 1,250 1,500 1,500

IR 2.2: Vulnerability of at-risk populations reduced

9

Number of vulnerable people

benefitting from USG-supported

municipal services improvement


Municipality,

Community,

Gender, Age,

Target Population

Service Delivery

Improvement Plans

(SDIP) and audits

Qualitative focus group

discussions

0 0 500 1,500 2,500 3,000 3,000

10

Number of vulnerable people

benefitting from USG-supported

social services (F Indicator)

Sex: Male, Female

Age: 0-17, 18+

years

Disability: Persons

with/without

disabilities

Activity Reports 0 0 250 750 1,250 1,500 1,500

11

Percentage of USG-funded NGO or

other international organization

projects that include activities or

services designed to reduce specific

risks or harm to vulnerable

populations (F Indicator)

Numerator,

denominator

Document review;

reports implementing

partners

0 0 50% 50% 50% 50% 50%

IR 2.3: Civic responsibility increased

12

Number of individuals who received

USG-supported training, including

municipal performance, service

delivery improvement and

transparency, to strengthen local

government and/or decentralization


Municipality,

Community,

Gender, Age

Activity reports 0 0 250 550 800 1,050 1,050



Method

Base-

line

Targets


RESULT 3: Citizens and civil society, especially in the most at-risk communities, are actively involved in municipal decision-making and

accountability processes

13

Number of citizens engaged in

developing community plans and/or

implementing political reforms

(USAID framework)

Municipality,

Community,

Gender, Age

Activity reports, Service

Delivery Improvement

Plans - SDIP - and

engagement survey

0 0 75 225 375 450 450

IR 3.1: Increased representation and effectiveness of development councils at community and municipal level

14

Number of community proposed

initiatives implemented by community

and municipal governments (USAID

framework)

Community and

Municipality

Activity reports and;

Service Delivery

Improvement Plans -

SDIP -

0 0 5 15 25 30 30

IR 3.2 Increased impact of citizen voice through coalition-building

15

Number of Civil Society

Organizations receiving USG

assistance engaged in advocacy

interventions (F Indicator DR 4.2-2)


IR 3.3 Increased civic engagement

16

Number of USG-supported activities

designed to promote or strengthen

the civic participation of women (F

Indicator DR. 4-1)



ANNEX B: TRAINING EVENTS

Name of Course Objectives Municipalities Target Group # parts Duration

by day

Estimated Cost Schedule

Instruction Trips Parts. Q

1

Q2 Q3 Q4

Result 1: Strong Public Budgeting and Municipal Service Delivery in Place

Municipal

Administration

certificate course

To strengthen the

municipal strategic

multiannual,

operational and

strategic planning

capacities, and how to

applicate this practice

in the municipal

government

Ten (10)

municipalities

Municipal officials 80 8 hours UMG staff and

the Inter-

Naciones

University -UNI

(Grant)

(covered

by UNI

Grant)

(covered

by UNI

Grant)

X X X X

$ 160.000.00

Municipal

Administration

technical course

To strengthen the

municipal strategic

multiannual,

operational and

strategic planning

capacities, and how to

applicate this practice

in the municipal

government

Ten (10)

municipalities

Municipal

technical staff

50

8 hours UMG staff and

the Inter-

Naciones

University -UNI

(Grant)

(covered

by UNI

Grant)

(covered

by UNI

Grant)

X X X X

$ 100.000.00

Surveying and

Geographic

Information Systems

certificate course

Strengthen the

technical capacities of

municipal officials in

Land Measurement

and Geographical

Information Survey

Nine (9)

municipalities

Municipal officials 18 8 hours $ 4,800.00

UMG staff and

the Cadaster

School (ESCAT-

Escuela de

formación y capacitación para

el Desarrollo

Territorial y

Catastral)

(Covered by

subgrant)

$3,700. X X

Surveying and

Geographic

Information Systems

technical course

Strengthen the


municipal technical

staff in Land

Nine (9)

municipalities

Municipal

technical Staff

45 8 hours $ 1,200.00

UMG staff and

the ESCAT

$9,300. X X



by day



1

Q2 Q3 Q4

Measurement and

Geographical

Information Survey

(GIS)

(Covered by

subgrant)

Municipal Fiscal Policy

certificate course

Develop and

strengthen the

knowledge of

municipal staff on the

municipal fiscal policies

in the delivery of

public services

Ten (10)

municipalities

Municipal staff 160 8 hours UMG staff and

the Latin

American Faculty

of Social Sciences

(FLACSO-

Facultad

Latinoamericana

de Ciencias

Sociales)

(Grants)

X X

$ 132,500.00

Municipal Fiscal Policy

technical course

To learn how to

develop municipal

fiscal policies that

improve the efficiency

of public services.

