TET
RA
TEC
H
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
Christian Kolar, Project Manager
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
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.
GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018 3
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.
4 GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018
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.
GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018 5
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.
6 GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018
FIGURE 2.1: CRIME RATES IN PROJECT SUPPORTED MUNICIPALITIES
GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018 7
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
8 GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018
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:
GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018 9
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.
10 GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018
• 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.
GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018 11
• 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
12 GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018
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.
GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018 13
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.
14 GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018
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.
GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018 15
• 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
No support during FY2019
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
16 GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018
No. Municipality Project Identified by Municipalities UMG Proposed Support
6 Amatitlán • Improvement of public lighting (change of lamps)
in the municipal
No support during FY2019
7 Mixco • Cableway No support during FY2019
8 Jocotán • Bus terminal
• Solid waste treatment plant
Feasibility study for solid waste
management
9 Chiquimula • Bus terminal (market)
• Improvement of public lighting
• Solid waste management
Feasibility study for solid waste
management
10 Malacatán • Solid waste management Feasibility study for solid waste
management
11 Zacapa • Municipal market
• Solid waste management
• Improvement of public lighting
• Bus Terminal
Feasibility study for public
lighting
12 Colomba • Municipal market
• Solid waste management
Feasibility study for solid waste
management
13 Escuintla • Cultural center
• Improvement of public lighting
Feasibility study for public
lighting
14 Chimaltenango • Improvement of public lighting Feasibility study for public
lighting
15 Esquipulas • Bus terminal (market)
• Improvement of public lighting
Feasibility study for public
lighting
16 Chinuatla • Solid waste management
• Improvement of public lighting
No support during FY2019
17 Villa Canales • Solid waste management
• Improvement of public lighting
No support during FY2019
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.
GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018 17
• 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
18 GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018
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
GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018 19
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
20 GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018
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.
GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018 21
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.
22 GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018
• 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.
GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018 23
• 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.
24 GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018
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).
GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018 25
• 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.
26 GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018
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.
GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018 27
• 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:
28 GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018
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.
GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018 29
• 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.
30 GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018
• 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.
GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018 31
• 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
32 GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018
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.
GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018 33
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.
34 GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018
• 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
GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018 35
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
36 GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018
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.
GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018 37
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
38 GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018
• 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.
GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018 39
• 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
40 GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018
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.
GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018 41
• 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.
42 GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018
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
GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018 43
UMG Y3 Work Plan
Responsible
Oct Nov Dec Jan Feb Mar
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
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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
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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
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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
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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
1.9.1 Provide technical
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
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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
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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
2.1.6 Provide technical
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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
Hire a consultant to
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
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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
Hire a consultant to
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
62 GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018
5.0 FISCAL YEAR 2019 BUDGET ESTIMATE
TABLE 5.1: UMG FY2019 REVISED WORK PLAN BUDGET
(DISAGGREGATED BY MAJOR BUDGET CATEGORIES)
GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018 63
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.
64 GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018
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
GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018 65
N° Performance Indicator Disaggregation Data Collection
Method
Base-
line
Targets
FY1 FY2 FY3 FY4 FY5 LOP
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
(Custom - UMG framework)
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
(Custom - UMG framework)
Municipality,
Community,
Gender, Age
Activity reports 0 0 250 550 800 1,050 1,050
66 GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018
N° Performance Indicator Disaggregation Data Collection
Method
Base-
line
Targets
FY1 FY2 FY3 FY4 FY5 LOP
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)
Municipality Activity Reports 0 0 6 6 6 6 24
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)
Municipality Activity Reports 0 0 10 22 32 42 42
GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018 67
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
technical capacities of
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
68 GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018
Name of Course Objectives Municipalities Target Group # parts Duration
by day
Estimated Cost Schedule
Instruction Trips Parts. Q
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
technical capacities of
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
GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018 69
Name of Course Objectives Municipalities Target Group # parts Duration
by day
Estimated Cost Schedule
Instruction Trips Parts. Q
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
Ten (10) communities
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
prevention strategies
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.
70 GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018
Name of Course Objectives Municipalities Target Group # parts Duration
by day
Estimated Cost Schedule
Instruction Trips Parts. Q
1
Q2 Q3 Q4
MIDES, MINFIN,
MARN)
Planning and
monitoring violence
prevention strategies
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
Ten (10) communities
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
participants’ skills and
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
participants’ skills and
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
participants’ skills and
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
GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018 71
Name of Course Objectives Municipalities Target Group # parts Duration
by day
Estimated Cost Schedule
Instruction Trips Parts. Q
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
participants’ skills and
knowledge about
violence prevention in
other countries.
TDB Municipal Staff -
Municipal officials
35 24 hours $ 14586. X
72 GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018
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.
GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018 73
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
74 GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018
Title Purpose Length
(days)
CCN,
TCN, or
USN
Q1
FY18
Q2
FY18
Q3
FY18
Q4
FY18
Required Experience and
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.
GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018 75
Title Purpose Length
(days)
CCN,
TCN, or
USN
Q1
FY18
Q2
FY18
Q3
FY18
Q4
FY18
Required Experience and
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
4) Provide technical
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
76 GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018
Title Purpose Length
(days)
CCN,
TCN, or
USN
Q1
FY18
Q2
FY18
Q3
FY18
Q4
FY18
Required Experience and
Consultant
5) Provide technical
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
1) Provide technical
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.
2) Provide technical
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.
GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018 77
Title Purpose Length
(days)
CCN,
TCN, or
USN
Q1
FY18
Q2
FY18
Q3
FY18
Q4
FY18
Required Experience and
Consultant
Activity 1.9
Strengthening
Municipal Technical
Capacities for the
Implementation of
Local Crime and
Violence Prevention
Strategies
1) Provide technical
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.
78 GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018
Title Purpose Length
(days)
CCN,
TCN, or
USN
Q1
FY18
Q2
FY18
Q3
FY18
Q4
FY18
Required Experience and
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
Implement and Monitor
Youth at Risk
(Secondary Violence
Prevention) Activities
Identified in SDIPs
1) Provide technical
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
Implement and Monitor
Activities that Improve
Social Violence
Identified in SDIPs
1) Provide technical
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
GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018 79
Title Purpose Length
(days)
CCN,
TCN, or
USN
Q1
FY18
Q2
FY18
Q3
FY18
Q4
FY18
Required Experience and
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
80 GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018
Title Purpose Length
(days)
CCN,
TCN, or
USN
Q1
FY18
Q2
FY18
Q3
FY18
Q4
FY18
Required Experience and
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
3) Provide technical
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
process and outcomes
2) Systematize the
vulnerability analysis
process and outcomes
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
GUATEMALA – URBAN MUNICIPAL GOVERNANCE PROJECT: YEAR 3 WORK PLAN SEPTEMBER 2018 81
Title Purpose Length
(days)
CCN,
TCN, or
USN
Q1
FY18
Q2
FY18
Q3
FY18
Q4
FY18
Required Experience and
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)