Participación Cívica Project

Participación Cívica Project Participación Cívica Project QuarterlyWork Plan – FY3 Report July – September 2019 October 2017 – September 2018 Year 4 Annual Report (FY2019)

Submission: October 30, 2019 Resubmission: January 28, 2020 Original Submission: August 15, 2017 Resubmission:Approved: March November 09, 6, 2020 2017

1 This publication waswas producedproduced byby CounterpartCounterpart InternationalInternational forfor reviewreview byby the UnitedUnited StatesStates AgencyAgency for International Development underunder Cooperative Cooperative Agreement Agreement No. No. AID AID-520-520-LA-LA-15-15-00001-00001

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Contact: Katie Appel Deputy Chief of Party [email protected]

DISCLAIMER This publication was made possible by the generous support of the American people through the United States Agency for International Development (USAID). The contents are the responsibility of Counterpart International and do not necessarily reflect the views of USAID or the United States Government.

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TABLE OF CONTENTS LIST OF ACRONYMS ...... 4 I. EXECUTIVE SUMMARY ...... 6 Socio-Political Context ...... 6 Key Activities this Quarter ...... 7 Key Results/Achievements ...... 7 Financial ...... 10 II. SOCIO-POLITICAL CONTEXT ...... 10 III. PROGRESS PER RESULT AREA ...... 11 Objective 1: Improve the Government of Guatemala’s Institutional Capacity to Develop and Implement Key Transparency and Public Accountability Initiatives ...... 11 Objective 2: Improve the Capacity and Effectiveness of Targeted CSOs to Promote More Accountable, Open and Transparent Public Institutions ...... 24 IV. CROSS-CUTTING THEMES ...... 52 Gender and Social Inclusion (GESI) ...... 52 MONITORING, EVALUATION, AND LEARNING ...... 53 Result and Indicator Analysis ...... 53 TraiNet ...... 59 Program Quality and Learning ...... 59 V. PROJECT MANAGEMENT ...... 59 VI. DEVELOPMENT EXPERIENCE CLEARINGHOUSE ...... 59 VII. COORDINATION AND COLLABORATION WITH OTHER USAID PROJECTS ...... 30 VIII. ACHIEVEMENTS FOR QUARTER 1 ...... 61 IX. BEST PRACTICES, SUCCESS STORIES, CHALLENGES, AND LESSONS LEARNED ...... 63 X. PROJECT EXPENDITURE ...... 67 XI. PROGRAMMING PRIORITIES FOR NEXT QUARTER ...... 67 Objective 1 ...... 67 Objective 2 ...... 67 GESI ...... 67

Annex A: INAP Certificate Course Content Annex B: UDAF/UDAI Training Course Agenda Annex C: FUNDESA SPM Training Sample Agenda Annex D: GuateCívica Open Government Outreach Sample Agenda Annex E: GuateCívica Communications Materials Annex F: Training Annex Annex G: Project Inventory Tracker

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LIST OF ACRONYMS

ACOP Acting Chief of Party FADS Relatives and Friends Against Crime and ANAM National Association of Municipalities of Kidnapping (Familiares y Amigos contra la Guatemala (Asociación Nacional de Delincuencia y el Secuestro) Municipalidades de la República de FMM Myrna Mack Foundation (Fundación Guatemala) Myrna Mack) AOR Agreement Officer Representative FUNDAL The Alex Guatemalan Foundation for ASIES Association for Social Studies and Deafblind Children (Fundación Research (Asociación de Investigación y Guatemalteca para Niños con Estudios Sociales) Sordoceguera Alex) CC Constitutional Court (Corte de FUNDESA Foundation for Guatemala’s Development Constitucionalidad) (Fundación para el Desarrollo de CEIDEPAZ Center for Studies and Investigations for Guatemala) Development and Peace (Centro de FY Fiscal Year Estudios e Investigaciones para el GCSS-LWA Global Civil Society Strengthening Leader Desarrollo y la Paz) with Associates CGC Comptroller General’s Office (Contraloría GESI Gender Equality and Social Inclusion General de Cuentas) GOG Government of Guatemala CICIG International Commission against Impunity GPAT Commission for Open Public Management in Guatemala (Comisión Internacional and Transparency (Comisión de Gestion contra la Impunidad en Guatemala) Publica Abierta y Transparencia) CIIDH The International Center for Human Rights ICEFI Central American Institute for Fiscal Studies Research (Centro de Internacional para (Instituto Centroamericano de Estudios Investigaciones de Derechos Humanos) Fiscales) CIEN Center of National Economic IFES International Foundation for Electoral Investigations (Centro de Investigaciones Systems Económicas Nacionales) INAP National Institute of Public Administration CIG Industrial Chamber of Guatemala (Cámara (Instituto Nacional de Administración de la Industria de Guatemala) Pública) CODEFEM Association for the Defense of Women's INFOM Institute for Municipal Development Rights in Guatemala (Colectiva para la (Insituto de Fomento Municipal) Defensa de los Derechos de las Mujeres en IREX International Research and Exchanges Guatemala) Board CONADI National Council for the Attention of IRI International Republican Institute Persons with Disabilities IRM Independent Reporting Mechanism CONADUR National Council of Urban and Rural MEL Monitoring, Evaluation, and Learning Development (Consejo Nacional de MESICIC Mechanism for Follow-Up of the Desarrollo Urbano y Rural) Implementation of the Inter-American COP Chief of Party Convention against Corruption COPREGAT (Former name) Commission for Open MIDES Ministry of Social Development Public Management and Transparency (Ministerio de Desarrollo Social) (Comisión de Gestion Publica Abierta y MINEDUC Ministry of Education (Ministerio de Transparencia) Educación) COVIAL Executing Unit of Road Conservation MINFIN Ministry of Finance (Ministerio de (Unidad Ejecutora de Conservación Vial) Finanzas) CSO Civil Society Organization MP Attorney General’s Office (Ministerio DAI Development Alternatives International Público) DEC Document Experience Clearinghouse MTGA Open Government Technical Roundtable DOSES Association for the Development (Mesa Tecnica de Gobierno Abierto) Organization, Services and Sociocultural MSPAS Ministry of Health and Social Assistance Studies (Asociación Desarrollo, (Ministerio de Salud y Asistencia Social) Organización, Servicios y Estudios MOU Memorandum of Understanding Socioculturales) NAP National Action Plan DQA Data Quality Assessments NDI National Democratic Institute

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NGO Non-Governmental Organization TA Technical Assistance OD Organizational Development TOS Transparency and Organizational OG Open Government Strengthening OGP Open Government Partnership TSE Supreme Electoral Council (Tribunal PARLACEN Central American Parliament Supremo Electoral) PDH Human Rights Ombudsman’s Office UDAF Financial Management Units (Unidad de (Procuraduría de los Derechos Humanos) Administración Financiera) PLANID National Plan for Innovation and UDAI Unit of Internal Audit (Unidad de Auditoria Development Internal) POC Point of Contact UNCAC United Nations Convention against RFA Request for Applications Corruption SDPP Social Development and Population Policy USAID United States Agency for International SENACYT National Secretariat for Science and Development Technology (Secretaría Nacional de USG United States Government Ciencia y Tecnología) SEPREM Presidential Secretariat for Women (Secretaría Presidencial de la Mujer)

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I. EXECUTIVE SUMMARY

The Participación Cívica Project, hereafter referred to as “the Project,” is a five-year Project funded by the U.S. Agency for International Development (USAID) under the framework of the Global Civil Society Strengthening Leader with Associates (GCSS-LWA) agreement. The Project builds the capacity of Guatemalan civil society organizations (CSOs) and key government institutions while fostering a society that participates in the promotion of accountability and transparency of public institutions in Guatemala. The Project aims towards a goal of strengthened civil society and key government institutions to more effectively promote accountable governance and transparency of key institutions in Guatemala.

The Project works towards this goal through two complementary and mutually reinforcing objectives: • Objective 1: Improve the Government of Guatemala’s institutional capacity to develop and manage key transparency, public accountability, and Open Government initiatives. • Objective 2: Improve the capacity and effectiveness of targeted CSOs to advocate for more accountable, open, and transparent public institutions, including under the Open Government Partnership framework.

Participación Cívica fosters partnership between civil society and government institutions to promote accountable governance. Through its support of the Open Government Partnership (OGP), the Project directly contributes to three indicators within USAID’s Guatemala Journey to Self-Reliance, promoting the Guatemalan Government’s commitment to Open Government, and the capacity for Government Effectiveness and Civil Society & Media Effectiveness.

Socio-Political Context Guatemala held general elections on June 16, 2019 to elect a new President and Vice President. No Presidential candidate received the majority of the overall vote (over 50%), mandating a second round of elections. As such, the top two candidates, former first lady Sandra Torres of the social democratic party National Unity of Hope Party (Unidad Nacional de la Esperanza UNE) and Dr. Alejandro Giammattei of the conservative party VAMOS, faced one another in the second round on August 11, 2019.1 As a result of the second round, Alejandro Eduardo Giammattei Falla was elected President.

With respect to transparency, the VAMOS government seeks to deploy an e-Government strategy as a gateway to Open Government, resulting in the following: 1) institutionalization of the Electronic Government Program, 2) the drafting of the Digital Administration Law, and 3) the development and implementation of an e- Government agenda with prioritized service areas aimed at modernizing the way public institutions operate and how services are provided to citizens.

The recent increase in the number of migrants from Guatemala to the United States has heightened diplomatic tensions between the two countries. On March 29, 2019, President Trump unexpectedly announced that the United States would divert $450 million for funds that had been intended for the Northern Triangle countries of Guatemala, El Salvador, and Honduras.2 The Guatemalan government has been evaluating the possibility of becoming a third safe country, with pressure from the United States. This arrangement would enable migrants from El Salvador and Honduras to remain in Guatemala while the United States decided whether or not to grant them asylum. After weeks of rising tensions and political maneuvering, the outgoing Morales administration signed an agreement with the United States on July 26th, albeit the governments have not yet shared versions publicly and its implications are not yet clear.3

1 https://www.bbc.com/mundo/noticias-america-latina-48658491 2 https://www.nytimes.com/2019/03/30/world/americas/trump-turns-us-policy-in-central-america-on-its-head.html?module=inline 3 https://www.reuters.com/video/2019/07/26/after-trump-threat-guatemala-signs-immig?videoId=579671929 Counterpart International – Participación Cívica Project Page 6 of 67 CA#: AID 520-LA-15-00001

Due to the Trump Administration’s funding cuts, the Project did not receive its final obligation at the end of Year 4, and thus will have reduced the timeframe and activities with the existing, limited funding in Year 5.

Key Activities during Quarter 4: • Participación Cívica, the Presidential Commission on Open Public Management and Transparency (GPAT), and the Comptroller General’s Office (CGC) jointly implemented a training on the Legal and Ethical Foundations of the Execution and Control of State Resources for government officials; • Participación Cívica and the National Institute of Public Administration (INAP) jointly implemented two courses- one online and one with blended learning- for Government of Guatemala (GoG) officials on Open Government; • The Project continued to draft and validate the Manual of Participation and Governance Mechanisms for the Open Government Partnership in Guatemala; • The Project donated a server to the Comptroller General’s Office to support the archiving of documents by local governments; • The Project signed one new grant to local CSO partner, FUNDESA, and also concluded the activities associated with the grants from GuateCívica and Guatemala Visible; • Project grantee Guatemala Visible launched the Elecciones Visibles smartphone application (app) to promote citizen monitoring of the 2019 General Election process; • FUNDESA conducted six trainings on the Suggested Purchasing Model (SPM) medical inventory management tool with a total of 167 participants from 31 of 45 public hospitals in the country; • GuateCívica delivered four distinct training sessions in July in four departments of the country, reaching a total of 100 participants with information on the Open Government Partnership; and • CIIDH held bilateral meetings with four public institutions responsible for prioritized commitments in the 4th OGP NAP in a process to gather information for a social audit on their progress.

Key Results/Achievements from Year 4:

(OAS). The Presidential Commission of Public Open Management and Transparency (GPAT) participated in two panels and technical conversations with representatives of civil society organizations and public officials of various institutions, respectively, who had been identified by the Project. The results from the evaluation are anticipated for September, which will provide Guatemala with concrete recommendations from the MESICIC evaluators to continue to improve transparency and anti- corruption initiatives, and will have completed Milestone 10, Commitment 14 of the 4th OGP NAP. • In May, three GoG officials, including two representatives from GPAT and one from the Ministry of Social Development (MIDES), participated in the Open Government Partnership Global Summit held in Ottawa, Canada. The Summit served as an opportunity for the officials to share lessons learned from the Open Government Partnership in Guatemala and capture best practices from some of the 78 other countries in the initiative. As fulfillment of their commitment to the Project for attending the Summit, the GoG officials will lead workshops within their respective institutions to extend further the reach of the Summit’s key takeaways. In Q4, the 2019 alumni conducted two workshops to share best practices and lessons learned from OGP globally with 21 members of the OGP Technical Roundtable and staff members of GPAT. • In July, the Project, together with GPAT and the CGC, co-implemented a training on the Legal and Ethical Foundations of the Execution and Control of State Resources, specifically related to the Procurement Law, for more than 70 GoG officials from eight ministries. The session built the capacity of government officials, specifically within Financial Administration Units (UDAF) and Internal Audit Units (UDAI), on transparent procurement and contracting processes. Additionally, this activity directly contributed to fulfillment Milestone 11 within Commitment 14 of the 4th Open Government Partnership (OGP) National Action Plan (NAP) (2018-2020), related to the thematic area of Transparency and Anti- Corruption Mechanisms. • The Project, pursuant to its in-kind grant agreement with the CGC, delivered a server that will increase the CGC’s storage capacity for the financial and municipal management reports submitted by 340 municipal governments. This activity contributes to the fulfillment of Commitment 14 of the 3rd OGP NAP (2016-2018) to create accountability mechanisms for local governments. • Participación Cívica and INAP co-implemented two courses over Q3 and Q4, with the participation of more than 80 GoG officials: a certificate-level course on Open Government (blended learning, both in- person and online) and a virtual course on Principles of Open Government. The courses directly contribute to the completion of Commitment 10, Milestone 3 of the 4th Open Government Partnership (OGP) National Action Plan (NAP) (2018-2020). Over 50 GoG officials earned the certification and will become trainers on Open Government in their institutions. The course directly contributes to the completion of Commitment 10, Milestone 3 of the 4th OGP NAP (2018-2020).

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Protection and Social Inclusion; Health, Food Security, and Nutrition; and Fiscal Transparency, Procurement, and Public Contracting.[1] • The Project launched the Transparency and Organizational Strengthening Program in May with a total of 35 participating CSOs, and concluded all five training modules, the first of two key phases of the Program. A total of 184 people attended the five modules, with 151 completing all necessary module requirements for participation. As a result of the trainings, CSOs improved their technical knowledge of Communications for Advocacy by an average of 15%, their knowledge of organizational development topics by an average of 71% across the four OD modules, and an overall increase across the entire Program of 57%. The second phase of the Program, the convening of working groups and developing of distinct organizational products, will start in Year 5. • As a result of its participation in the Transparency and Organizational Strengthening Program, and understanding better the value of the Open Government Partnership (OGP), the CSO Fe y Alegría signed an MOU to be integrated into the OGP Technical Roundtable, thereby providing more representation from civil society in the initiative. • In September, the Ministry of Health (MSPAS) sent a letter to the USAID Mission Director notifying him that, thanks to the Project’s subgrant to FUNDESA, by the end of October, 250 users in 45 public hospitals of the country will have completed a certificate course in the use of the SPM. As a result, since 2017 the Guatemalan health system will have been able to save approximately $36 million, a savings of roughly 25% of the current budget for medicine and medical supplies, a reduction of 2 to 3 days average hospital stays by patients, and 25% of out of pocket savings by patients. The MSPAS recommended USAID to continue serving as a key partner for the MSPAS through continued funding to FUNDESA. • CIIDH published one bulletin, and prepared a second, with key findings of the social audit of prioritized commitments in the 4th OGP NAP, meeting with select Ministries and verifying the means of verification of each public institution. CIIDH also presented the findings at two convenings of the OGP Technical Roundtable and has encouraged other CSOs to monitor the implementation of the 4th OGP NAP. • CEIDEPAZ succeeded in coming to agreement with MIDES on a schedule and the terms of co-creation to finalize civil society’s contributions for revisions to the Social Development and Population Policy starting in January 2020 and finalizing the revised policy by September 2020. • In July, GuateCívica delivered four distinct training sessions in July in four departments of the country- Guatemala, Zacapa, Sacatepéquez, and Quetzaltenango- reaching a total of 100 participants with information on the Open Government Partnership, using a gender and social inclusion approach, and encouarging their participation. The content of the workshop allowed individuals who are not currently part of the Open Government Roundtable to get to know the platform and how it operates. In the workshops in Zacapa and Guatemala City, participants expressed the importance of the Open Government commitments to address the issue of migration, as a way for the State or local governments to be better held accountable to create conditions for citizens to remain in the country. The workshop in Quetzaltenango focused on the importance of women’s participation in OGP, with a total of 26 women attending the session. • In Q4, Guatemala Visible succeeded in transitioning ownership of the Elecciones Visibles app to the Supreme Electoral Tribunal’s (TSE) Inspection Department, including completing a training in the application’s use and providing the organization’s recommendations for improving the app’s future functionality. Additionally, during the two rounds of the General Elections process, by August 22, the app had facilitated the submission of 1,463 of electoral violation reports and 803 formal complaints.