Ten (10)

municipalities

Mayors and

Municipal

Councils

50 8 hours UMG staff and

FLACSO

(Grants)

X X

$ 66,200.00

Open-source

Geographic

Information Systems

(Quantum GIS)

Strengthen the

knowledge and

understanding of

municipal staff and

officials in land

measurement and

geographic information

Four (4)

municipalities

Municipal Staff -

Municipal officials

28 8 hours $ 2,800.

Consultant/

UMG

$ 1,450. $ 3,500. X

Financial Management

and Use of

Technological Tools,

certificate course

(5)

Strengthen the


municipal and Dafim’s

staff on the SICOINGL

and SERVICIOS GL

systems

Seventeen (17)

municipalities

Municipal Staff

Dafim

80 4 hours UMG staff $ 8,000. X X X

Public Procurement

Law Certificate Course

Strengthen the

knowledge and

understanding of the

States’ Public

Procurement Law

Nine (09)

municipalities

Municipal Staff

Dafim – Planning

Department and

Purchase

Department

110 8 hours UMG staff -

Contraloría

General de

Cuentas

$60,000 X X X



by day



1

Q2 Q3 Q4

Result 2: High Crime, Urban Marginalized Communities are Improved through Citizen-Driven Improvements in Living Conditions

Implementation and monitoring of

situational violence

prevention projects

1. To learn about the basic situational

violence prevention

concepts.

2. To strengthen

participants’ project

monitoring skills in

target communities

Ten (10) communities

Members of vulnerable urban

groups

(community

leaders women,

youth, LGBTQI)

200 4 hours UMG Staff $ 4,631.

X X

Development of

environmental

mitigation plans

(EMMP)

To learn about the

basic concepts

regarding

environmental

mitigation plans

Ten (10)

communities

Members of

vulnerable urban

groups (women,

youth, LGBTQI)

200 8 hours $ 6,757

UMG Staff

$25,734.

X X

Management of community projects

based on SDIP plans

To strengthen participants’ skills and

Knowledge to enable

them to develop and

manage a project


Members of vulnerable urban

groups (women,

youth, LGBTQI)

200 4 hours UMG Staff $ 6,863.

X X

Crime Prevention

through Environmental Design Methodology

(CPTED)

Strengthen the

competencies of municipal employees

and community

leaders to implement

violence prevention

strategies based on the

CPTED methodology

Seventeen (17)

Municipalities and communities

Community

leaders, Municipal Staff

85 8 hours $ 270.00

UMG Staff

$ 11,171. X X

Result 3: Citizens and Civil Society especially in the most At-risk Communities are Actively Involved in Municipal Decision-making and Accountability Processes

Citizen Security

technical course

Strengthen the

competencies of

municipal employees

to implement violence


Seventeen (17)

Municipalities and

government staff

(SECCATID,

MINECO,

MINGOB, MICUDE,

MINEDUC,

MSPAS, MINTRAB,

Municipal official

and members of

government and

Community

leaders.

75 8 hours $51,921.9

International

Consultant

$43921.

$2400.



by day



1

Q2 Q3 Q4

MIDES, MINFIN,

MARN)

Planning and

monitoring violence


technical course

To strengthen

participants’ skills and

knowledge to enable

them to develop

violence prevention

strategies

Ten (10)

Municipalities

COMUPRES

members

50 5 hours $6460.50 $ 720.00 $450.00

Crime and Violence Prevention Certificate

Course

Strengthen the competencies of

Members of vulnerable

urban groups


COMUPRES and COCOPRES

Members

100 8

Exchange of

experiences and

systematization of

violence prevention

TBD

Ten (10)

communities

COMUPRES and

COCOPRES

Members

100 8 hours X

Legal framework and

gender issues

technical course

Build capacities of

Municipal employees in

legal framework and

gender issues

Ten (10)

municipalidades.

Municipal official

30 10 hours 8000 X X

Youth leadership

technical course

To strengthen


knowledge to enable

them to

Ten (10)

communities

Members of

vulnerable urban

groups youth

leaders

150 4 hours 60000 X X X X

Planning and

monitoring Municipal

Budget (Social Security

and Violence

Prevention)

To strengthen


knowledge to enable

them to monitor

Municipal Budget

Ten (10)

communities

COCOPRES and

COCODES

members

80 4 hours 15000 X X

Community Legal

Framework

Certificate Course

To strengthen


knowledge to enable

them to organization

and monitoring

Community legal

framework

Ten (10)

communities

COCOPRES and

COCODES

members

150 245 hours 16000 X X

Community

management for

development

Certificate Course

Strengthen the

competencies

COCODES members

Two (2)

communities

COCODES

members

25 hours $S6781.

X X



by day



1

Q2 Q3 Q4

Community

management for

development

Certificate Course

Strengthen the

competencies

COMUDE members

Ten (2)

communities

COCODES

members

140 25 hours $ 50081. X X X

Exchange of

experiences to El

Salvador

To strengthen


knowledge about

violence prevention in

other countries.

TDB Municipal Staff -

Municipal officials

35 24 hours $ 14586. X


ANNEX C: SECURITY CHALLENGES

Within the Project implementation, we have identified several threats and risks. Regarding crime and

violence, the UMG Project has an analytical baseline of the number gun shot and stabbing fatalities. This

information allows us to plan tailored intervention actions and helps in considering better prevention

measures. We consider this a challenge because all the municipalities we are working are somehow

affected by crime and violence. These violence events don’t happen randomly, however, we try to follow

strict but dynamic security and safety procedures to keep our personnel safe and less vulnerable. So far,

we have not had any mayor security incidents, other than stolen personal property such as staff´s mobile

phones, during off-hours. We consider this kind of events will occur again, due the current security

situation in Guatemala City, and the country in general.

Violence directly affected the project last year, as the Zacapa Mayor was shot and killed just days before

the signing of our MOU with this municipality. This event made us re-evaluate the activities to be

implemented in the region and the way we work there. Due the local and general elections next year,

we are expecting resistance, pressure, and even threats, because officials would like to take advantage of

our interventions.

Last year UMG opened regional offices in Coatepeque and Chiquimula, both locations were previously

evaluated and vetted. Both regional offices respond to the same security protocols used in our main

Project office in Guatemala City.

To implement our Project technical activities, our staff must travel by road to all project municipalities,

and as indicated in our security manual, our greatest risks are Guatemala’s roads. All roads are in very

bad shape, poorly signed, unsafe vehicles, and untrained drivers, constant road blockages by

demonstrators, and no law enforcement presence, all are mayor risk. That said, UMG implements strict

transportation policies to keep our staff safe. As of now, we have had no incidents on Guatemala’s

roads.

The population´s frustration has increased due to political and government instability. Government

actions and decisions affecting regular people have generated recurrent demonstrations, road blockages,

strikes, and even kidnapping. Last June in Coatepeque, the Municipality Mayor and other city officials

were retained by a group of demonstrators who opted for de facto measures after their claims

regarding electricity services were not considered. The situation escalated from a small demonstration

to a retention of the city officials by the community. UMG does take this lightly, and we use these

experiences to improve our security protocols.

We are implementing our project during a very political time in Guatemala. In 2019, regional and general

elections will take place, and most likely several political decisions affecting our implementation will be

made before and after the elections. The good relations UMG has built with our partners in all our

municipalities could be in jeopardy if a new regional government comes to office, or these same friendly

partners would like to use our interventions as political campaign. This is a risk our component leaders

understand, and they are providing our security management unit with accurate and timely information

about what is happening in our municipalities and regions.