[1] The grants contribute to the completion of milestones within Commitments 4, 14, 16, 18, 19, and 23 of the 4th OGP NAP. Counterpart International – Participación Cívica Project Page 9 of 67 CA#: AID 520-LA-15-00001

would likely not be receiving the anticipated final obligation to fund Year 5. USAID then sent the Project a written notification letter on September 27, 2019, stating that “due to funding constraints, USAID/Guatemala does not plan to obligate any additional funding to the ‘Participacion Civica’ Project Cooperative Agreement at this time.” As a result, Counterpart International reluctantly made the difficult decision to drastically cut costs in order to extend the Project’s life as long as possible, especially in order to support the transition of the Open Government Partnership to the new administration. As such, the Project reduced full-time Project staff from 17 to nine people and moved to a less-costly office space at the end of FY2019.

Financial As reported in the SF-425 submitted to USAID, as of September 30, 2019, the Project expenditure totaled $11,650,833.72 out of an obligated amount of $12,231,506.

II. SOCIO-POLITICAL CONTEXT

General Elections and the Transition Period Guatemala held General Elections on June 16, 2019 to elect a new President and Vice President, members of Congress, local authorities, and representatives to the Central American Parliament (PARLACEN). In the Presidential and Vice-Presidential race, no candidate received the majority of the overall vote (over 50%), mandating a second round to elect the President and Vice-President. As such, the top two candidates, former first lady Sandra Torres of the social democratic party National Unity of Hope Party (Unidad Nacional de la Esperanza UNE), and Dr. Alejandro Giammattei of the conservative party VAMOS, faced one another in the second round on August 11, 2019.4 Winning 58% of the vote, Alejandro Eduardo Giammattei Falla was elected President following the second round.

Within VAMOS’s proposed National Plan for Innovation and Development (PLANID), pillar number four, (“Responsible, transparent, and effective State”) aims to achieve “the modernization of public administration, based on institutional reform, seeks to regain trust and credibility in political institutions, as well as in the public administration itself, leaving as legacy the establishment of State policies.” Within the Plan, the Open Government Partnership is a means to reach an Open State, serving as a tool for this modernization process. In general terms, the VAMOS government seeks the deployment of an e-Government strategy as a gateway to Open Government, resulting in the following: 1) institutionalization of the Electronic Government Program, 2) the drafting of the Digital Administration Law, and 3) the development and implementation of an e-Government agenda with prioritized service areas, aimed at modernizing the way public institutions operate and how services are provided to citizens.

In terms of transparency and access to justice, the Commissions of Postulation, the entity responsible for preparing the payrolls of candidates to be Magistrates of the Supreme Court of Justice (CSJ) and of the Appeals Chambers, began to receive candidate documentation during the month of August. A controversary subsequently surrounded the receipt of the documentation, which was not evaluated in a uniform manner. As a result, the Commission cleared 222 professionals, from which Congress will elect 26 candidates as Magistrates and another 13 that will form the CSJ for a period of 5 years. Due to the suspected foul play during the evaluation process, the Constitutional Court (CC) determined that the application process must begin again. The ruling of the CC obliges the Judicial Career Council to evaluate the judges interested in running as a first filter of the process, a step not been followed in the previous process. Given this, Congress wants to propose repealing these regulations of the CC so that applicants can enter the process without any prior evaluation.

Migration and Relationship with the United States

4 https://www.bbc.com/mundo/noticias-america-latina-48658491 Counterpart International – Participación Cívica Project Page 10 of 67 CA#: AID 520-LA-15-00001

The recent increase in the number of Guatemalan migrants to the United States has heightened diplomatic tensions between the two countries. On March 29, 2019, President Trump unexpectedly announced that the United States would divert $450 million for funds that had been intended for the Northern Triangle countries of Guatemala, El Salvador, and Honduras.5

The Guatemalan government had been evaluating the possibility of becoming a third safe country, with pressure from the United States This arrangement would enable migrants from El Salvador and Honduras to remain in Guatemala while the United States determined their asylum case. Under this designation, the United States could send an asylum-seeker to a “third party,” in this case Guatemala, considered able to provide a similar degree of protection. According to the Geneva Convention, the country must meet minimum conditions to receive designation as a third safe country, including the right to housing, social security, medical services, employment, education, and the right to family reunification.

After weeks of rising tensions and political maneuvering between the United States and Guatemala, on July 26, the outgoing Morales' administration signed an agreement with the U.S., United States on July 26th, albeit the governments have not yet shared versions publicly and its implications are not yet clear.6 Court proceedings continue for an injunction by Guatemala’s Congress against the validity of the signed agreement, and President- elect Giammattei has stated that he may consider changing the deal once he takes office in January 20207 He also stated that the deal should be ratified by the congresses of both countries before implementation begins.8

Due to the Trump Administration’s funding cuts, the Project did not receive its expected final obligation at the end of Year 4, and thus will have reduced the timeframe and activities with the existing, limited funding, for Year 5.

III. PROGRESS PER RESULT AREA

Objective 1: Improve the Government of Guatemala’s institutional capacity to develop and manage key transparency, public accountability, and Open Government initiatives

Result 1.1: Strengthened GoG institutional capacity to comply with commitments (including but not limited to OGP)

During the reporting year, Participación Cívica mainly focused its efforts under this result on supporting the institutionalization of GPAT and working jointly with the OGP POC to ensure effective processes in the oversight and implementation of the 4th OGP National Action Plan (NAP) and evaluation visit of the Mechanism for Follow-Up on the Implementation of the Inter-American Convention against Corruption (MESICIC). In addition, the Project focused on assisting GPAT, the Comptroller General’s Office (Contraloría General de Cuentas, CGC), the National Institute for Public Administration (Instituto Nacional de Administración Pública, INAP), and the Financial Management Units within GoG ministries to implement prioritized actions within the 4th OGP NAP that promote more accountable and transparent government institutions in the country.

5 https://www.nytimes.com/2019/03/30/world/americas/trump-turns-us-policy-in-central-america-on-its-head.html?module=inline 6 https://www.reuters.com/video/2019/07/26/after-trump-threat-guatemala-signs-immig?videoId=579671929 7 https://www.cbsnews.com/news/guatemala-alejandro-giammattei-presidential-election-winner-pans-us-deal/ 8 https://www.reuters.com/article/uk-guatemala-election-immigration-idUKKCN1V306Z Counterpart International – Participación Cívica Project Page 11 of 67 CA#: AID 520-LA-15-00001

Overall, the Project succeeded in achieving most of results and actions outlined in the workplan, but also faced challenges with the political and donor context and political will of different actors. More information can be found below with summaries of the progress under this result by activity area.

Activity Area 1.1.a Support GPAT in its Institutional and Technical start-up

Participación Cívica’s work with GPAT was a key priority area throughout the year and included contributing to its institutional and technical development and thereby ensuring sustainability. To that end, the signing of the bilateral Memorandum of Understanding (MoU) between Counterpart and GPAT on February 25, 2019 marked an important achievement for the Project during this fiscal year. The signing was critical for two reasons: first, because the agreement had long been under discussion since shortly after GPAT was established in March 2018, but had not materialized; and second, and most importantly, because the framework formalized the relationship and technical support that the Project had been providing to the OGP POC since 2016, and to GPAT since its inception in March 2018. With the signed MOU, GPAT committed to granting the Project access to Commission staff for the development of joint activities, facilitating relationships with public institutions, and providing technical and logistical support when necessary. In return, the Project agreed to provide technical specialists and administrative staff to support the development and implementation of joint activities; facilitate the design of methodologies, tools, and technical materials; and provide technical assistance related to transparency, accountability, and open government with the Commission and relevant government institutions. To date, both the Project, within its limitations, and GPAT have worked together to honor the intent of the MOU, becoming trusted partners in implementing actions to promote more accountable and open government of Guatemala.

Following discussions with the GPAT leadership during the development of the Year 4 workplan, the Project prioritized the creation of long term strategic and annual plans this year. The Project prioritized this endeavor to help ensure GPAT’s institutionalization, mitigating risks due to its nature as an institution created by presidential decree and thus vulnerable to political will. As such, helping to ensure a clear vision and strategic path forward for GPAT, with the ability to transfer the institution from this administration to the next, became a top priority. However, due to the political context, which included elections in June and August 2019, GPAT’s urgency to develop a Strategic Plan and Annual Plan morphed throughout the year. The Project provided ongoing technical expertise of its Transparency and Accountability Senior Specialist and COP to begin the process to develop these documents, such as setting the key priorities for these documents, which included: 1) the Open Government Partnership is successfully handed over to the newly elected administration in 2020; 2) GPAT positions itself as the expert public institution in work related to transparency and anti-corruption; and 3) GPAT shows tangible results before the change of administration. In addition, the Project provided advice and peer review support during the development of the content of drafts of these technical documents. However, as elections neared during Q3, GPAT’s leadership decided that the completion of the Strategic Plan and Annual Plan would likely be taken up by the next administration.

Instead, with the upcoming change of administration in January 2020, the focus of this activity shifted to create an Open Government Transition Plan. This shift resulted from the Project’s identifying the need to ensure that the Open Government Partnership, its benefits, and progress are well known by the new authorities, with the aim to involve the President-elect and his transition team in GPAT’s actions during the last months of the Morales administration, building their buy-in for the sustainability of both the Open Government Partnership and other transparency and anti-corruption initiatives. To this end, Participación Civica began outlining the content of an Open Government Transition Plan with GPAT officials during Q4. However, due to the lack of information related to the new authorities in charge of the Open Government Partnership, the plan remains pending until the Project has an introductory meeting with the new officials, as they will be invited to participate in planning meetings to inform the document over the coming months. The Project anticipates that the development of this document will provide an opportunity for the Project to create bridges with the new authorities, especially related to the sustainability of efforts related to Open Government, transparency initiatives, and anti-corruption.

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The Project also committed to responding to GPAT’s changing priorities and needs based on the context and technical focus. To this end, as of Q2, the Transparency and Accountability Senior Specialist was embedded one day per week within GPAT’s team helping and providing technical advice in planning technical agendas for Technical Committee meetings, the MESICIC visit, and the development of the draft Manual of Participation and Governance Mechanisms of the Open Government Partnership in Guatemala.

The implementation of the 4th OGP NAP has remained a top priority for GPAT during Q4. The Project held five meetings in Q4 with GPAT leadership. Meetings occurred on July 5 and 26; August 2 and 9; and September 6. In general during these meetings, the Project supported on tasks such as the development of technical agendas, planning for GPAT’s official international visits, and preparations for the Technical Committee and OGP Technical Roundtable sessions.

This year, the Project had also planned to support GPAT with the development of its communications plan and updating the functionality of its website. However, the communications plan is planned to be developed in Year 5 and the website were deprioritized given funding considerations.

Activity 1.1.b: Support to the Open Government Point of Contact and Relevant Public Institutions to Implement OGP Commitments in Guatemala Under this activity area, the Participación Cívica team established four priorities for the year: 1) support the completion of the co-creation process of the 4th OGP NAP, 2) Support to the implementation of the 4th OGP NAP, 3) provide institutional support to the OGP POC in the institutionalization of the initiative; and 4) support and facilitate coordination among GOG institutions, specifically, INAP, CGC, and MINFIN for the implementation of milestones under the 4th OGP NAP. The key list of the accomplishments achieved during the year are below.

NAP Co-Creation After eight months, and a sometimes-contentious process between government and civil society for the co-creation process, President Morales officially launched the 4th OGP NAP at a public event supported by the Project on November 28, 2018. The event, held at the National Palace, was attended by 191 people (69 women and 122 men), including high level government officials, civil society representatives, private sector representatives, members of the international community, and the media. As part of the agenda, the then Executive Director of the Presidential Commission for Open Managefment and Transparency, presented the main achievements of the Third OGP NAP, along with all the actions and activities implemented during the co-creation process of the 4th OGP NAP. The English version of the Fourth OGP NAP, translated by the Project, can be now be found at: http://gobiernoabierto.gob.gt/wp-content/uploads/2019/01/4to-Plan-de-Accion-Nacional-de-Gobierno-Abierto- 2018-2020-FINAL-28-12-2018_INGLES.pdf

NAP Implementation Support In order to better support the implementation of the NAP, by the second quarter, and in collaboration with GPAT, the Project had established the prioritized commitments and milestones it would work with GPAT to achieve.

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To that end, commitments 10, 14, and 15,9 were selected to receive Project support through direct technical assistance, as these three commitments fall within GPAT’s purview. Support to Commitment 15 has been delayed and remains pending inclusion in the Year 5 Work Plan.

In FY2019, the Project worked with GPAT to contribute to the completion the following milestones: • Commitment 10, Milestone 3 (Implementation of a training program on open government) • Commitment 14, Milestones 10 (Facilitate and share results of MESICIC Evaluation) and 11 (UDAF training)

OGP POC Institutional Support During Year 4, the Project focused its efforts to help the OGP POC and his team to continue institutionalizing the OGP initiative and related coordination mechanisms. Also, as GPAT’s leadership changed in early 2019, the Project team worked with the OGP POC, providing him with tools, comparative experiences in Open Government, and technical assistance to aid the implementation of the 4th OGP NAP, including facilitation of the OGP Technical Committee and oversight of the 4th OGP NAP. The specific achievements are outlined below per activity.

Material Support During Q1, the Project donated four laptops, one printer, and one projector, among other basic furniture and supplies to GPAT. This equipment and the additional supplies replaced defective and/or outdated equipment within the institution, thus increasing the efficacy of the OGP POC team to accomplish day-to-day tasks and better achieve the GPAT’s mission.

Open Government Technical Committee Throughout the year, the Project participated and supported a total of 11 OGP technical committee meetings through the first three quarters of the year. As part of its day-to-day support to this effort, the team helped the OGP POC and the OGP Technical Committee to coordinate agendas, strategize to engage additional institutions to join the OGP Technical Committee, coordinate the participation of special guests, and provide tools to monitor implementation of commitments.

A key achievement resulting from the support provided to the OGP Technical Committee includes the development of a final draft of the Manual for Participation and Governance Mechanisms of the Open Government Partnership in Guatemala for the OGP Technical Committee and the Open Government Roundtable (Mesa Tecnica de Gobierno Abierto -MTGA), which is currently under discussion for validation and adoption. The final validation meeting will take place in November 2019. The Manual will provide a framework that clearly sets out the rules of engagement for both government and civil society participating in the OGP Technical Committee.

9 Commitment 10: Strengthening of tools and technical capacity of local governments to implement mechanisms for Open Government, accountability, and citizen participation, to improve public services. Commitment 15: Creation and implementation of an integral strategy of transparency, Open Government, and anti-corruption. Commitment 14: Strengthening mechanisms of transparency and anti-corruption that demonstrate results at national and international levels Counterpart International – Participación Cívica Project Page 14 of 67 CA#: AID 520-LA-15-00001

Specifically, during Q4, the Project participated in six OGP Technical Committee meetings related to the implementation of the 4th OGP NAP. These meetings among a smaller group of government and CSO representatives often direct the content and priorities of the Technical Roundtable. Since Q3, several topics have required ongoing follow-up, such as the Manual of Participation and Governance Mechanisms of the Open Government Partnership in Guatemala and the fulfillment of the means of verification related to the implementation of the 4th OGP NAP in Guatemala.

On July 4, the meeting focused on the recurring theme of the need to elevate to the Government of Guatemala’s Cabinet of Ministers, as many public institutions responsible for Meetings of the Technical Committee implementing commitments and milestones have not sent or uploaded the relevant means of verification, nor have they uploaded the current status of their commitments.

On July 10, the Committee presented on the commitment and milestones close to being fulfilled, which would also be presented at the next OGP Technical Roundtable, such as the Ministry of Health’s significant progress on one of their commitments to strengthen 425 health posts nationwide. "This is very important, since it allows the offering of access to health services to the entire population," said the Open Government Partnership (OGP) Point of Contact, "and gives us the opportunity to show the process of improvement due to the implementation of the milestones written in the National Action Plan.”

On July 18, GPAT’s Open Government Unit presented the finalized tool to be used to measure the progress of commitments and milestones, which had already been validated by members of the Technical Committee and will be shared with the MTGA.

On August 14, the Committee discussed the upcoming UNCAC evaluation, as one of Guatemala’s international commitments beyond OGP. The OGP POC asked CSO representatives and GoG officials for their help completing a survey that would serve as the basis for the evaluation. The July 18th meeting of the Technical Committee took place in GPAT’s office. On September 19, GPAT hosted the Technical Committee meeting to develop the content of the agenda of the next Open Government Technical Roundtable on September 25 at the National Palace. CIIDH requested a session in the agenda to present the grant’s initial results from monitoring progress on the prioritized commitments and milestones. Participación Cívica representatives suggested that the Technical Committee should start working on a transition report on Open Government and to add this point within the meeting agenda. The idea was well received by the full Committee. As final point on the agenda, the OGP Point of Contact reported on GPAT’s visit to Vienna, Austria, in order to participate in the Follow-up Mechanism of the United Nations Convention against Corruption, talking with the representative from Australia (one of the examining countries), who are still pending to define the date of their follow-up visit to Guatemala.

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Open Government Technical Roundtable (MTGA) Throughout the year, the Project worked with the OGP POC and his team on the development and coordination of the MTGA. To this end, the Participación Cívica team specifically 1) developed an activity chart to monitor and oversee the progress of each of the commitment and milestones; 2) drafted the agendas for each meeting, including analyzing and prioritizing which commitments and milestones were to be discussed, among other relevant issues; and 3) provided logistical support for the meetings as necessary. In total, the Project helped facilitate four MTGA meetings through the end of Q3. Overall, the role and processes of the MTGA have been streamlined and clarified with guidance from the Project. The MTGA has become a space where the government institutions and civil Representatives of government institutions and civil society organizations participate in the society come together to discuss, review, and approve the status of Open Government Partnership Technical commitments and milestones based on a prioritized agenda and Roundtable. recommendations made by the OGP Technical Committee. This has marked a divergence from the MTGA in previous years, in which the planning and prioritizing of commitments rarely occurred. Now the meetings are run more effective, efficient, and results-oriented.