ANNEX D: SHORT-TERM TECHNICAL ASSISTANCE PLAN

SHORT-TERM TECHNICAL ASSISTANCE PLAN

Title Purpose Length

(days)

CCN,

TCN, or

USN

Q1

FY18

Q2

FY18

Q3

FY18

Q4

FY18

Required Experience and

Consultant

Result 1: Strong Public Budgeting and Municipal Service Delivery Processes in Place

Activity 1.3

Implementation of

Municipal Planning

Activities Identified in

the PFMs

1) Strengthen the competencies

of municipal employees in

Zacapa, Esquipulas, Jocotan,

Chiquimula, and Puerto

Barrios in participatory

planning process and equip

them with the tools to

support the POA, PEI, and

POM

90 X 2

consultants

CCN

Experience developing Municipal

Annual Operating Plans (POAs,

POMs PEIs), and citizen participation.

Consultants: Oscar Chub y Yajaira

Arauz

Activity 1.4

Implementation of

Improved Cadaster and

Land Registry Activities

Identified in PFMs

1) Support the elaboration

and updating of Municipal

Development Plans with

a focus on land

management in three

municipalities, Villa

Canales, Escuintla and

Chimaltenango.

100 X 1

consultants

CCN

Experience in strategic municipal

planning with a focus on land

management.

Consultant: Leonardo Catún Caal

2) Training in the use of the

Quantum GIS tool to

four municipalities in the

southwest region.

Strengthen the

municipalities’ capacity

to use geographical

information for planning

35 x 1 TCN

Experience and knowledge in

QGIS, implantation technology

municipal projects.

Consultant: TBD



(days)

CCN,

TCN, or

USN

Q1

FY18

Q2

FY18

Q3

FY18

Q4

FY18


Consultant

and improvement of

public services delivery

3) Support the Zacapa,

Chiquimula, Jocotan,

Esquipulas and Puerto

Barrios municipalities in

implementing their

cadaster and land

management projects

which includes GIS

training, imaging

procurement, cadaster

surveys, technology

infrastructure and

technical expertise.

Strengthen the capacity

of municipalities to use

geographic referenced

information for the

improvement of public

service delivery and

increase local revenues

132 x 1

132 x 1

CCN

Experience in open source GIS,

cadastral information systems and

work with municipal governments

Activity 1.5

Implementation of

Revenue Generation

Activities Identified in

the PFMs

1) Provide technical

assistance to improve

local revenue generation

in five municipalities in

Eastern region

(Chiquimula, Jocotán,

Esquipulas, Zacapa and

Puerto Barrios).

60 X 3

consultants

CCN

Experience in municipal

strengthening, improvement of

revenue generation at municipal level

and municipal service delivery

Consultants: Eduardo Merida Arias,

Rony Linares and Roberto Román.

Activity 1.6

Identification and

Implementation of

Public Private

1) Structure financing and

concession for a public 3 consultants TCN

Public private partnership experts

with experience in legal, financial,

and administrative aspects of

concessions.



(days)

CCN,

TCN, or

USN

Q1

FY18

Q2

FY18

Q3

FY18

Q4

FY18


Consultant

Partnerships through

the Project Preparation

Facility

transportation project in

Puerto Barrios.

Consultants: Sebastian Quijada (11

days); Miguel Almeyda (8 days);

Javier Auszenker (10 days) –

Consultants provided through a

subcontractor

Activity 1.7

Implementation of

Financial and

Administrative

Management Activities

Identified in the PFMs

1) Improve budgetary

procedures and the use of

technological tools in the

financial management of the

municipalities

100 x 4

consultants CCN

Experience in strengthening financial

management of municipalities, in

budgets, inventory, contracts,

management of SICOIN GL and

Servicios GL.

Consultant: TBD

2) Strengthen the relationships

between the CGC and the

17 municipalities. 80 X 1

consultant CCN

Experience in strengthening

municipal governments and

relationships between government

institutions.

Consultant: Renzo Rosal

3) Provide technical assistance

to update Administrative

Manuals in Amatitlan

70 x 1

consultant CCN

Experience in strengthening

administrative capacities in

municipalities including elaboration

of manuals, regulations, and other

administrative instruments.