On July 25, the Ministry of the Interior hosted the Open Government Technical Roundtable. During the session, members discussed the implementation of a uniform format for tracking milestone process and the status of commitments and milestones, specifically related to the Ministry of Health’s commitment to strengthen 425 health posts. The Project led two points on the agenda. First, the Project team introduced a representative from CEIDEPAZ, who led a presentation on the results of his consultancy to develop the Manual of Participation and Governance Mechanisms of the Open Government Partnership in Guatemala. In addition, the Project shared an update on the training sessions Presentation of the draft Manual of planned by those who attended the Open Government Global Participation and Governance Mechanisms to Summit, to share lessons learned with colleagues from their the MTGA. respective institutions. The Point of Contact, and a representative from the Ministry of Social Development (MIDES), presented their proposals on how they will share the knowledge, concepts, and methodologies that they captured from their participation in the Summit.

On September 25, the Open Government Technical Roundtable took place in the National Palace. The Roundtable members discussed the advances of the commitments and milestone with a deadline of September 30, including the following: - Commitment 6, Milestone 2 – Technical Secretariat of the National Security Council (STCNS) This milestone is complete, now providing a new manual for human resources to directors of public institutions within the security sector.

- Commitment 8, Milestone 2 - Presidential Commission of Open Public Management and Transparency (GPAT) This milestone reported the successful co-creation of the National Electronic Government (e- government) Strategy, which will be very useful for understanding the various actions that Ministries and Secretariats are carrying out to automate their procedures and customer service operations, to make public management more efficient.

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- Commitment 9, Milestone 2 - National Competitiveness Program (PRONACOM) and Ministry of Economy (MINECO) These institutions presented on the www.asisehace.gt digital tool, which in its new version includes improvements in both design and content, increasing the number of services offered to the public. This milestone is related to the National Electronic Government Strategy mentioned above, as it best exemplifies how to successfully automate various processes and public services.

- Commitment 11, Milestone 8 - National Office of Civil Service This milestone is related to the creation of a digital repository for Collective Pacts (pactos colectivos) of Working Conditions, signed by public institutions. This milestone, now reported complete, provides a tool for citizen consultation of these pactos colectivos, but also provides the opportunity to access similar documents that have either expired or been modified.

- Commitment 15, Milestone 1 - Presidential Commission on Open Public Management and Transparency (GPAT) This milestone is related to the development of a dissemination plan for activities that GPAT will implement related to Anti-Corruption Mechanisms. This milestone has seen a substantial level of progress to date; however, it will be completed in the coming months.

- Commitment 24, Milestone 2 - Ministry of Public Finance (MINFIN) The results of this milestone have surpassed what had been outlined in the 4th OGP NAP and have also allowed for the creation of innovative and useful tools within the fiscal transparency thematic area. These improvements have simplified social audit processes, especially related to the quality of public spending. Representatives of civil society and public officials expressed their appreciation for the quality of the information available and the new tools.

During the session, CIIDH representatives also presented on the monitoring of several specific milestones within the 4th OGP NAP. Additionally, the public institutions that had been monitored verbally recognized the work carried by CIIDH, highlighting its technical nature, providing a substitute monitoring body during the noticeable absence of the Independent Reporting Mechanism (IRM). As such, the monitoring carried out this NGO holds great importance for the implementation process of the 4th OGP NAP.

OGP Global Summit Participation and Follow-up The OGP Technical Roundtable took place in the National Palace on September 25. As reported in Q3, the Project financially supported the participation of four people (2 government representatives and 2 civil society representatives) in the OGP Global Summit hosted in Ottawa, Canada in May 2019. As a follow-on activity, the Project held a workshop on “The Importance of Participation and Lessons Learned in the Regional and Global Summits of the Open Government Partnership” on September 12, 2019, in the main hall of the Ministry of the Interior. The 14 participants from government and civil society in the session learned good practices related to gender, civic participation, and the role of the CSOs in the cocreation process from alumni who had attended previous Summits. During the session, the facilitators shared information on the structure of the Open Government Partnership and the content of the Summit. They highlighted areas for improvement within the Open Government initiative in Guatemala and emphasized the need for the sustainability of the initiative, especially as the GoG transitions in

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early 2020. The facilitators also invited two participants from the Summit in 2018 in Georgia to share their own takeaways, representing the Ministry of the Interior and the local organization CIIDH. Both women shared their experience attending the Summit and highlighted key learnings related to gender equity and the importance of the Freedom of Information law, as they relate to strengthening Open Government. Additionally, the OGP POC and the Executive Director of GPAT also held a follow-up session within their Commission to share best practices from their participation to their colleagues. They held the session in their office on September 30, 2019 for seven more of their staff, to build their capacity in open government.

The workshop served to meet the requirement asked of the participants sponsored by the Project on their return to Guatemala from the Open Government Partnership Global Summit. In the January 2019 session of the Open Government Technical Roundtable, the Project facilitated the selection of representatives from the Government of Guatemala and civil society for their attendance to the Summit, from the Ministry of Social Development (MIDES), GPAT, and the local organization CEIDEPAZ. They committed to later sharing their takeaways from the Summit with their GoG and CSO peers for the possible replication in the Guatemalan context.

Governance Mechanisms of the Open Government Technical Roundtable On July 25, GPAT and Participación Cívica hosted the presentation of the draft of the Governance Mechanisms of the Open Government Technical RoundTable in a special Technical Committee meeting. Due the several topics on the draft there and the multiplicity of opinions, the Technical Committee decided to analyze the draft of the Governance Mechanism in different spaces, it means that CSO’s representatives had their own meetings as well as the GoG Officials.

The recommendations were presented to the Technical Committee on September 19, but due the doubts in some specific points like the roles and responsibilities of the parties, a new joint session was planned during October 2019, subsequently considered for approval by the Technical Roundtable in November.

During the meeting, the Technical Roundtable members discussed several points, such as follow-up to progress on the implementation of the National Action Plan by various responsible institutions; the implementation of a uniform format for tracking process; and the status of commitments and milestones overdue from June, specifically related to the Ministry of Health’s commitment to strengthen 425 health posts.

The Project led two points on the agenda. First, the Project team introduced who led a presentation on the results of his consultancy to develop a Manual of Participation and Governance Mechanisms Presentation of the draft Manual of Participation and Governance Mechanisms to the MTGA. for the Open Government Partnership in Guatemala. The Manual now awaits the revision and approval of the MTGA in a future session.

The Project also shared an update on the training sessions planned by those who attended the Open Government Global Summit, to share lessons learned with colleagues from their respective institutions. As such, Point of Contact, and the representative from the Ministry of Social Development, presented their proposals on how they will share the knowledge, concepts, and methodologies with the participants.

Through its support of the Open Government Partnership (OGP), the Project Participación Cívica directly contributes to three indicators within USAID’s Guatemala Journey to Self-Reliance, promoting the Guatemalan Government’s commitment to Open Government, and the capacity for Government Effectiveness and Civil Society & Media Effectiveness.

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Activity Area 1.1.c: Support GPAT and Other Public Institutions to Comply with Key International Commitments

The Project prioritized supporting GPAT in the implementation of Commitment 14, Milestone 10, for the preparation of the Action Plan for the follow-up of recommendations of the Mechanism for Follow-Up on the Implementation of the Inter-American Convention against Corruption (MESICIC). To that end, during Q2, the Project and GPAT representatives worked together to prepare an action plan and agendas in preparation for the visit of the MESICIC evaluators. In Q3, during the visit from the onsite evaluator that took place from April 9- 11, the Project helped GPAT to coordinate and facilitate participation of civil society during the evaluation, which included representatives from FUNDESA, Guatemala Visible, and the Cámara de Industria, among others.

The team also provided logistical support to help GPAT facilitate the visit, which included two panels and technical conversations with GPAT, other key government institutions, and civil society. The purpose of the onsite country visit was to generate an updated country report with recommendations for the State to improve its legal frameworks and institutions to combat corruption. While the evaluators completed their report and have shared it with the government of Guatemala, the recommendations are not scheduled to be shared publicly until later in November 2019. Some of the key recommendations of the report include: • Strengthening the hiring process for public officials: The evaluation recommends harmonizing the different processes and regulations to hire public officials, including advertising the positions and equity and efficiency during the hiring process. The report also suggests publishing an Employee Management Manual online by the National Office for Civil Service (ONSEC) for easy access by public employees. • Strengthening the procurement systems for government goods and services: The report also recommends adopting necessary measures to ensure that municipalities comply with GUATECOMPRAS, the government’s procurement services portal, and improving the process to better address user complaints. • Strengthening whistleblower protection systems for public officials and citizens reporting acts of corruption: The report recommends adopting a comprehensive law for the protection of public officials and citizens who report acts of corruption, including identity protection, in compliance with the country’s Constitution and legal framework.

The Project’s facilitation of the evaluators’ visit for MESISIC contributed to Guatemala having its first evaluation since 2012. The updated recommendations echo many of the changes that civil society and champions of transparency and accountability within the government have been calling for and serve as a roadmap for CSOs to continue their call to action to the government. With its limited resources, the Project will aim to incorporate the recommendations from both of the Inter- American Convention against Corruption (MESICIC) and UN Convention against Corruption (UNCAC) evaluations into the Strategy for Transparency and Open Government and Anti-Corruption Mechanisms in Year 5 (see 1.1.b).Result 1.2: Enhanced Capacity of Targeted GoG Institutions to Develop and Implement Effective Transparency, Accountability and Citizen Participation Mechanisms

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Activity Area 1.2.a Support to Selected Public Institutions within the Executive Branch to Strengthen Transparency and Accountability Capacity and Systems

In order to formalize the Project’s longer-term strategic partnership with the National Institute for Public Administration (INAP) and the Comptroller General of Accounts (CGC), at the beginning of the year, the Project team set out to establish memorandums of understanding (MOUs) with each of these organizations. On May 31, the Project signed an MOU with INAP. INAP’s General Director, expressed his satisfaction for the MOU, which gave greater weight to the activities jointly implemented between both institutions around strengthening the knowledge and skills of government officials on transparency, accountability and open government (see activity 1.2.b for further details on the results of the implemented activities).

Additionally, on June 10, the Project and Comptroller General, INAP Executive Director (left) and signed an MOU and in-kind grant agreement for delivery of a Participación Cívica’s Chief of Party, signed MOU, May 31, 2019 server to increase the storage capacity of the CGC’s archive system, which was the culmination of support that began in 2017, when the Project supported the Center for National Economic Research (CIEN) through two grants that assisted the CGC to fulfill Commitment 14 of the 3rd OGP NAP (2016-2018). The grant aimed to address the inefficiencies of the informatic system, specifically municipal reporting of financial and municipal management to national level authorities. As a result of the support provided to the CGC under CIEN’s grants, the CGC became the recipient of the financial and municipal management reports submitted by municipal governments, enabling the 340 municipal governments to upload their reports online and the information to be readily available to different government institutions responsible for oversight of local government.

However while the system, “Sistema de Rendición de Cuentas de los Gobiernos Locales” (Accountability System for Local Governments), had improved the overall reporting process, the CGC’s IT infrastructure did not have the bandwidth for the increased volume of content generated by the municipalities. As such, on Tuesday, July 16, in a small formal “This is a way to streamline the ceremony, the Project officially delivered a server to the Comptroller management of all the information General of Accounts, to strengthen the storage capacity for generated by the activities of the information sent from more than 200 local governments. municipalities, to make it available to “This is the conclusion of an institutional strengthening process with both our Control and Inspection units, which Participación Cívica seeks to strengthen the technical and the entire population.” capabilities of the Comptroller General of Accounts, so that it can comply with the mandate to ensure transparency in public Comptroller General management, primarily in the municipalities (local governments)," said the Project’s Chief of Party.

The equipment included a storage unit with eleven terabytes of storage. The Project also provided all the necessary licensing for the server’s operation to the Comptroller General of Accounts, in addition to training for

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the users, to obtain the best performance of the tool. The donated server addresses the bandwidth issue, completing a remaining aspect of Commitment 14 of the Third Open Government National Action Plan (2016-2018): “Mechanisms of Accountability in Local Governance.”

The Project’s support to the CGC through this in-kind donation serves an example of how the Project supports government institutional strengthening and provides users better access to information.

The CGC’s Communications Unit issued a special newsletter highlighting the importance of the in-kind donation, and how this collaboration “will contribute directly to the institutional General Comptroller and Projects Staff strengthening and development of the CGC, which is a key actor in supporting the transparency of local governments.” The server will store information generated by 340 municipalities.

Activity Area 1.2.b Assist Government Institutions to Develop OG Capacity-Building Strategies for National Civil Servants (including local level civil servants as feasible) As part of the Y4 workplan, and in support of Commitments 10, Milestone 3; and Commitment 14, Milestone 11; the Project team prioritized support to INAP, CGC, the UDAF to conduct a series of capacity building courses to improve civil servants’ knowledge and skills on transparency, accountability, and open government to enhance their capacity to promote a more transparent and accountable Government. The following achievements were made during the past year.

INAP Open Government Courses During Q1 and Q2, the Project team agreed with INAP that the collaboration between INAP and the Project would include a certificate-level course on Open Government (blended learning, both in-person and online) and a virtual course on Principles of Open Government, to incorporate transparency and open government modules appropriate to each level. In collaboration with INAP’s training unit, the curricula for the courses was updated and finalized. In addition to the methodology and curricula, the Project also collaborated with INAP’s team to establish timelines, develop the profile of participants, coordinate logistics, and organize the facilitation needed for the courses.

The online course on Open Government was launched March 1st and concluded on April 26th. A total of 32 participants finished the course, including 19 government officials, mostly representing local governments. With their newly acquired knowledge, many of the participants expressed the intention to running for local office in 2019, thereby having the potential to continue to apply these transparency practices to their public service. Five participants were elected to local public office in June, starting their new positions in January 2020.

The first cohort of the certificate level course started in Q3 and spanned into Q4, running from April 26 to July 26 (see Annex A for more detail on the course content). The course targeted Guatemala City-based public officials and a total of 50 government officials participated. The participants out of the course left equipped with practical tools for how to improve their day-to-day work to act in a more open, transparent and ethical manner as they serve their country.

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Certificate course in Open Government, co-hosted by the Project and by INAP. Government officials participate in a mock Open Government Roundtable meeting as part of their training.

In Q3, Project representatives attended the official inauguration of INAP’s Regional Office of Petén, which was also attended by the Vice President of the country and a member of INAP’s Board of Directors. INAP formally thanked the Project for its support and technical assistance, mentioning the successful launch of the course on Open Government in Guatemala City. He expressed his hopes that a similar course would be available in Petén in the near future.

On September 24, the second cohort of the Open Government certificate course launched at INAP with the attendance of over 20 government officials and members of civil society organizations. Government officials had shown so much interest during the first cohort in Q3, quickly filling up available spaces, that INAP expressed interest to the Project to partner to offer a second cohort to launch in Q4.

For the kickoff session, Graciela Cabrera, the Officer in charge of the Unit of Access to Public Information within the Ministry of Interior, lead a session on “Information Technologies, E-government, Open Date and Access to Public Information”. Both cohorts directly contribute to Commitment 10, Milestone 3 of the 4th OGP NAP (see chart below).

There is interest from INAP to replicate the course to the other regions in the future. While INAP has limited Ms. Grace Cabrera presents the Law of Access to Public resources, even after the Project ends, they now have an Information updated curriculum that can be used for online and blended learning courses.

GoG Institutions Commitments Milestones Responsible *Target institutions in bold NAP Thematic Area: Local Governance Milestone 3: Implementation of a training Commitment 10: Strengthening of INAP in collaboration with program on open government, municipal tools and technical capacity of INFOM, ANAM, and management, municipal public services, local governments to implement GPAT generation of income, and other topics that mechanisms for Open aim to strengthen capacities of municipal Government, accountability, and officials to update, standardize, and monitor citizen participation, to improve municipal administrative instruments across public services 340 municipalities.

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Training on Legal and Ethical Foundations of the Execution and Control of State Resources Carrying over from Y3 of the Project, the Project co-hosted a training for the Financial Administration Units (UDAF) and Internal Audit Units (UDAI) within eight government ministries to build their capacity on procurement and State contracting. During Q2 and Q3, the Project team supported GPAT and the CGC with coordination and development of curriculum, and on July 29, 30, and 31 with the delivery of the training.

The workshop trained the over 70 participants, including 68 GoG officials (36 women), in updated content related the Legal and Ethical Foundations of the Execution and Representatives of government institutions Control of State Resources, in coordination with the participate in the Training Legal and Ethical Training Unit of the Office of the Comptroller General of Foundations of the Execution and Control of State Accounts (CGC). GPAT convened the workshop, which Resources. took place in the training room of the Guatemalan Chamber of Construction. The facilitators used a dyanmic course methodology and responded to questions from the participants, engaging their active participation. Additionally, three members of the Project’s staff participated in the course: the Grants Manager, the MEL Manager, and the Transparency and Accountability Senior Specialist.

Of greatest value to participants, they raised specific and direct questions related to procurement technicalities and received direct responses from the facilitators. These questions shed light upon their fears of possible sanctions, which can lead criminal complaints. As another resource, the training urged the UDAFs to make use of the "Users' Table" tool when facing any possible finding or inconsistency, as it provides three ways (online, via More than 70 officials participated in the workshop phone, and in-person) to address convened by GPAT and CGC. concerns or raise questions before any procurement.

With increased capacity to ensure transparenct procurement and contracting processes, the UDAFs and UDAIs from these eight ministries now that can more effectively manage the financial execution process; make recommendations to improve the quality of spending within the budget of each portfolio; and have more clarity and confidence when making decisions. The course directly contributed to Commitment Officials attending the 14, Milestone 11 of the 4th OGP NAP (see chart below). Additional information on the workshop received supporting material on the course’s content can be found in Annex B. topics discussed. GOG Institutions Commitments Milestones Responsible *Target institutions in bold Milestone 11: Conducting joint Commitment 14: Strengthening GPAT, in collaboration workshops with CGC, GPAT, Open mechanisms of transparency and with CGC, UDAF, UDAI Government, UDAFs, and UDAI, with anti-corruption that demonstrate officials, Secretaries, and the objective of generating and results at national and international others that want to implementing mechanisms to avoid and levels collaborate prevent findings, initially among the entities of the Executive Body.

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Objective 2: Improve the Capacity and Effectiveness of Targeted Civil Society Actors to Promote More Accountable, Open and Transparent Public Administration

In order to enhance civil society’s capacity to promote more accountable and transparent public administration, the Y4 workplan prioritized the following activities: 1) implementing a comprehensive Transparency and Institutional Strengthening Program for CSO organizations; 2) support to civil society through the award and implementation of subgrants, and 3) and through advocacy initiatives. Below is a description of the progress made and results achieved under this objective for the year.

Result 2.1: Enhanced Technical Capacity of Targeted CSOs to Effectively Advocate, and Oversee GoG Compliance with National and International Commitments related with Transparency, Public Accountability, Anti-Corruption and Open Government

Activity Area 2.1.a Provide Grants and Targeted Capacity Building to CSOs for Government Oversight, Advocacy and Implementation of Prioritized Commitments of the NAP

During Y4, the Project oversaw and facilitated the implementation of technical activities related to transparency, anti-corruption, and open government efforts in partnership with CSO partners via several rounds of subgrants:

Existing subgrants at the start of Year 4: Round 1 Subgrant: FUNDESA. Round 2 Subgrants: CODEFEM, CIIDH, and ICEFI Round 3 Subgrant: FUNDAL Limited Competition/Sole Source: FADS and DOSES

Year 4 New Subgrants: Guatemala Visible, GuateCívica, CEIDEPAZ, CIIDH, and FUNDESA

In addition, to contribute to realizing Objective 2, the Project launched the Transparency and Organizational Strengthening (TOS) Program, through which it provides building the capacity of CSOs in knowledge, management, and planning related to advocacy to increase the technical knowledge of their respective staff.

ROUND 1 SUBGRANT (RFA1)

FUNDESA: Improving procurement efficiency in public hospitals (January 5, 2017 to October 31, 2018)

On October 31, 2018, FUNDESA completed the technical implementation of its subgrant, which aimed to improve the procurement and inventory systems via the Suggested Purchasing Module (SPM) an application (app) for public hospitals in Guatemala. As such, the Project reported most of the activities implemented under this subgrant in reports prior to Y4. On October 23, FUNDESA publicly presented the results of its efforts under the subgrant. During the event, the Ministry of Public Health and the Ministry of Finance signed an MOU to use FUNDESA’s inventory application system in 38 additional (45 total) Guatemalan public hospitals.

FUNDESA achieved the following results under this subgrant: • Created an early warning tool to achieve greater efficiency and transparency in monitoring medicine inventory, the supply of surgical equipment, and the process to contract services, first piloted in the two largest hospitals in the municipality of Guatemala: San Juan de Dios and Roosevelt. • Building upon the successful partnership with FUNDESA, expanded the pilot project to five additional public hospitals in FY2018.

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• Developed a tool that determines, for each type of prescription medicine or surgical medical equipment, what to buy, when to buy, how much to buy, and reference prices to reduce corruption and inefficiency. • Revised and validated the purchasing codes for medicines and surgical medical equipment in collaboration with the pharmacy personnel of the San Juan de Dios Hospital. • Coordinated and came to agreement with the Ministry of Public Health’s Logistics Management Unit (UGL) and Health Information Systems (SIGSA) on developing and implementing the app. • Added codes to new supplies, mainly in surgical medical equipment, which was piloted at the San Juan de Dios Hospital.

The technological tool FUNDESA developed under the Project’s subgrant is serving as a sustainable mechanism to reduce corruption and inefficiency in Guatemala’s public health system and improve healthcare service delivery in the country. In July 2019, Participacion Civica provided an additional grant to support the expansion of the implementation of the SPM into all 45 public hospitals within the national network (see additional updates associated with this system under the subheading for 2019 subgrants cycle).

ROUND 2 SUBGRANTS (RFA2) The Project’s three Round 2 grantees, listed below, did not conduct technical activities during Year 4, as the technical implementation of their subgrants concluded in previous Project years. The Project thus supported these three CSOs through completing their remaining OD assessments and OD grants, which finalized in quarters 2 and 3 (please see Activity 2.2.a for additional details) and closed each grant by the end of Year 4.

• CODEFEM: Women exercising citizenship and promoting transparency at the local level • CIIDH: Participatory municipal budgeting with human rights and gender approach • ICEFI: Civil society as an agent for change to improve fiscal transparency in Guatemala

ROUND 3 SUBGRANTS (RFA 3)

FUNDAL: Improve public services and transparency for persons with disabilities (October 20, 2017 to July 2, 2019)

During Year 4, the Project supported the implementation of its subgrant awarded to FUNDAL under RFA 3. FUNDAL’s project aimed to support engaging persons with disabilities in the promotion of accountable governance and reduction of corruption. Relevant results of this subgrant include: 1) analysis of the state budget requests regarding public spending on disability issues; 2) raising awareness among civil society representatives in advocacy issues related to disability; and 3) building the capacity of journalists in disability terminology. Under this sub-grant, FUNDAL collaborated with the organizations under the National Network for People with Disabilities (RENADISGUA) to officially launch the Observatorio para el Cumplimiento de los Derechos de las Personas con Discapacidad (Observatory for the Enforcement of the Rights of Persons with Disabilities in November10), and subsequently worked to incorporate additional members for the duration of the subgrant. An additional seven organizations have joined the previous six members, affording additional areas of expertise to the Observatory, such as qualifications in advocacy, transparency, and budget analysis.

Under the subgrant, FUNDAL analyzed the government’s investment in disability issues, including assessing the budget of five government institutions, and published the findings in the Disability Spending Analysis Report. The evaluation concluded that people with disabilities are not a priority for the State, with total investment amounting to only 0.19% of the State’s general budget 2018. Additionally, the Observatory analyzed the role of the National Council for the Attention of Persons with Disabilities (CONADI) as head of the National

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Disability Policy, which only allocates 32% of its budget to substantive activities for the rights of persons with disabilities.

In November, FUNDAL, together with the Multisector Dialogue Roundtable, a subgroup of the Observatory dedicated to mainstreaming disability through political advocacy, presented results of the analysis with public institutions and key recommendations for the GOG, including: 1) public institutions must publicly share the budget allocated for the people with disabilities population; 2) the rights of persons with disabilities must be a priority for the Guatemalan State; 3) the National Disability Policy must be updated and provided with a specific budget for its implementation, monitoring, and evaluation; and 4) The GOG should incorporate indicators based on the FUNDAL launches the Observatory for the Enforcement of the Rights of Persons recommendations from August 2016 by the Committee of Experts with Disabilities on November 13 on Disability of the United Nations, international conventions and treaties on the subject, and experience of civil society organizations. The GOG should also install a National Information System on Disability for the monitoring and evaluation of actions for people with disabilities. In addition, RENADISGUA convened a press conference in January to share the report results, which 12 media outlets11 attended.

FUNDAL ended its grant on February 18, 2019. The grant strengthened a network of civil society actors working for the defense and fulfillment of the rights of persons with disabilities and the launch of an observatory to monitor public spending related to this issue, ultimately sharing of the findings with relevant GOG institutions, the public, and the media. Through the framework developed by FUNDAL’s grant, civil society actors now have the methodology (11 variables, 21 indicators) necessary to monitor the State’s commitments and budgetary spending relating to disability FUNDAL shared the results of the study issues. Moreover, through the press conference and events hosted by with public institutions the Observatory, the media has responded positively to covering disability issues through their platforms, so that these rights-based issues may gain greater visibility among the population in general.

YEAR 3-AWARDED SUBGRANTS (LIMITED COMPETITION/SOLE SOURCE)

FADS: Promotion of citizen participation to promote integrity and transparency in the election of the CGC (October 1, 2018 to July 5, 2019)

FADS’s project aimed to monitor the transparency processes associated with the selection of the new Comptroller General of Accounts (CGC). In coordination with the Movimiento Pro Justicia, FADS designed and presented the proposals regarding the selection process, scoring rubric, candidate profile, interview guide and rubric, and the associated work plan, and shared the proposals with Nomination Committee trade union representatives in early October.

11 The media sources included: Conadi, Prensa Libre, FGER, Emisoras Unidas, Vox Populi, Canal Antigua, Nuevo Mundo, La Noticia en Guatemala, El Periódico, TV Azteca, Noti 7, and Radio Sonora. Counterpart International – Participación Cívica Project Page 26 of 67 CA#: AID 520-LA-15-00001

In November and December, FADS and Movimiento Pro Justicia hosted three discussions and debates on the decisions of the Nomination Committee, including a session with civil society representatives, a public convening that included eight candidates for General Comptroller, and a session that involved ten candidates, two congressman, and members of the media. These hosted events promoted healthy debate on the technical aspects of the application process, such as the scoring instruments, the profiles of the candidates, and the election. Through the facilitated discussions, Movimiento Pro Justicia has promoted transparency and citizen participation by auditing the nomination process. The position of FADS and Movimiento Pro Justicia during the process served as a benchmark for analysis and information on the process for journalists, candidates, trade union leaders, analysts, and the public at-large.

While the Comptroller election continued throughout Q2, FADS, together with Pro-Justicia, carried out three trainings on how to monitor the nomination process for the Comptroller. On January 25, Pro-Justicia hosted a training for 27 representatives of civil society organizations on how to conduct a social audit on the Nomination Committees for the selection of different public positions this year. Monitoring the Nomination Committees incorporates creating awareness that allows the influencing of evaluation criteria, mechanisms, and quality of instruments that are used for the selection of candidates. The second training on February 23 was co-organized with the Association of Indigenous Attorneys Chomija' for 23 indigenous women lawyers, to inform its members about the Nomination FADS civil society workshop to discuss CGC Committees. The agenda included conversations on the selection process political context of the Nomination Committees, its technical components, its process, steps for citizen monitoring, and ethical considerations. In March, FADS conducted its final training on the Nomination Committees for 57 people, including 41 judges (20 men and 37 women) representing various jurisdictions of the Judicial Branch (criminal, administrative, civil, labor, among others). The training emphasized the lack of independence of the members of the Nomination Committee and how external actors interfere in their independence. Social oversight is extremely important to achieving transparency and denouncing the inconsistent mechanisms that often prevail in decision making.

DOSES: Open Government in Guatemala: Lessons learned and Best Practices (May 11, 2018 to November 11, 2018)

During Q1, the Open Government initiative in Guatemala resumed the co-creation process, in which DOSES, as an Independent Review Mechanism (IRM), participated as an observer. In addition, a third cycle of roundtables for the OGP NAP co-creation process was held, with 12 working groups meeting to discuss the 12 thematic areas proposed for the Fourth OGP NAP 2018-2020. For the first time, the OGP Point of Contact team created online spaces to allow citizen participation in the roundtables via Facebook Live, based on a recommendation from the Project considering feedback from regional consultations. DOSES thus observed these meetings via webcast. Following the sessions, DOSES provided recommendations to improve the digital access to these spaces, the audio and video quality, and the follow up on the comments of the digital participants. The IRM also tracked and monitored the meetings and their outcomes by reviewing the available and downloadable documents of each session, noting the concrete changes made to the commitments after each session.

In its role as IRM, DOSES delivered its final report on the 4th OGP NAP’s co-creation process in January. In a closed meeting with representatives of the Open Government Technical Roundtable, the organization presented the results of their report, “Best Practices and Lessons Learned of the Implementation of the Third Open

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Government Partnership National Action Plan (OGP NAP), and the Co-creation Process of the 4th OGP NAP.” The presentation focused on the methodology used for the analysis, its results, and the report’s use as a future tool for continuous improvement of the OGP initiative. The presentation also referred to the commitments of the 3rd OGP NAP and its relevance; the commitments of the 3rd OGP NAP and its difficulties; the rounds of the co-creation process; the successes and failures of the co-creation process; and good practices, lessons learned, conclusions, and recommendations. The Open Government Technical Point of Contact, thanked DOSES for the analysis and presentation, and for monitoring of the Third OGP NAP’s implementation and of the co-creation of the 4th OGP NAP. Likewise, he stated that GPAT would intend to put into practice the recommendations expressed in the report so that the 4th OGP NAP implementation process continuously looks for areas of improvement and remains in the hands of public institutions and civil society organizations.

YEAR 4-AWARDED SUBGRANTS (LIMITED COMPETITION/SOLE SOURCE) As stated in the Year 4 Work Plan, the Project aimed to provide new grants to a targeted group of 11-13 CSOs in Year 4 to advance advocacy initiatives related to transparency and open government, elections, and transparency as it relates to gender and social inclusion. Due to the freeze on FY2018 funds, the Project removed eight grants from its pipeline, leaving the Project with sufficient funding to award subgrants to five CSOs. The Project was also unable to focus on themes of GESI to the extent anticipated through the awarded CSO partners, as it is not their area of focus. However, through work with these local CSO partners, the Project contributed to its indicators and efforts to promote Guatemala’s journey to self-reliance.

Guatemala Visible: Elecciones Visibles App (March 7, 2019 to September 30, 2020)

On March 7, 2019, the Project signed a grant agreement with Guatemala Visible to monitor the General Elections through the development of a digital application. The app provided citizens and the Supreme Electoral Tribunal (Tribunal Supremo Electoral, TSE) with the ability to collect complaints, reports of possible misconduct, or irregular activities throughout the General Elections 2019 process (before and during the campaign, and on Election Day). This quarter, the grant provided a training for government officials to increase the capacity of the TSE to use the data generated by the application as initial evidence of electoral infractions or possible regulations violations by political actors (see more information below in section 2.3.b). The aim of the application is to improve transparency in the electoral process and to contribute to the fulfillment of Commitment 20 of the Fourth Open Government National Action Plan 2018-2020, on strengthening electoral transparency.

GuateCívica- Disseminate knowledge of the content of the Open Government Partnership (May 29, 2019 to September 26, 2020)

In May, the Project awarded a subgrant to Prosperiti GuateCívica Foundation, which aims to raise awareness of the importance of the Open Government Partnership in Guatemala, with a gender and social inclusion approach, and disseminate communications materials both via training workshops and on social networks such as Facebook, Twitter, and Instagram. Within the context of Milestone 13 of Commitment 14 in the Fourth OGP NAP,12 GuateCívica has continued this process of citizen engagement in four of the six departments

12 Commitment 14: Strengthening transparency and anti-corruption mechanisms that demonstrate results at the national and international levels. Milestone 13: Dissemination and feedback to the citizens about the 4th National Action Plan of Open Government Guatemala 2018-2020 in the 6 departments that hosted the citizen consultation forums; and will also be socialized at the national level in compliance with the standards of the Open Government Partnership. Counterpart International – Participación Cívica Project Page 28 of 67 CA#: AID 520-LA-15-00001

(Guatemala, Sacatepéquez, Quetzaltenango and Zacapa), selected due to the presence of GuateCívica’s existing networks. Four training workshops took place during the month of July, in the departments of Guatemala, Zacapa, Quetzaltenango, and Sacatepéquez (see more information in section 2.3.a).

GuateCívica’s efforts under this subaward have contributed to addressing this gap in citizens’ knowledge by implementing a combination of in-person trainings and digital dissemination strategies to raise awareness of the Open Government Partnership, the Fourth National Action Plan, and basic principles of open government.

CIIDH- Social Auditing and Participation in the Implementation of the Fourth Open Government National Action Plan 2018-2020 (May 31, 2019 to February 15, 2020)

The Project and CIIDH signed a new subgrant agreement on May 30, 2019, the second grant the Project awarded CIIDH. Under this second subgrant, CIIDH has promoted the social auditing of and participation in the implementation process of select milestones and commitments of the 4th OGP NAP related to the themes of: Education; Health, Food and Nutritional Security; Fiscal Transparency, Procurement and Public Contracts. These mechanisms will serve as part of the social auditing carried out by CSOs that participate in the MTGA. This will serve to develop recommendations for government institutions to influence the implementation of strategies and work plans designed in the selected Commitments 4, 18, 19, and 23.

During Q4, the Project provided technical and MEL guidance for CIIDH’s design of the monitoring methodology for implementation of the 4th OGP NAP, specifically the following milestones: Milestone 4 of Commitment 4 related to Education; Milestone 4 of Commitment 16 related to Social Protection and Inclusion; Milestone 5 of Commitment 18 and Milestone 8 of Commitment 19 related to Health, Food, and Nutritional Security Axis; and Milestones 1 and 2 of Commitment 23 related to Fiscal Transparency, Purchasing, and Contracting of the State.

By the end of the quarter, CIIDH had prepared and presented two bulletins (the publication of the second bulletin is pending in early Year 5) as an advocacy mechanism to strengthen the role of civil society in the Open Government initiative in Guatemala. The two bulletins have been presented at the Open Government Technical Roundtables (MTGA) and have been shared across the social networks of the organization. In the following months, the bulletins they will be socialized with other civil society organizations, which are not formally part of the initiative in order to encourage new organizations to participate and to obtain feedback from the bulletin.

The first bulletin, published in August 2019, included a description of the CIIDH OGP NAP monitoring methodology and the criteria under which the institutions responsible for the implementation and compliance with the milestones would be evaluated. As part of the methodology, CIIDH made the newsletter public at the MTGA and asked the responsible public institutions to allow CIIDH to participate in bilateral meetings for a first-hand and more qualitative collection of information from them to support CIIDH’s monitoring efforts.