Consultant: Eduardo López Mota


assistance to the CGC

to develop the new

version of the SAG-

UDAI system. Purpose is

to improve transparency

in municipal

management, through

the use of the tool SAG-

UDAI

120 x 4 TCN

Experience and knowledge of

developing and use of web-

based apps, creation of web

services REST type, Java,

NodeJS, and bootstrap

Consultants: Eliu Diaz, Saimon

Mendez, Cristian Lucero, Mauro Mata



(days)

CCN,

TCN, or

USN

Q1

FY18

Q2

FY18

Q3

FY18

Q4

FY18


Consultant


assistance to support

implementation of

Servicios GL to

increasing transparency

and efficiency in

municipal financial

management through the

implementation of the

mandatory SERVICIOS

GL system in Amatitlan,

Chinaulta,

Chimaltenango y

Escuintla

132 x 21 TCN

Experience in entering data using

SERVICIOS GL system

Consultants: Anelisa Lopez, Kelly

Subuyuc, Monica Barrios, Jenuin

Esquit, Maria Ambrocio, Mario Sula,

Pablo Escobar, Walter Chinchilla,

Josue Alvarado, Andrea Retolaza,

Cinthya Alfaro, Angel Marquez,

Corina Garcia, Eguidea Gonzales,

Jose Girón, Cintia Garcia, Derick

Tavico, Astrid de Leon, Josue Gil,

Clara Guarca, Ever Avila

Activity 1.8

Implementation of

Citizen Outreach

Activities


assistance to strengthen

the capacity of OMPC,

trough the improvement

of the knowledge of

related legal framework

and the elaboration of

operational manuals.

90 x 1

consultant CCN

Experience on elaboration of

operational manuals with preferred

knowledge of the role of OMPC,

DMM and OMNAJ.


assistance in the design

and implementation of a

training course on

Citizen Security for

national and local

government officials to

improve knowledge

about citizen security

and violence prevention

30 x 1

Consultant CCN

Knowledge of citizen security and

violence prevention, knowledge of

Guatemalan legal framework in the

same area. Experience in the design

and implementation of training

courses in the area.



(days)

CCN,

TCN, or

USN

Q1

FY18

Q2

FY18

Q3

FY18

Q4

FY18


Consultant

Activity 1.9

Strengthening

Municipal Technical

Capacities for the

Implementation of

Local Crime and

Violence Prevention

Strategies


assistance for the design

and implementation of

CONAPRE to foster

coordination between

municipal and

community levels

120 x 1

consultant CCN

Experience in institutional design and

operation with knowledge of

Guatemalan legal framework in

citizen security and violence

prevention.

Result 2: High – crime, urban marginalizes communities are improved through citizen-driven improvements in living conditions and

municipal services

Activity 2.2

Implement and Monitor

Small Infrastructure

Projects Identified in

SDIPs

1) Support the

communities and

municipalities in the

prioritization and

participatory design of

situational violence

prevention projects in

the municipalities of

Esquipulas, Escuintla,

Coatepeque and Mixco.

80 x 1

consultant CCN

Knowledge in CPTED methodology

and experience in the technical

design of projects.

2) Support development of

technical documents

required for a select

number of small

infrastructure projects

for violence prevention

TBD CCN

Experience in elaboration of

architectural plans, detailed designs

and all the necessary documents for

the construction of infrastructure

projects.

3) Provide support to

improve municipal

officer knowledge about

the CPTED

methodology

23 x 1

consultant TCN

Knowledge of CPTED methodology

and experience in its

implementation.



(days)

CCN,

TCN, or

USN

Q1

FY18

Q2

FY18

Q3

FY18

Q4

FY18


Consultant

4) Provide training to

COCODEs to improve

in project management

through the elaboration

of a practical guide and

training sessions

35 x 1

consultant CCN

Experience in Project management

and Project planning with an

emphasis in community development

projects.

5) Prepare and disseminate

a practical guide for

project management in

support of COCODEs.

30 x 1

consultant CCN

Experience in designing documents

and written materials for

communities.

Result 3: Citizens and civil society especially in the most at-risk communities are actively involved in municipal decision-making and

accountability processes.