During the quarter, for preparation for the second bulletin, CIIDH researched the advances and findings of two months of monitoring (August-September) of the milestones to the Open Government Roundtable, incorporating the rich information gleaned from bilateral meetings with government institutions. The results will be published in a second bulletin early in Year 5. Through a collaborative relationships, CIIDH established bilateral meetings with the following four government institutions to monitor progress of milestones: Ministry of Education, MSPAS, SESAN, and MINFIN. Among the main Coordinator of CIIDH, shares updates on the social Audit findings, the Secretariat of Food and Nutrition Security (SESAN) during both sessions of the MTGA in Q4.

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stood out because of the appointment of an internal technical team responsible for the follow up of milestones that correspond to SESAN. Likewise, this technical team developed an internal mechanism to monitor progress, serving as a good practice that the CIIDH team highlighted in Bulletin 2 and in its presentation during the Technical Roundtable. Likewise, this technical team developed an internal mechanism to monitor progress, a good practice that the CIIDH commended in Bulletin No.2 and during its presentation at the MTGA.

CIIDH presented the first findings from its social audit of the 4th OGP NAP to the Open Government Technical Roundtable on July 25. Through this presentation, CIIDH aimed to raise awareness an alternative and independent audit tool among the members of the MTGA, to be used for monitoring and compliance of the NAP, engaging CSOs organizations more direclty in social auditing and advocacy within the MTGA. This presentation is the first of a series of presentations to promote advocacy by and active participation of civil society organizations vis-à-vis the public institutions responsible for fulfilling the commitments within the 4th OGP NAP, in collaboration with the Point of Contact for the Open Government Partnership.

Some public institutions expressed their willingness to work hand-in-hand with CIIDH to provide inputs to facilitate the social audit of the milestones. The Point of Contact also expressed his interest in the potential effectiveness of the tool and proposed the possibility of replicating this audit tool to the MTGA.

During the September 25th MTGA session, CIIDH representatives also presented on the monitoring of the milestones. This presentation was much richer in content and quality than the previous presentation at the Technical Roundtable, allowing participants to better understand the methodology used, the results achieved, and the levels of progress that the CIIDH has determined for each monitored milestone.

Related to the USAID Journey to Self-reliance, CIIDH’s audit of the 4th OGP NAP will offer findings that CSOs can use as they participate in the OGP Technical Roundtable, demonstrating government institution’s compliance with the commitments and holding them accountable. This grant directly contributes to the following self-reliance indicators: Open Government and Accountability, Government Effectiveness, and Effectiveness of Civil Society & Media.

CEIDEPAZ: To support the review and updating process of the Social Development and Population Policy (June 3, 2019 to January 31, 2020)

In June, the Project signed a new subgrant agreement with the Center for Studies and Investigations for Development and Peace (Centro de Estudios e Investigaciones para el Desarrollo y la Paz, CEIDEPAZ) Under this subaward, CEIDEPAZ has supported the process to review and update of the Social Development and Population Policy (SDPP) related to Commitment 16 within the Protection and Social Inclusion thematic area of the 4th OGP NAP. The Policy, in place since April 2002, currently has outdated content and goals that are no longer consistent with the country’s context. This Policy should serve vulnerable populations such as children, adolescents, youth, indigenous people, women, people with disabilities, LGBTQI, and people in situations of poverty and extreme poverty, while adequately addressing transparency, access to public information, accountability, and citizen participation. As such, it is necessary to carry out a participatory review process for the Policy, in accordance with Article 19 of the current Social Development Law.13 Through this process, CEIDEPAZ collaborated directly with the MIDES and the SEGEPLAN to support the implementation of the Commitment and five of its seven associated Milestones, creating a space in which civil society organizations can engage with the public sector to develop a more inclusive Social Development and Population Policy.

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During Q4, CEIDEPAZ held a series of technical meetings to conduct an analysis to inform the update of SPD Policy. On September 9 and 10th, CEIDEPAZ participated in meetings with the Ministry of Social Development (MIDES) to share the contributions and inputs of civil society for the review and update of the Social Development and Population Policy, as part of their grant with the Project. Participants in the meeting included: Vice Minister of Policy, Planning and Evaluation; Director of Public Information; Director of CEIDEPAZ; and Head of the Public Information Unit. During the meeting, CEIDEPAZ succeeded in coming to agreement with MIDES on a schedule and the terms of co-creation to finalize the contributions by civil society for the revisions of the Policy starting in January 2020 and finalizing the MIDES Vice-Minister and Director of CEIDEPAZ revised in September 2020. The rescheduling of the discuss next steps for the revision of the Social updating of the Social Development and Population Policy Development and Population Policy has been linked to the political transition process for the new government.

Committed to USAID’s Journey to Self-reliance approach, the Project analyzed the objectives and activities of the grant awarded to CEIDEPAZ to identify links with the self-reliance indicators, and the mitigation of migration. The SDPP consists of the following components: health, education, disaster risk, social communication, and the final component specifically addresses the root causes of migration, titled “employment and migration.” The follow-up conducted by CEIDEPAZ throughout the process to update the SDPP not only built the organization’s own capacity but also contributed to three of the Journey to Self-Reliance’s indicators: Open Government and Accountability, Inclusive Development, and Government Effectiveness.

FUNDESA: Implementation of the Suggested Purchasing Module in four National Hospitals (July 3, 2019 to January 31, 2020)

The Fundación para el Desarrollo de Guatemala (FUNDESA) signed a grant with the Project on July 3 to work for a seven-month period to support Phase II of the “Implementation of the Suggested Purchasing Module (SPM)” project that will cover four hospitals in Coban, Escuintla, Quetzaltenango, and Zacapa. The SPM is a software application used to improve the management and inventory of medical supplies and equipment. In the past two years, this application has been successfully implemented in seven public hospitals, enabling them to more efficiently and transparently manage the hospitals’ medical inventory, reducing waste by improving procedures for procurement of medical supplies and pharmaceuticals based on expiration dates, purchasing timelines, current inventory, and anticipated supply need. As a result, FUNDESA contributed to savings of over GTQ 160 million (US $20 million) of the national budget allocated to the procurement of medicines and medical equipment.

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Based on the success of the implementation of the tool across seven hospitals, in October 2018, MINFIN, MSPAS, and FUNDESA signed an agreement extending the partnership through 2020. In addition, Article 26 of the National Budget Law for 2019 mandates the implementation of the SPM tool throughout all public health network hospitals.

As such, through this new grant, FUNDESA seeks to further support the institutionalization of SPM in four hospitals in Coban, Escuintla, Quetzaltenango, and Zacapa, to improve transparency and efficiency in the use of public resources to improve health services for Guatemalans. The main goal of the grant is to develop the capacity of staff responsible for inventory management and procurement of medicines in the four additional national hospitals through the SPM. At the end of the training program to use the SPM tool, the Participación Cívica – COP, and, FUNDESA, participating hospitals will be certified by FUNDESA as proficient signed the agreement. users of the tool.

“This module allows hospital administration to have better management and control of their inventories, which allows them to have an adequate supply of medicines and supplies to provide good care to patients, "said the representative of FUNDESA and Coordinator of the project. As part of this grant, and making a good use of the funds available, “The ultimate goal is to strengthen the FUNDESA plans to expand the assistance to the hospitals within capabilities of officials and technicians in border areas, since "it is necessary that these assistance centers can charge of the control of supplies, so they better serve the Guatemalan people so that they do not they feel the know how to handle all the information need to seek medical attention outside the country," the Project’s they may have at hand.” COP. FUNDESA A list of the trainings can be found in the table below:

Training Date Participating Hospitals Participants Trained

July 19, 2019 Hospital Nacional de Quetzaltenango, Hospital Nacional de Escuintla, Hospital Nacional de Cobán; Hospital Nacional de Zacapa; Hospital Nacional Rodolfo Robles; Hospital Infantil de infectología y rehabilitación; Hospital Nacional San Vicente; 48 Hospital de Salud Mental Dr. Federico Mora; Hospital de Amatitlán; Hospital Nacional de Especialización de Villa Nueva; Hospital de Chimaltenango; and Hospital Nacional de Ortopedia y Rehabilitación; July 26, 2019

August 8, 2019 Quiché, San Marcos, Coatepeque, Huehuetenango, and La Tinta 42 August 9, 2019 Chiquimula, Sololá, El Progreso; and Mazatenango 27 September 9, 2019 Joyabaj, Fray Bartolomé de las Casas, San Benito, San Pedro 25 Necta; and Totonicapán. September 10, 2019 Uspantán, Poptún, Melchor de Mencos, Fray Bartolomé de la 25 Cruz; and Tiquisate.

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TOTAL 167

On July 19 and 26, FUNDESA trained staff from 12 hospitals on the use of a new platform, the “Suggested Purchasing Module” (SPM). FUNDESA held the workshops in the Ministry of Finance and trained staff on the SPM user manual, carrying out practical exercises and a post-test to certify each of the participants. Participants included those from senior management, the budgeting office, pharmacy, procurement, IT, and planning units.

On August 8 and 9th, officers from the Procurement Units of eight hospitals in Guatemala attended a training workshop held by FUNDESA on the SPM. FUNDESA held the workshop in the Ministry of Finance to train officers from hospitals in San Marcos, Huehuetenango, Quiché, Sololá, Mazatenango, Coatepeque, El Progreso, Chiquimula, La Tinta, Alta Verapaz, and Jutiapa. Participating personnel included those from the pharmacy, procurement, financial/administration, and warehouse units.

The workshop participants shared that the use of the SPM enabled the standardization of inventory codes, inputs, processes, and values across fields. This uniformity allows for the output of monthly consumption averages, allowing staff to verify the status of the inventory and the Hospital staff in San Marcos, Huehuetenango, necessary timeframes for purchases. The SPM has helped hospital staff Quiché, Sololá, Mazatenango, Coatepeque, El to use a series of indicators to evaluate the existence of medicines, Progreso, Chiquimula, La Tinta, Alta Verapaz; and generate alerts regarding purchase levels, verify that the purchase has Jutiapa participated in a SPM training. been accelerated, and verify its availability in other hospitals in case of shortage, allowing the Logistics Management Unit to ensure adequate supplies.

In speaking of the SPM’s sustainability, Coordinator of the Logistics Management Unit for Medicines, stated that a Ministerial Agreement within the MSPAS mandates its use by hospitals. Additionally, the Comptroller General of Accounts and the internal audit of the MSPAS review the mechanisms, such as those in the SPM, that users must follow to make purchases.

The cordinator belives that the Logistics Management Unit of Medicines now has the capacity to carry out SPM training for hospital staff in the future: “Yes, together with the Hospital Management engineers, we have the capacity to do so. Coordination now exists between the IT Department (Health Management Information System, SIGSA), which is responsible for maintaining, modifying, or generating new computer fields and our technical team that provides the pharmaceutical analysis Coordinator of the Logistics Management Unit of medicines and defines the administration, implementation, and for Medicines shares her impressions with Raul procurement of the inventories through the SPM. ” Bolaños, from Participación Cívica.

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FUNDESA held its fifth and sixth training sessions on September 9 and 10 with officials from an additional five hospitals on the Suggested Purchasing Module. Representatives of the hospitals in Joyabaj, El Quiché; San Pedro Necta, Huehuetenango; National Hospital in Totonicapán; San Benito, Petén; and Fray Bartolomé, in Alta Verapaz attended the session held in the Ministry of Finance.

The sessions aimed to train the 45 participants as users of the Manual of the Suggested Purchasing Module (SPM), carrying out practical exercises for its use and Representatives of hospitals increased their a post-exercise knowledge test used to certify each of knowledge of the use of the SPM. the participants within the pharmacy, purchasing, financial, and warehouse administrative units. The Ministry of Health (MSPAS) staff in charge of the Logistics Management Unit of Medicines also participated, allowing them to verify that the hospital personnel have the necessary skills to operate the system. Additional information on the courses’ content can be found in Annex C.

By the end of Q4, 31 out of 45 public hospitals have been trained. By the end of October, all hospitals will have been trained and visits to hospitals will continue to reinforce the correct use of SPM. FUNDESA has prioritized the training of hospitals along the border, focusing on improved health services in areas with high rates of migration, hoping to help prevent people from migrating due to the search for better medicine or medical care.

Beyond its grant, FUNDESA also held an event for the “Nútreme” Initiative on September 12, formerly known as the Alianza por la Nutrición, as an effort to educate all society on malnutrition in Guatemala. The Coordinator of Nútreme, had previously been a beneficiary of the Project’s Transparency and Organizational Strengthening Program, “we really appreciated the opportunity to attend the Program’s workshops, since they helped us to finalize the last touches to our initiative.” ., “we really appreciated the opportunity to attend the Program’s workshops, since they helped us to finalize the last touches to our initiative.” Members of the Cabinet of the incoming Government also attended the presentation, publicly committing to include the new initiative within their First Level Health Care strategy.

TRANSPARENCY AND ORGANIZATIONAL STRENGTHENING PROGRAM

On May 13, the Project launched the Transparency and Organizational Strengthening (TOS) Program as a modified organizational development capacity building approach for local CSOs. The invitation reached more than 60 civil society organizations based in Guatemala City, and 36 subsequently registered. The majority of the organizations did not have an existing relationship with the Project, which allowed for the Project to extend the scope of its influence with local CSOs.

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Transparency and Advocacy Module For the first module, the Project prioritized building the capacity of CSOs in knowledge, management, and planning related to advocacy to increase the technical knowledge of the organization’s staff. To that end, the Project engaged the WomenLead Institute (WLI), a member of the Counterpart network, to leverage their knowledge and experience in the implementation of dynamic transparency and advocacy workshops, in addition to the organizational development modules included in the TOS Program (more information in section 2.2.a). WLI leads an interactive session on advocacy with CSO representatives. In May, the Project conducted the first TOS module, “Transparency and Communications for Advocacy,” which involved a five-day workshop facilitated by a Communication for Advocacy expert from WLI’s network in Bolivia. A total of 61 staff members from 31 CSOs participated over the course of the two weeks (25 and 36 participants, respectively) participated. Of these 61 participants (44 women, 17 men), 46 people (36 women, 10 men) completed all requirements to be credited with the completion of the module. As a result of participation in the module, CSOs improved their knowledge of Communications for Advocacy by an average of 15%, increasing their average score from 70.43% to 81.17 percent from the module’s pre-test to the post-test. The topics addressed in the workshop included Transparency within the Open Government Partnership; Law on Access to Public Information; advocacy (introduction, the process, and definition of an issue, goal, and advocacy objective); analysis and definition of audiences; impact on the media; advocacy and communications tactics; and M&E for advocacy.

25 CSO representatives participated in the first 36 CSO representatives participated in the Transparency and Communications for Advocacy session. second cohort the following week.

CSO representatives also identified important areas for advocacy to develop their sample advocacy plans, including: 1) municipalities should implement standard tools to validate their data systematically as a mechanism of accountability; 2) the Ministry of Education should train 50% of the educational community around issues of physical disabilities and adapt ramps to provide access and establish adequate parking, tactile guides, and adequate bathrooms in schools through December 2020; 3) the National Education Council and the Ministry of Education should incorporate civic education within the Basic National Curriculum; 4) the Municipal Council of Petén should commit to fighting the effects of climate change by promoting the reforestation of the Mayan biosphere; and 4) Congress should approve the Solid Waste Management Law. Counterpart International – Participación Cívica Project Page 35 of 67 CA#: AID 520-LA-15-00001

Activity Area 2.1.b Provide Technical and Logistical Support to Strengthen the Effectiveness and Sustainability of the Open Government Roundtables CSO Roundtable During Y4, the Project completed activities described under Activity Area 2.1.b in the Year 4 Work Plan, including providing technical and logistical support to the CSO Roundtable, facilitating the Roundtable’s relationship with OGP International, and supporting CSOs’ advocacy towards the newly-elected government regarding the importance of GPAT.

Although the Executive Branch’s actions against CICIG deepened tension between the government and civil society, the CSO Roundtable continued engaging the GOG in the OGP initiative and the co-creation of the Fourth OGP NAP14 specifically. As such, the Project convened several meetings of the CSO Roundtable throughout Year 4. These meetings provided a neutral space for the organizations to come together and strategize on the future of their participation with the OGP Initiative. As a result of the first meeting held on October 17, the organizations resolved that they would complete the following tasks with the Project’s support: • Hold monthly coordination meetings; • Develop an internal and external communications strategy to raise awareness about the work that CSOs are doing on Open Government; • Create an ongoing database of organizations participating in, and interested in participating in, the OGP Initiative; • Develop a work plan for their own participation in OGP to conduct oversight of the implementation of the 4th OGP NAP; • Resume the discussion about the OGP governance mechanisms, drawing from some of the progress made in late 2017 and early 2018.

The Project brought the organizations together for subsequent meetings on November 5th and December 10th. In November, the session incorporated the first videoconference with Ms. Emilene Martínez, OGP International’s Regional Civil Society Coordinator for Latin America. Responding to the Roundtable’s queries, Ms. Martinez explained the implementation of the Rapid Response Mechanism created in August 2018 and shared resources with additional information.15 She also offered to connect the CSO Roundtable to her contacts in Chile and Colombia and to share additional OGP resources, including the OGP International newsletter about scholarship opportunities, activities, and online workshops.16 During the December 10th meeting, the Project moderated a discussion on the next steps for implementing the 4th OGP NAP and the necessary actions from the CSOs. The conversation focused on the change to GPAT leadership and the OGP POC, with the representatives agreeing to collectively send a letter on the status of OGP in Guatemala and request a meeting with the new GPAT Executive Director. However, the new OGP POC invited all CSO representatives to a Technical Committee Meeting on December 19, 2018, before they sent the letter. The key CSO representatives were thus able to share their recommendations and concerns in-person. During the February CSO Roundtable meeting, the CSOs expressed appreciation for the technical and financial support received from the Project. Most of the conversation focused on the need to further strengthen the governance mechanisms and conceptual frameworks of the Open Government Partnership. The participants

14 CEIDEPAZ, CIG, CIIDH, Empresarios por la Educación, Guate Civica, and WDN 15 https://www.opengovpartnership.org/about/rapid-response-mechanism 16 https://dgroups.org/hivos/ogp/join

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agreed to continue convening these meetings, as a way for them to better collaborate and raise the voice of civil society within the MTGA. The next meeting will be held in Q3 to follow-up on the points above.

In April, to strengthen civil society participation in the OGP Technical Roundtable (MTGA), the Project facilitated a meeting with CSOs17 participating in the MGTA to discuss ways to become a more unified body and have a stronger approach on decision-making. As a first step towards a more unified approach, the CSOs selected priority OGP NAP commitments to monitor:

Implementation of integrated programs in support of school attendance and of tools that 1. Commitment 4 allow the educational community to provide follow-up at the local level. Strengthening of interinstitutional coordination and promotion of transparency and 2. Commitment 6 citizen participation in the security sector. Promotion and dissemination of progress on the implementation of the 3. Commitment 12 Competitiveness Policy and the Gainful Employment Policy. Strengthening of transparency and anti-corruption mechanisms that demonstrate results 4. Commitment 14 at the national and international levels 5. Commitment 16 Participatory update to Social Development and Population Policy Institutional strengthening of 425 health posts located in municipalities prioritized by the National Strategy for the Prevention of Chronic Malnutrition (ENPDC) of the 6. Commitment 18 departments of Quiché, San Marcos, Huehuetenango, Chiquimula, Totonicapán, Sololá, and Alta Verapaz. Strengthening of interinstitutional coordination and information on Food and Nutritional 7. Commitment 19 Security. 8. Commitment 20 Strengthening transparency in the electoral process. 9. Commitment 23 Actions to advance the presentation and availability of budgetary information. The group also established some key priorities to guide their work, including a focus on advocacy efforts, monitoring OGP NAP commitments, promoting access to public information, enabling the sustainability of OGP, and the defense of human rights. They also agreed to improve communications within the group, to facilitate a more coordinated approach to engage the OGP.

To reaffirm their commitment to actively participating in OGP initiatives and monitoring OGP NAP implementation, the CSO met with the GPAT leadership in May. The CSOs sought to establish clearer communication channels with GPAT that would increase the visibility of their support for OGP efforts in Guatemala. In addition, the CSOs asked that GPAT refresh its CSO database to more accurately reflect the organizations actively participating in the monitoring and implementation of OGP activities. The CSO Roundtable requests a meeting with GPAT on May The CSOs also expressed their concern that the th Independent Reporting Mechanism remains absent 15 to reconfirm the will of civil society to actively participation in Open Government. from OGP activities.

17 The CSOs that participated in the April 8th meeting include: CEIDEPAZ, CIIDH, Cámara de Industria, CODEFEM, FUNDESA, and Jóvenes contra la Violencia. Counterpart International – Participación Cívica Project Page 37 of 67 CA#: AID 520-LA-15-00001

On September 9th, the participating organizations in the CSO Roundtable convened at the office of Fe y Alegria. During the meeting, the CSOs held a videoconference with a representative from OGP International, to provide an update on current topics of interest to the MTGA in Guatemala.

Main objectives from the call included: • To establish a more fluid communication channel; • To identify a support mechanism for the co-creation of the 5th OGP NAP; and • To clarify the way to make changes to the 4th OGP NAP, proposed by the GPAT, if possible.

During the meeting, the participants established that at least one regular meeting would be held every month, pending extenuating circumstances. informed the group that OGP International handles requests for changes or modifications of an OGP NAP by placing them on the official website, without discussing the content. There is an understanding that each country proposing a change should do so through its own internal process.

Finally, while the co-creation process is anticipated in 2020 for the co-creation of the 5th OGP NAP, the CSO Roundtable shared with OGP International that they greatly await the approval of the Manual of Participation and Governance Mechanisms for the Open Government Partnership in Guatemala in Year 5, to help guide the process. OGP International recommends that, before starting to discuss co- creation, the political scenario in Guatemala should also be analyzed to determine if there is political will CSOs representatives talk with representative of OGP under the new authorities to continue supporting the International. Open Government initiative in Guatemala. Result 2.2: Improved Organizational Capacity of Targeted CSOs Contributing to the Promotion of More Accountable, Open and Transparent Public Institutions

Activity Area 2.2.a Support Grantees to Implement the OD Cycle and Provide Technical Assistance and Training for Organizational Strengthening As stated in the Year 4 Work Plan, the Project aimed to focus organizational development support provided during FY19 through a comprehensive approach that streamlines OD and reaches more CSOs through joint learning activities. Below are details of the successes CSOs achieved through implementing their Capacity Building Action Plans (CBAPs) and the Project-imparted technical support to further strengthen the organizational capacity of its civil society partners.

Traditional Counterpart Organizational Development Method

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Cámara de Industria (CIG) In Q1, the Project’s OD Specialist and the CIG team completed the organization’s OD assessment using Counterpart’s updated methodology. To that end, the Project trained two CIG staff members who then served as internal co-facilitators during the assessment. These individuals now also have the knowledge and skills to carry out future assessments. The assessment results showed CIG attained a 4.1 percent increase in the overall score compared with the initial assessment completed in August 2017, with the greatest improvement in the Human and Material Resources area. Based on the assessment results, CIG finalized its resulting CBAP. The organization used its internal funds to implement their CBAP; however, based on a previous CIG presents results of OD assessment commitment to support CIG’s CBAP implementation, the Project provided an expert consultant for improving a prioritized Pillar as identified in the OD assessment.

CIIDH CIIDH completed implementing its first CBAP during Q2 of Year 4, including finalizing the following institutional products: • Revised Strategic Plan: CIIDH revised its Strategic Plan, as it had not been updated in 10 years. The plan contains a Financial Sustainability Strategy and a Business Plan, which takes into account the need to diversify funding channels due to the reduction of donor funds. As such, CIIDH aims to improve not only its management processes, but also to establish an internal unit responsible for implementing this newly developed Financial Sustainability Strategy. • Communications Strategy and Plan: CIIDH’s Communications Strategy and Plan contains guidelines and communication techniques to heighten CIIDH’s profile and promote its recognition as a thought leader in the defense of human rights among partners in international cooperation, academia, and within public institutions, that is, the target group CIIDH seeks to influence through its communication strategy. This plan also includes tools to implement the communications strategy, as well as a thought-out design and link between its social media networks and its website. Notably, this Communications Plan aligns with the institution’s 2018-2023 Strategic Plan, developed and reported on during FY3. • Monitoring and Evaluation Plan and Toolkit: The monitoring and evaluation plan stands as a fundamental tool for the monitoring and evaluation process of CIIDH’s Comprehensive Strategic Plan, and the toolkit provides a framework for the measurement of the indicators established in the Strategic Plan. • Formulation of the new CBAP 2019: The Project’s Organizational Development Specialist provided technical support to develop CIIDH’s new CBAP, designed using the results obtained in the organizational development assessment conducted during Q1. The Project did not financially support CIIDH to implement its CBAP; however, CIIDH continued to benefit from the Project’s continued technical assistance through its participation in the Transparency and Organizational Strengthening Program.

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In addition, CIIDH produced several other under the CBAP, such as: a) Manual of Rules and Administrative Procedures; b) Human Resources Manual, which includes a gender and social inclusion policy; c) Code of Ethics and Institutional Conduct, including the principles and institutional values; d) Update of the CIIDH Statutes, e) Institutional security rules and procedures; and f) Historical Reference Document, which presents the history of the foundation, origins and founders of CIIDH.

CIIDH now demonstrates improved internal management processes, such as the convening of the General Assembly of the members of their network at least once a year and a meeting of the Board of Directors twice a year. CIIDH has also implemented an ongoing analysis of its institutional strengths, The Organizational Development Specialist leads CIIDH staff in a discussion of lessons learned from weaknesses, opportunities and threats, in addition to the the CBAP implementation process updating of the software to track furniture and equipment.

DOSES DOSES completed implementation of its CBAP in Q2, including the design of a new logo and a website redesign with updated information, which serves as an effective communication tool to its users and followers. With the implementation of the CBAP, DOSES has updated its manuals, analyzed their effectiveness and clarity, and internally approved the revisions as part of a process that will continue periodically going forward. In addition, the organization has developed internal templates to capture a detailed record of information and improve internal reporting and communications.

ICEFI ICEFI conducted the follow-up OD assessment and completed implementation of its FY18 CBAP in Q1. The assessment showed an 8.82 percent increase in the total score compared to the August 2017 evaluation, with the organization demonstrating an advanced level of completion of policies and comprehension of those policies in practice across as a result of the Project’s OD assistance. In addition, ICEFI completed implementing its CBAP for the FY18 cycle, carrying out activities that have strengthened the institutional internally and contributed to its sustainability, such as: Participación Cívica OD Specialist coached ICEFI representatives on updated OD methodology • Educational Platform (Edex): ICEFI completed the design of its Educational Platform to offer virtual courses geared toward the average citizen and to provide introductory level information and knowledge about fiscal policy and related issues. • Internal communication through an "Intranet": ICEFI carried out activities that contributed to the strengthening of internal communication, including the creation of an Intranet. With this tool, the ICEFI team now has access to first-hand information about the team’s various workstreams, as well as access to information about research, events, and human resource documents, such as manuals and policies, which has facilitated staff’s access to these important internal resources.

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• Opening of virtual offices: The opening of virtual offices in Honduras and El Salvador through an online platform has allowed for a greater ICEFI presence in those countries, particularly in El Salvador, which creates more opportunities to interact with donors, public authorities, and civil society organizations. • Communications team: ICEFI bought communications equipment identified through the CBAP process that has allowed the organization to have more modern and relevant equipment to streamline the work of their staff. The new equipment allows the capture of videos, photographs, and higher quality materials, which contribute to more compelling and effective advocacy as part of their overall Communications Strategy targeted to reach their partners and wider network.

Due to its participation in the Project’s OD process, ICEFI now has both more efficient institutional practices and ICEFI developed organizational values, and an processes and activities supporting the diversification of its associated poster to display them, as part of the Communications Strategy within the CBAP financial resources and thus its sustainability.

CODEFEM At the conclusion of the OD cycle in Year 4, CODEFEM demonstrated improved organizational practices, such as aligning its work with the objectives of its Board of Directors, in addition providing more open spaces for participation of new staff, especially indigenous women. The organization also has updated its institutional strategic plan for the period 2019-2021, developed a stronger internal legal structure with updated organizational statutes, and has a leadership plan in place. The second Organizational Development Diagnosis, based on the initial OD methodology, demonstrated CODEFEM’s advanced level of understanding of its practices and policies, increasing their overall score by a 38.43% over the initial evaluation from August 2017. All areas within the CBAP showed significant increases, including the following CODEFEM staff conduct their organization’s key results: OD final self-assessment. • Leadership Plan created; • Increase in both the use and documentation of the organization’s policies; • Financial Sustainability Strategy created; and • Updated Communications Strategy.

The Project also transferred specific tools to CODEFEM’s management, such as the OD self-assessment tool and the CBAP format, to be implemented by the institution's own staff in the future, which will contribute to the strength of the ongoing advocacy of the organization. CODEFEM concluded the OD cycle and completed the implementation of its Capacity Building Action Plan (CBAP). Throughout this process, the Project aimed to impart best practices and policies of OD to the organization, contributing to more effective leadership related to the defense of women's rights in Guatemala, as well as institutional strengthening oriented toward their sustained advocacy interventions, often geared toward the formulation of proposals for laws that promote policies in favor of Guatemalan women.

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FMM While the Project planned to work with FMM on its new CBAP in Q1 of Year 4, the organization prioritized its efforts to conduct oversight and monitoring activities amidst the charged political climate. Although this activity with FMM did not proceed as planned, the Project invited the organization to participate in the Transparency and Organizational Strengthening Program, as described below.

ASIES The Project followed up with ASIES in early Year 4 to continue its OD engagement. The organization responded that, following the results of the second assessment conducted in late Year 3, ASIES would conduct its OD activities internally this year, stating “the support and guidance provided by Participación Cívica contributed to the development of tools to standardize information and decision making within the institution." The fact that ASIES will continue to invest in its own OD efforts after the close of the Project is a success, particularly given the challenges the team faced to obtain ASIES’s buy-in into the OD process and methodology.

FUNDESA FUNDESA decided to continue to develop the prioritized Pillars in the previous CBAP using its own funds and opted not to develop a new CBAP with the Project, especially as future OD grants will not be provided. While the Project did not work with FUNDESA on a new CBAP nor OD grant, FUNDESA was invited to participate in future OD trainings.

Transparency and Organizational Strengthening Program - Organizational Development Modules As the second component of the Transparency and Organizational Strengthening Program, the Project hosted four OD modules, developed under the Counterpart OD methodology, in coordination with WLI. The Project brought in an expert in Organizational Development, Gender Equality, and Community Relations from Peru, to facilitate the four modules over a two-week time period, while the Director of WLI provided on-hand technical assistance and quality control during the trainings.

The objective of the OD component of the TOS Program focused on strengthening the organizational capacity of CSOs in order to strengthen the effectiveness of their actions and ensure the sustainability of their work related to citizen participation, advocacy, transparency, and accountability. The OD modules were held from May 27 to June 6 in four separate sessions, all hosted at Casa Ariana in Guatemala City. As a result of participation in the four OD modules, CSOs improved their knowledge of the organizational development topics by an average of 88% overall across the modules, increasing their average score in each module from the pre-tests to the post- tests.

The Project completed the adaptation and translation (English to Spanish) of the WLI materials and facilitator guides related to the four OD sessions selected based on a Q2 rapid diagnostic among the CSOs: Financial Sustainability, Project and Program Management, Human and Material Resources, and Communications and External Relations. All organizations were mandated to participate in the Financial Sustainability module, and then were encouraged to participate in one of the three remaining modules (described below), dependent upon the results of their Rapid Assessment and the analysis and recommendation of the Project team.

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Financial Sustainability: All CSOs participating in the Program attended this mandatory two-day module from May 27-28, located in two separate conference spaces simultaneously, to accommodate all CSOs. A total of 46 participants (31 women, 15 men) attended this module, with a total of 37 (24 women, 13 men) completing the workshop with all necessary requirements. After this workshop, the CSO participants now have the ability to map potential funding sources, create tools to manage the proposal development process, identify potential income generation opportunities for their organization, and envision a financially sustainable future for their organization. As a result of participation in this module, A total of 46 participants from local CSOs participated in CSOs improved their knowledge of Financial the two Financial Sustainability modules. Sustainability by an average of 16%, increasing their average score from 65% to 75.56% from the module’s pre-test to the post-test.

Project and Program Management: Participating organizations developed greater knowledge and practice of “The workshop provided important and the skills, attitudes, and tools needed to effectively manage valuable knowledge to present a better a project, defined key monitoring and evaluation terms, project proposal to donors.” developed logical and results frameworks, and prepared a sample of a performance monitoring plan for the Convergencia Ciudadana de Mujeres organization’s programs and projects. A total of 28 participants (20 women, 8 men) attended this module, with a total of 24 (18 women, 6 men) completing the workshop with all necessary requirements. As a result of participation in this module, CSOs improved their knowledge of Project and Program Management by an average of 62%, increasing their average score from 58.77% to 95.43% from the module’s pre-test to the post-test.

Participants present a visualization of theory of change. Many participants highlighted the dynamic nature of the workshops.

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Human and Material Resources: During this two-day workshop, participating organizations learned about the key “On a personal level, the workshop helped roles and responsibilities of a Human Resources team within an me to identify different leadership styles and, organization, the stages of the employee's life cycle within the on a professional level, it showed us the organization, policies and the key procedures that must be importance of creating programs for the implemented for human resource management, gender development of human resources.” representation among staff, benefits of performance assessment tools, and the necessary processes and the skills of a leader. A CIIDH total of 19 participants (15 women, 4 men) attended this module, with a total of 16 (12 women, 4 men) completing the workshop with all necessary requirements. As a result of participation in this module, CSOs improved their knowledge of Human and Material Resources, by an average of 203%, demonstrating the most improvement of all the modules, increasing their average score from 31% to 94% from the module’s pre-test to the post-test.

A total of 19 participants attended the module on Group activities helped to encourage Human and Material Resources. interaction between organizations

during the modules.

Communications and External Relations: CSO participants in this third and final elective two-day workshop now have “The workshop provided us with up-to-date increased capabilities to define the needed external relations of information on the types of strategic their organizations, establish steps for strategic communication, communications that civil society formulate communication objectives, select effective and organizations should develop to achieve a greater advocacy impact.” efficient communication channels, and identify the tools and procedures needed to institutionalize a communications strategy. Centro de Acción Legal-Ambiental de A total of 30 participants (19 women, 11 men) attended, with a Guatemala (CALAS) total of 28 (18 women, 10 men) completing the workshop with all necessary requirements. As a result of participation in this module, CSOs improved their knowledge of Communications and External Relations by an average of 71%, increasing their average score from 46.17% to 78.79% from the module’s pre-test to the post-test.

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A total of 30 people attended the final module in Hand-on-activities helped participants to Communications and External Relations. put new theories into practice.

The main takeaways of the Transparency and Organizational Strengthening Program’s organizational development modules include: • The organizations expressed interest in participating in the Program when preparing their own rapid organizational development self-assessment in early May, which encouraged staff self-reflection on the management of policies and procedures related to financial sustainability, project management, human resources, and communications. • The Program created a unique opportunity for the interaction and the joint work of the various A WLI facilitator presents information participating CSOs. The CSOs showed a willingness to financial sustainability content. learn about and work with the other organizations, appreciating the distinct approaches and areas of focus present, such as citizen participation, human rights, gender equality, and social auditing. • The exchange of experiences among the participating organizations was very enriching, as it allowed participants to strengthen their knowledge of good organizational practices and identify joint actions for greater impact.