Activity 3.2


Youth at Risk

(Secondary Violence

Prevention) Activities

Identified in SDIPs


assistance to strengthen

local partner capacity in

the knowledge and

implementation of

interrupters

methodology for

secondary violence

prevention

40 x 3

consultants

USN and

TCN

Experience in the implementation of

interrupters methodology

Consultants: Lourdes Henriquez;

Guadalupe Cruz, Jose Enriquez

Tamez (Cure Violence)

Activity 3.3


Activities that Improve

Social Violence

Identified in SDIPs


assistance to facilitate

the use of the Youth

Targeting Tool (YTT) in

the implementation of

secondary prevention

initiatives - to improve

accuracy in the selection

process of beneficiaries

20 x 1 TCN

Experience and knowledge in the use

of YTT in secondary prevention

projects focused on youth

Consultant: Francisco Almanza

Activity 3.4

Strengthen

Representation and

1) Contract services of an

international citizen

security expert to

support roll-out of

TBD TCN

Knowledge of citizen security

policies and programs in different

countries. Experience in providing

technical assistance and training to



(days)

CCN,

TCN, or

USN

Q1

FY18

Q2

FY18

Q3

FY18

Q4

FY18


Consultant

Effectiveness of

Development Councils

national strategy and

municipal policies of

violence prevention

through the

strengthening of

COMUPREs and

COCOPREs capacity

governments in different countries in

areas of citizen security and violence

prevention.

Consultant: Lucia Dammert

2) Strengthen the capacity

of the OMPCs through

training in the

COCODEs law and

technical assistance for

the preparation of the

guide for the operation

of the COCODEs

(registry of the

COCODE,

conformation of women

and water committees)

90 x 1

Consultant CCN

Knowledge and experience in

COCODEs legal framework and

COCODEs operation.

3) Strengthen technical

capacity of the Municipal

Offices for Assistance to

COMUDEs through an

organizational

assessment

270 x 1

Consultant CCN

Knowledge of legal framework and

the operation of COMUDEs and the

Municipal Offices for the Assistance

of COMUDEs; experience in the

design and operation of COMUDEs

and the Municipal Offices.

Activity 3.5

Build Alliances that

push for Municipal

Government

Transparency and

Accountability

1) Provide training on

social audit,

transparency and

accountability to

strengthen the capacity

of youth and women to

advocate for the

improvement of

municipal services

provision

20 x 1

Consultant CCN

Experience in municipal contracts

and acquisitions, citizen participation

and social audit



(days)

CCN,

TCN, or

USN

Q1

FY18

Q2

FY18

Q3

FY18

Q4

FY18


Consultant

2) Design communication

tools to disseminate

social audit information

30 x 1

Consultant CCN

Experience in graphic design of

public information oriented to

community audiences


assistance to implement

social audit initiatives to

support infrastructure

projects using the

CPTED methodology

90 x 2

Consultant CCN

Experience and knowledge on social

audit initiatives for infrastructure

projects

4) Train and equip youth

with technological tools

to perform social

auditing at the municipal

level

20 x 2

consultants USN

International social audit experts and

workshop facilitators

Experts: Gerardo Berthin and Ernie

Bove

Monitoring, Evaluation and Learning

Knowledge

Management

1) Systematize FOCAS's


2) Systematize the

vulnerability analysis


3) Design and develop a

tool to identify at-risk

youth basing on the

national context

20 x 3

consultants

TCN &

CCN

Monitoring, evaluation and learning

specialist.

Consultant(s): TBD

Project Management

Implementation

Support

1. Support Project

Reorganization

2. Support FY2020 work

planning efforts

28 USN Project Manager (home office)

Christian Kolar

3. Support Project

Reorganization 14 USN

Deputy Project Manager (home

office) – David Felson



(days)

CCN,

TCN, or

USN

Q1

FY18

Q2

FY18

Q3

FY18

Q4

FY18


Consultant

4. Support Grants Under

Contract

implementation

14 USN Grants Manager (home office)

Maureen Scanlin

5. Support FY2020 work

planning efforts 6 USN

Jorge Segura (from Segura

Consulting – Subcontractor)


U.S. Agency for International Development

1300 Pennsylvania Avenue, NW

Washington, DC 20523

Tel: (202) 712-0000

Fax: (202) 216-3524

www.usaid.gov

GUATEMALA URBAN MUNICIPAL GOVERNANCE - USAID

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