In Q3, the OD team finalized all processes of direct OD support via catered one-to-one OD coaching. In Q4, the Project continued some activities linked to the ongoing Transparency and Organizational Strengthening Program in addition to technical assistance to CSOs implementing their project grants.

CSO Material Support During the process to pack up the Project’s office and to move due to the funding situation, and in preparation for the upcoming disposition of Project materials, the team cleared out and organized office supplies into three categories at the end of Year 4: 1) items to move to the new office; 2) items to move to storage; and 3) items to donate to local partners. Due to the two phases of staff reductions in 2018 and 2019, the Project had in its office many office materials sure as paper reems, calculators, pens, highlighters, etc. As such, the Project created four “office packs” to donate to our local CSO partners CODEFEM, CEIDEPAZ, CIIDH, and IPS. The CSOs expressed great gratitude for these in-kind donations, which will support their teams to continue their grants and/or participation in the Transparency and Organizational Strengthening Program with the Project in Year 5.

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Result 2.3 Increased Citizen Awareness and Participation in Transparency, Accountability and Democratic Processes

Activity 2.3.a: Implement Transparency and Open Government Outreach Strategies to Increase Citizen and Stakeholder Knowledge and Awareness of Open Government Processes at the Executive Branch

The Project developed the methodological design of informative sessions for a workshop for the media on Open Government and transparency, submitting an event request for USAID’s approval. However, due to reduced funding and the sensitivity and complexity of working with media on the elections process, this activity was deprioritized.

In addition, the Project held two communications-related sessions for local CSO partners as part of the Transparency and Organizational Strengthening Program, one module focused on Communications for Advocacy and the second on Communications and External Relations (see more information in sections 2.1.a and 2.2.a).

Lastly, in June, the Project signed a subgrant with GuateCívica to disseminate knowledge about OGP in four regions of the country through four distinct training sessions. These trainings, held in July, reached a total of 100 participants, including 22 government officials. A list of the trainings can be found in the table below:

Training Date Department Participants Trained July 11 Guatemala 25 July 18 Zacapa 24 July 25 Sacatepéquez 25 July 29 Quetzaltenango 26 TOTAL 100

As part of its grant, on July 11, GuateCívica led its first training workshop on "Open Government, an Active Citizen Participation Mechanisms," in the Cámara de Industria in Guatemala City. Participants included representatives from civil society organizations, members of the Open Government Roundtable, and representatives from various government institutions.

The workshop focused on raising awareness of the importance of the Open Government Partnership in Guatemala, highlighting the gender and social inclusion approach. The content of the workshop allowed people who are not currently part of the Open Top: COP, delivers the welcome address. Government Roundtable to get to know the platform and how it works, in addition to the principles of the initiative. Likewise, the Bottom: A participant shares his experience with the other workshop participants. workshop invited the participation of members of the civil society organizations that participate in the Open Government Roundtable to share the experiences, achievements, and difficulties they have faced during the implementation of the Open Government National Action Plans.

Addressing the group, one of the participants explained the relevance of migration within the commitments of the National Action Plan, stating that it should be addressed through the creation of a public policy on the subject, with the objective of generating the conditions needed so that citizens do not have to leave their home communities as the only way to improve their living conditions. Counterpart International – Participación Cívica Project Page 46 of 67 CA#: AID 520-LA-15-00001

On Thursday, July 18th, GuateCívica held its second workshop in Zacapa. The Community Mayor of the village of Santa Cruz, Río Hondo, and member of the Community Development Committee( COCODE), stated that "it is important that this type of workshop is carried out in the departments and that the Open Government Partnership is known, because only by reaching the population that knows its context and its problems, can the community really make proposals to find solutions that allow not only for the development of the department, but of the whole country."

Community Mayor and member of the COCODE shares his opinion on the importance of the Open Government Partnership. “Making the Partnership known and being part of it not only allows the gap Held in the municipality of Teculután, Zacapa, the workshop between civil society and government to welcomed various CSOs and public sector institutions, including close, but it also allows authorities to INEB Gualán, Delegates from the Ministries of Health, Education, use it as a mechanism that strengthens and Economy, the Women's Committee, Bethania Mixed Private transparency and accountability for School, Mixed Rural Official School of Achiotes Arriba, the Women better resource management." Entrepreneurs’ Association of Alta Verapaz (MEAV), the Rescue Project, members of the Christian community, representatives of the Community Mayor of Santa Cruz, local Catholic Church, and the municipalities of Gualán and San Río Hondo Cristobal Acasaguastlán.

Reaching into the interior of the country, beyond the capital, this workshop allowed the active participation of the attendees, in which they expressed that this type of initiative allows a space for their voice to be heard. This also allows for a change to the traditional way of addressing problems in the municipality, allowing citizens to get involved and be part of the solution.

In this workshop, as well as the one that took place in the department Top: A group photo of the workshop in Zacapa. of Guatemala, the participants expressed the importance of the Open Government commitments to address the issue of migration. Due to Bottom: A participant presents on the meaning of the their geography, Zacapa is not just a transit department for migrants, “Open Government Partnership.” but also a department in which many people make the decision to migrate and leave their family, which for them, disrupts the family nucleus, creating not only a family breakdown but also a social one. Therefore, by being part of the Partnership, the State, or in this case the local government, can better create conditions for citizens to remain in Guatemala.

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On Thursday, July 25, GuateCívica delivered its third of four training workshops at Finca Filadelfia, in the department of Sacatepéquez. This workshop included attendants not only from CSOs, but also individuals interested in promoting citizen participation.

A member of the San Andrés Itzapa City Council, from Chimaltenango, mentioned that “it is vitally important to participate in this type of workshop and to learn about the Open Government Partnership, since the lack of information increases the lack of citizen participation and there are no real solutions to the problems or needs that communities present.” In addition, he stressed that by strengthening their own knowledge, they, as trainers, can replicate the content in their communities and thereby contribute to the construction of more inclusive National Action Plans that respond to the reality of their municipalities. The Councilor of San Andrés Itzapa, shared his recommendations during the The President of a COCODE in Sacatepéquez, stated that “if this type of initiative workshop. reaches the departments and not only concentrates in the City of Guatemala, not only as community leaders, but as women, we can empower ourselves and close the gap that exists in the active participation between men and women in communities.”

During the session, the Project’s Organizational Development Specialist, pointed out that “within new social dynamics and with the existing digital divide, it is important to use new technologies to strengthen the Open Government Partnership, and the development of the departments, by making mechanisms for Group during a workshop activity. participation and social auditing available to society.”

GuateCívica finished their fourth and final workshop on July 29, 2019. The workshop was held in Quetzaltenango at the Bonifaz Hotel, with the participation of 26 women from different sectors, contributing to the Project’s Indicator 10: “Number of activities with USG support designed to promote or strengthen the civic participation of women” was complied with.”

GuateCívica led conversations on the importance of the Open Government Partnership in Guatemala, focusing on the importance of women’s active participation in the initiative. The participants shared their experiences as women engaging in the civic spaces, and their perspectives on what citizen participation represents for them and their communities.

A representative from the CEDRO Totonicapán Association, stressed that “it is important to analyze the role that women play in these spaces and especially in the sustainability of the Open Presentation of a summary of a discussion during the workshop in Government Partnership as a mechanism to address the Quetzaltenango. inequalities that exist between men and women.”

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Another participant, also stated that often in these spaces, women must be taken into account since they must be part of the solution to problems facing Guatemala; however, she acknowledged that the lack of participation spaces means that women are often not involved in decision-making and remain excluded, especially indigenous women.

Likewise, it was expressed that “these processes should include the private sector because they are also part of the development of the country and of the sustainability of the [Open Government] Initiative, as it should not be forgotten that the country has an obsolete economy that no longer responds to the new socio- political context of the country. With this support, the economy of Group activity. communities can be strengthened, thereby reducing or mitigating migration."

The fourth workshop in Quetzaltenango focused on women’s civic participation.

The four workshops implemented by GuateCívica generated a space for discourse in which both participants and facilitators highlighted the importance of addressing the problems present in Guatemalan communities. The implementation of the training workshops in the departments of Zacapa, Sacatepéquez, and Quetzaltenango, helped to decentralize the focus of the Open Government initiative away from only the capital, as OGP is less known in the interior of the country. In the workshops held in Guatemala, Zacapa, and Sacatepéquez, representatives from civil society, public institutions, and members of the general public participated, showing how government transparency and accountability interest diverse sectors of society, reinforcing the importance of these various stakeholders to continue to engage in forms of social auditing.

Additional information on the four workshops’ content can be found in Annex D and additional communications materials can be found in Annex E.

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Activity 2.3.b: Support CSOs to Design Advocacy Campaigns to Advocate for Transparency and Open Government Focus in 2019 Elections

As described in the Year 4 Work Plan, the Project supported one electoral transparency project that aligned with a prioritized OGP commitment related to Transparency and Elections. The Project awarded a sub-grant to CSO Guatemala Visible in March 2019, through which the recipient developed Elecciones Visibles, an elections- related application (app) that shares reported electoral process violation information directly with the Supreme Electoral Tribunal (TSE), increasing transparency of the electoral process and thus directly contributing to the Fourth OGP NAP Commitment 20, Milestone 418.

The Elecciones Visibles app affords citizens and the TSE the ability to register and collect complaints and reports of possible misconduct or irregular activities as defined in the Electoral and Political Parties Law (LEPP) and the Penal Code throughout the General Elections 2019 process, including before and during the campaign and on Election Day. As Guatemala Visible demonstrated to the TSE, users submit a complaint through the mobile application with detailed information and documentation, including the type of violation suspected, photos, the geolocation and other contextual details, and the political party. The incident, once reported, becomes an official complaint accessible by the TSE. By submitting a report, citizens raise awareness of a potential electoral violation; meanwhile, the more serious submission of a Guatemala Visible presents the functionality of legal complaint, which requires more detail and personal the prototype application to the TSE information, can be officially turned into an electoral crime and lead to legal consequences for the offending political party. In such cases, the app protects user privacy, complying with international protocols related to electoral investigations. Elecciones Visibles is also a user- friendly app that also allows citizens to consult a list of frequently asked questions (such as on registration protocols, voting centers, etc.) and learn about electoral reforms that affect the voter. Through the functionalities described above, the Elecciones Visibles application seeks to promote transparency in the electoral process and enforce a culture of anti-corruption among political parties.

To ensure the TSE possesses the capacity to fully engage and benefit from Elecciones Visibles, Guatemala Visible provided training for government officials to increase the TSE’s ability to effectively use the data generated by app as initial evidence of electoral infractions or possible regulations violations by political actors. With differentiated information on conflict and electoral crimes, the TSE hopes that the reports generated through the app will better inform the institution’s to-be-developed map of electoral conflict.

18 Commitment 20, Milestone 4 states: “Development and implementation of a mobile application in which the complainant can submit photos and other media in coordination with other institutions, in particular with the Public Ministry.” Counterpart International – Participación Cívica Project Page 50 of 67 CA#: AID 520-LA-15-00001

In May, Guatemala Visible officially launched Elecciones Visibles with the participation of the TSE Inspector General’s Office. During the launch event, the President of the TSE described the app as a tool that will allow the TSE to anticipate conflicts that may arise during the General Elections and afford citizens more ownership of the democratic process. The app, assumed into the TSE’s Inspection Department, will be a fundamental tool for the institution.

Through the hashtag #ciudadanoobservador, Guatemala Visible promotes the app on social networks. The app can be used through the website https://eleccionesvisibles.gt/, or it can be downloaded onto Android and iOS platforms. Above: Panelists from the TSE and Guatemala Visible official launch the app on May 6.

The app provides graphics and visualizations, including geo-locations of submitted legal complaints. A publication from Guatemala Visible on social media motivates users to use the app.

On July 25th, the Project and Guatemala Visible presented preliminary results from the app’s use through the first round of the General Elections to colleagues from USAID and other implementing partners, such as National Democratic Institute (NDI), the International Republican Institute (IRI), and the International Foundation for Electoral Systems (IFES).

From its launch in May through to August 22nd, just after the second round, Elecciones Visibles had already enabled significant citizen participation in the electoral process: - The website has registered over 217,747 active users; - The application has been downloaded over 15,000 times; - 1,463 reports have been submitted on electoral violations via Elecciones Visibles; and - Of those reports, 803 have included legal complaints.

Through August 22, the TSE had reviewed 410 legal complaints of the 803 submitted (51%). The TSE will provide the Public Ministry with the legal complaints deemed valid for further processing, which can lead to legal consequences for an offending political party. The TSE already owns the app and has full access to the data it generates. Showing its valuing of the tool, the TSE has identified resources for Elecciones Visibles within its budget for next three years and retains the ability to add additional modules or request technical assistance from

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Guatemala Visible. The aim of the application is to improve transparency in the electoral process and to contribute to the fulfillment of Commitment 20, Milestone 4[1] of the Fourth Open Government Partnership (OGP) National Action Plan (NAP) 2018-2020, on strengthening electoral transparency.

On August 29 and 30, Guatemala Visible held a training workshop for the TSE on the use of Elecciones Visibles to facilitate the transfer the management and use of the application to the TSE as part of the sustainability plan.

The workshop was held with 30 officials from the TSE Inspection Unit, IT Unit, and Communications Unit to inform them about the results of the use of the application during the electoral process and to collect information about the use, recommendations for improvement of the user experience, and suggestions from staff that used the application during the electoral process (15 completed the training). Secondly, as part of the transfer of the management of the app to the TSE, the workshop sought to train additional staff on the use of the application and on how to generate data and reports. Ms. Deysi Vega, Inspector of the TSE in the department of Jalapa, indicated that the use of the application allowed her to have greater territorial coverage, and to have the

Officers of the Inspection Unit of TSE attended to exact location of the complaint. the Guatemala Visible workshop “Before the existence of the application, people only witnessed the violations and did not report them because it was more difficult for them to access or approach the National Civil Police or the Public Ministry. Today they already have this application and we, as the Inspection [Unit], investigate the violation to establish if it [the complaint] consists of any criminal offense,” she said.

The TSE staff is excited to receive the transfer of the application from Guatemala Visible, already providing preliminary recommendations to improve the app to better serve their purposes. For example, a representative shared that “the suggestion has been made to Guatemala Visible to add some fields that allow the complainant to complete the complaint more accurately. One of these refers to timeframe. In some cases, events had happened before they were Use of the Elecciones Visibles App reported. It is also important to add evidence fields to allow more data to be within the TSE. collected, making the complaint more effective.”

IV. CROSS-CUTTING THEMES

GENDER AND SOCIAL INCLUSION (GESI) In Year 4, the Transparency and Organizational Strengthening Program developed by Participación Cívica integrated gender inclusion into its learning activities, such as: open government, advocacy, financial sustainability, human resources, project management, and communications. The Program benefited 30 local organizations, among which several organizations which focus specifically on gender and women´s empowerment, such as: Convergencia Ciudadana de Mujeres; Asociación LAMBDA; WDN Guatemala; and Colectiva para la Defensa de los Derechos de las Mujeres en Guatemala (CODEFEM).

[1] Commitment 20, Milestone 4 states: “Development and implementation of a mobile application in which the complainant can submit photos and other media in coordination with other institutions, in particular with the Public Ministry.” Counterpart International – Participación Cívica Project Page 52 of 67 CA#: AID 520-LA-15-00001

For the TOS Program, the Project leveraged the expertise of the WomenLead Institute (WLI), now housed in Counterpart’s headquarters outside Washington, DC. WLI holds more than 40 years of experience as part of Centre for Development and Population Activities (CEDPA) and then Plan International USA. WLI offers leadership and management programs with proven results for women and marginalized communities, having worked with 6,000 global leaders in over 90 countries.

For CSO grantees, the Project worked with Tier I and Tier II partners to encourage considerations of gender in their proposals, and especially to encourage them to focus activities on women or other vulnerable populations.

In Q2, local organization FADS carried out a training aimed to promote the participation of women in the process to monitor the integrity and transparency of the Comptroller General of Guatemala’s election process. The training was co-organized with the Association of Indigenous Attorneys Chomija'. The training included the delivery of content related to the political context of the Nomination Committee, the nomination and subsequent election processes, the steps for citizen monitoring, and the evaluation of ethical considerations. A total of 23 women participated. As a result of this training, the women participating learned the actors, institutions, and processes used by nomination committees to elect authorities, in order to encourage their participation in future nomination committees.

The team also welcomed a new Civil Society Officer who brings experience in GESI programming to the Programs unit, contributing to the Program team’s collective responsibility to integrate GESI throughout the implementation of grants.

Lastly, in July 2019, local grantee GuateCívica carried out a workshop with participation of 26 women from Guatemalan department of Quetzaltenango. The workshop objective was to raise awareness on the content and importance of the OGP in Guatemala, with a gender and social inclusion approach, focused on strengthening the active civic participation of women in the initiative. During the training, participants discussed how they could leverage OGP in their communities “as a mechanism to address the inequalities that exist between men and women,” especially among indigenous women. The workshop also highlighted how anti-corruption and transparency efforts, such as OGP, can strengthen local economies through more efficient public spending and use of resources, thereby contributing to the reduction of illegal migration. As a result, the women participants would like to be engaged in the 5th OGP NAP co-creation process, and one women-led organization called CDRO Association is actively looking to join the OGP Technical Roundtable in Year 5.

MONITORING, EVALUATION, AND LEARNING The Project submitted a third MEL Plan modification to USAID in June 2019 to align the indicators with the objectives of the approved Program Description (PD) modification in 2018. Due to the context of the Project’s reduced funding, USAID denied the approval of the third modification on September 17, 2019. The Project plans to resubmit a MEL Plan modification to specific indicators in early Year 5 to respond to USAID’s notice on September 27, 2019 that the Project will likely not receive additional funding.

As such, the MEL Plan MOD 2 approved on June 2018 remains in effect. In Q4, the Project reports on six indicators, detailed below. Progress on all Project indicators will be shared in the Year 4 MEL Report.

Results and Indicator Analysis for Q4

• Four indicators with targets set for Y4 have reported progress this quarter: o #3: Number of transparency and/or anti-corruption policies completing at least one of each of the following stages of development as a result of USAID assistance: 1. Stakeholder consultation/public debate; 2. Drafting or revision; 3. Approval (legislative or regulator)

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o # 5: F Indicator (DR. 2.4-2) Number of mechanisms for external oversight of public resource use supported by USG assistance. o #10: F Indicator (DR.4-1). Number of USG-supported activities designed to promote or strengthen the civic participation of women. o #11: F Indicator (DR.2.4-1) Number of government officials receiving USG-supported anti- corruption training.

• Two indicators with targets set for Y4 did not report progress during this quarter. The indicators are the following: o #17: Number of USG-supported activities implemented by CSO Networks to increase their internal management and public leadership in holding government accountable. o #14: Number of CSOs receiving USG assistance engaged in advocacy interventions.

• Four indicators remain to be later reported annually in the MEL Annual Report, as follow: o #1: % change in citizens’ perception of civil society’s ability to influence government decision-making. o #2: Proportion of CSOs surveyed reporting that they can influence government decisions at the national, regional or local level, as a result of Project interventions. o #12: Number of organizations with improved organizational capacity per Counterpart’s OD Assessment. o #13: Number of targeted CSOs with an increased financial sustainability score.

The performance of the three outcome and output indicators with progress on targets set for Y4 include:

Indicator 3 (Outcome): Number of transparency and/or anti-corruption policies completing at least one of each of the following stages of development as a result of USAID assistance: 1. Stakeholder consultation/public debate; 2. Drafting or revision; 3. Approval (legislative or regulator)

Table 1: Outcome Indicator 3 FY4 Reporting FY2019 (Oct. 2018 – Sept.2019) Baseline Cumulative Reference Value Target Actual Annual Variance

0 (2015) 4 2 -2 Quarter 1: • There is no reference for this indicator.

Quarter 2: • There is no reference for this indicator.

Quarter 3: • There is no reference for this indicator.

Quarter 4: • “To support the review and updating process of the Social Development and Population Policy” by CEIDEPAZ • Manual of Participation and Governance Mechanisms for the Open Government

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Partnership in Guatemala, by Participación Cívica and GPAT

CEIDEPAZ received an award and technical assistance from the Project for its grant: “To support the review and updating process of the Social Development and Population Policy,” which aims to support the process to review and update of the Social Development and Population Policy (SDPP), related to Commitment 16 within the Protection and Social Inclusion thematic area of the 4th OGP NAP. Currently the it has reached the Stage 2. Drafting or revision.

Furthermore, Participación Cívica and GPAT drafted a Manual of Participation and Governance Mechanisms for the Open Government Partnership in Guatemala aimed to ensure that current and future GoG and civil society members understand their role in OGP. Currently the it has reached the Stage 2. Drafting or revision.

Indicator 5: F Indicator (DR.2.4-2) (Output): Number of mechanisms for external oversight of public resource use supported by USG assistance Table 2: F-Indicator (DR.2.4-2) / Output Indicator 5 FY4 Reporting

FY2019 (Oct. 2018 – Sept.2019) Baseline Value Cumulative Reference Target Actual Annual Variance

0 (2017) 2 1 -1 Quarter 1: • There is no reference for this indicator.

Quarter 2: • There is no reference for this indicator.

Quarter 3: • There is no reference for this indicator.

Quarter 4: • One Social Audit Observatory though the project implemented by Guatemala Visible

Guatemala Visible provides information and oversight of the political processes, and specifically of the 2019 General Elections process, among Guatemalan citizens through a newly developed digital application. The Elecciones Visibles app meets the necessary indicator criteria:

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• On May 6, Guatemala Visible hosted a public event to present the Elecciones Visibles app.19 • As part of the grant, Guatemala Visible created an Annual Operational Plan to achieve their institutional objectives and targets with the implementation of the Elecciones Visibles app (Deliverable 1). • Guatemala Visible also reported a financial and human sustainability for the Elecciones Visibles app (Deliverable 6).

Indicator 10: F Indicator (DR.4-1) (Output). Number of USG-supported activities designed to promote or strengthen the civic participation of women. Table 3: F-Indicator (DR.4-1) / Output Indicator 10 FY4 Reporting

FY2019 (Oct. 2018 – Sept.2019) Baseline Cumulative Reference Value Target Actual Annual Variance

0 (2016) 1 2 +1 Quarter 1: • There is no reference for this indicator.

Quarter 2: • Training on the “Monitoring Process of Nomination Commissions” though the grant implemented by FADS

Quarter 3 • There is no reference for this indicator.

Quarter 4: • Training on “Open Government: A Mechanism of Active Citizen Participation for Women” though the grant implemented by GuateCívica

In Quetzaltenango, a region with high rates of out-migration, 26 women participated in a training hosted by GuateCívica, a local CSO grantee, on “Open Government: A Mechanism of Active Citizen Participation for Women.” The workshop on July 29 aimed to raise awareness on the content and importance of the Open Government Partnership in Guatemala, with a gender and social inclusion approach, being focused on strengthening the active participation of women in the mechanism. During the training participants discussed how they could leverage OGP in their communities “as a mechanism to address the inequalities that exist between men and women,” especially among indigenous women. The workshop also highlighted how anti- corruption and transparency efforts, such as OGP, can strengthen local economies through more efficient public spending and use of resources, thereby contributing to the reduction of illegal migration.

19 https://dca.gob.gt/noticias-guatemala-diario-centro-america/tse-habilita-plataforma-para-denuncias/

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Indicator 11 (DR.2.4-1) (Output): Number of government officials receiving USG-supported anti-corruption training. Table 4: F-Indicator 2.4-1 / Output Indicator 11 FY4 Reporting

FY2019 (Oct. 2018 – Sept.2019) Baseline Cumulative Reference Value Target Actual Annual Variance Quarter 1: 0 (2016) 120 251 +131 • There is no reference for this indicator.

Quarter 2: • A total of 74 government officials were trained through the grant “Promoting citizen participation for integrity and transparency in the election process of the Comptroller General of Guatemala” implemented by FADS

Quarter 3: • Three government officials attended the OGP Global Summit in Ottawa, Canada. • 19 local government officials participated in an online course on Open Government, in partnership with INAP.

Quarter 4: • A total of 50 government officials were trained by INAP and the Project during a certificate course in “Open Government and its Implementation” in Guatemala” that completed in July. • A total of 68 government officials were trained through the “Update workshop on Legal and Ethical Foundations of the Execution and Control of State Resources” implemented by CGC and GPAT with the support of the project Participación Cívica. • A total of 22 government officials participated in the “Open Government a Mechanism of Active Citizen Participation” trainings implemented by GuateCívica. • A total of 15 government officials of the TSE were trained trough the Workshop on “Visible Elections” application, implemented by Guatemala Visible

The Project trained a total of 155 GoG officials in Q4.

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From April to July, the Project and the National Institute of Public Administration (INAP) carried out a certification on “Open Government and its implementation in Guatemala.” More than 100 officials signed up for the certification and a total of 50 officials finished the certification. The 50 government officials will be part of an Open Government Experts Group, to stay connected and to serve as local leaders who can continue with the implementation of the innovation promoted by Open Government in their sphere of public administration, facilitating a better civic public participation among their communities.

Also, on July 29, 30, and 31, the Project held a training for officials of the Financial Administration Units (UDAF) and of Internal Audit (UDAI) of the eight ministries with the highest budget management. The training, titled “Update workshop on Legal and Ethical Foundations of the Execution and Control of State Resources.” All theoretical and thematic content was coordinated with the Training Unit of the Office of the Comptroller General of Accounts (CGC), and the call was carried out by GPAT. The training had an attendance of 68 government officials.

The grant “Open Government, an Active Citizen Participation Mechanism”, implemented by GuateCívica, carried out three trainings titled “Open Government a Mechanism of Active Citizen Participation” in Guatemala City, Zacapa, and Antigua, Guatemala for outreach to community members, both men and women. The objective of the sessions was to raise awareness on the content and importance of the Open Government Partnership in Guatemala, with a gender and social inclusion approach. The content allowed people who are not currently part of the Open Government Roundtable to get to know the platform and how it works, in addition to the principles of the initiative. Likewise, the workshop invited the participation of members of the civil society organizations that participate in the Open Government Roundtable to share the experiences, achievements, and difficulties they have faced during the implementation of the Open Government National Action Plans. (The fourth session is counted under Indicator 10.) The training had an attendance of 22 government officials.

On August 29 and 30, Guatemala Visible held the training workshop for the Supreme Electoral Tribunal (TSE) on the use of the citizen audit application, Elecciones Visibles. This workshop was held as part of the activities to transfer the management and use of the application to the TSE as part of the sustainability plan. The Elecciones Visibles application seeks to promote transparency in the electoral process and enforce an anti-corruption culture among political parties. A total of 15 government officials participated. Table 5: Government officials receiving USG-supported anti-corruption training. Title of the Training Date Men Women Total Open Government and its Implementation in Guatemala by From April 26 to 21 29 50 INAP with the support of the project Participación Cívica. July (First cohort) Update workshop on Legal and Ethical Foundations of the July 29, 30 and 32 36 68 Execution and Control of State Resources implemented by 31 CGC and GPAT with the support of the project Participación Cívica. “Open Government a Mechanism of Active Citizen July 11, 18 and 7 15 22 Participation” though the project implemented by 25 GuateCívica. Workshop on “Visible Elections” application implemented Aug 29 and 30 11 4 15 by Guatemala Visible TOTAL 71 84 155

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Indicator 14 (DR.4.2-2) (Output): Number of CSOs receiving USG assistance engaged in advocacy interventions. Table 6: F-Indicator 4.2-2 / Output Indicator 14 FY4 Reporting FY2019 (Oct. 2018 – Sept.2019) Baseline Target Actual Annual Cumulative Reference Value Variance 0 (2016) 10 0 -10 Quarter 1: • There is no reference for this indicator.

Quarter 2: • There is no reference for this indicator.

Quarter 3 • There is no reference for this indicator.

Quarter 4 • There is no reference for this indicator.

This quarter, FUNDESA received an award and technical assistance from the Project for its project: “Implementation of the Suggested Purchasing Module in four national hospitals,” which aims to develop capacities in the teams responsible for the management of medical purchases in all 45 public hospitals through the appropriate use of the SPM. FUNDESA, though, cannot be counted toward this indicator as it has already received technical assistance from the Project and been counted toward this indicator earlier in the life of the Project.

TraiNet During Q4, three trainings met the TrainNet requirements and will be uploaded in early Year 5: • OGP Global Summit in Ottawa, Canada; • Open Government and its Implementation in Guatemala by INAP with the support of the Project (First Cohort); and • Update workshop on Legal and Ethical Foundations of the Execution and Control of State Resources implemented by CGC and GPAT with the support of the Project.

Program Quality and Learning During Q4, the Project did not undergo a Data Quality Assessment (DQA). In the following weeks, the MEL team will update and review relevant digital and physical files.

V. DEVELOPMENT EXPERIENCE CLEARINGHOUSE (DEC)

During Q4, the Project made a detailed audit of the documents uploaded in the DEC during the life of the Project. The Project continues work to fulfill this requirement in early Year 5.

VI. PROJECT MANAGEMENT

• Response to Contingency Plan: USAID responded to the Project’s June-submitted Contingency Plan during an in-person meeting with the Agreement Officer, Agreement Officer Representative, and Democracy and Governance staff from USAID on August 9th, providing verbal notice that it would

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likely not be receiving the anticipated final obligation to fund Year 5. USAID then sent the Project a written notification letter on September 27, 2019, stating that “due to funding constraints, USAID/Guatemala does not plan to obligate any additional funding to the ‘Participacion Civica’ Project Cooperative Agreement at this time.” As such, the Project made the decision to reduce the field team from 17 to 9 full-time staff and to move to a smaller office in order to save limited funds. With the new staffing structure, the Project will be able to extend the life of the Project only to March 2020.

• Staff Transition: On Monday, September 30th, the Project team said farewell to eight colleagues, as their contracts ended on the last day of the fiscal year due to funding limitations. The Project held closeout/transition meetings with each of the departing team members and also held an appreciation event to thank each team member for their dedication and contributions to the Project.

• Office Move: In response to the notification of limited funding for Year 5, the Project has decided to move to a smaller office space to save money and to better accommodate the reduced team size. This past week, the remaining nine team members moved from the Project’s previous office in Europlaza in z.14 to Dubai Center in z.10.

The Project packs up its previous office in Europlaza

VII. COORDINATION AND COLLABORATION WITH OTHER USAID PROJECTS

The Project has refined its partnership strategy with other USAID projects at the start of the year, narrowing down the list to focus on those with a geographic focus in Guatemala City and on those that have concrete opportunities for alignment, such as DAI’s Fiscal Reform Policy Project (FRPR) and Nexos Locales, the Sustainable Economic Observatory project (SEOP), the Urban Municipal Governance project, IREX, and CEPPS partners (NDI, IRI, IFES). The Project coordinated with all of these implementing partners to share information on course opportunities for GoG officials and CSOs, namely the INAP courses and the TOS Program. The Project worked especially closely with the CEPPS partners in the months leading up to and following the General Elections, to share progress on the Guatemala Visible grant and to coordinate elections- related activities.

In Q4, the Project worked with other implementing partners on various initiatives: • On July 2nd, the Project’s leadership attending a workshop at USAID on the Mission’s efforts to prevent and respond to sexual misconduct. • On July 25th, the Project made at presentation at USAID together with Guatemala Visible to share the results of the monitoring of the elections process achieved through the Elecciones Visible app, together with invitees from other implementing partners working in democracy and governance, such as the National Democratic Institute (NDI), the International Republican Institute (IRI), and the International Foundation for Electoral Systems (IFES).

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• The Project also attended various monthly sessions of the Cross-Sector (X-Co) Coordination Meeting attended by a diverse group of USAID’s implementing partners. The Project attended the meeting on July 12th.

VIII. ACHIEVEMENTS FOR YEAR 4

Objective 1 • The 4th Open Government Partnership (OGP) National Action Plan (NAP) (2018-2020) was completed and launched in Q1, with ongoing from the Project to finalize the language of the final document. • In Q2, Counterpart and GPAT signed an MoU as a bilateral agreement to provide a formal mechanism by which Participación Cívica will engage with GPAT going forward, and specifically with the Open Government Partnership in Guatemala. The MOU ensures the stability and sustainability of the partnership, despite administration changes in 2020. • In Q3, the Project and the General Director of the National Institute for Public Administration (INAP), signed an MoU as a bilateral agreement to provide a formal mechanism to co-implement two distinct courses for GoG officials on Open Government and transparency, and other to-be-determined activities during Year 5. • The Project signed an in-kind grant agreement with the Comptroller General’s Office for the future in- kind donation of a server that will increase the CGC’s storage capacity for the financial and municipal management reports submitted by 340 municipal governments. The server was delivered in Q4, contributing to the fulfillment of Commitment 14 of the 3rd OGP NAP (2016-2018) to create accountability mechanisms for local governments. • The Project signed an in-kind grant agreement with the Comptroller General’s Office for the future in- kind donation of a server that will increase the CGC’s storage capacity for the financial and municipal management reports submitted by 340 municipal governments. The server was delivered in Q4, contributing to the fulfillment of Commitment 14 of the 3rd OGP NAP (2016-2018) to create accountability mechanisms for local governments. • For the first time since 2012, Guatemala underwent an on-site evaluation from April 9-11th by representatives from Chile and Honduras for the MESICIC of the Organization of American States (OAS). The Presidential Commission of Public Open Management and Transparency (GPAT) participated in two panels and technical conversations with representatives of civil society organizations and public officials of various institutions, respectively, who had been identified by the Project. The results from the evaluation are anticipated for September, which will provide Guatemala with concrete recommendations from the MESICIC evaluators to continue to improve transparency and anti- corruption initiatives, and will have completed Milestone 10, Commitment 14 of the 4th OGP NAP. • In May, three GoG officials, including two representatives from GPAT and one from the Ministry of Social Development (MIDES), participated in the Open Government Partnership Global Summit held in Ottawa, Canada. The Summit served as an opportunity for the officials to share lessons learned from the Open Government Partnership in Guatemala and capture best practices from some of the 78 other countries in the initiative. As fulfillment of their commitment to the Project for attending the Summit, the GoG officials will lead workshops within their respective institutions to extend further the reach of the Summit’s key takeaways. In Q4, the 2019 alumni conducted two workshops to share best practices and lessons learned from OGP globally with 21 members of the OGP Technical Roundtable and staff members of GPAT. • In July, the Project, together with GPAT and the CGC, co-implemented a training on the Legal and Ethical Foundations of the Execution and Control of State Resources, specifically related to the Procurement Law, for more than 70 GoG officials from eight ministries. The session built the capacity of government officials, specifically within Financial Administration Units (UDAF) and Internal Audit Units (UDAI), on transparent procurement and contracting processes. Additionally, this activity directly

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contributed to fulfillment Milestone 11 within Commitment 14 of the 4th Open Government Partnership (OGP) National Action Plan (NAP) (2018-2020), related to the thematic area of Transparency and Anti- Corruption Mechanisms. • The Project, pursuant to its in-kind grant agreement with the CGC, delivered a server that will increase the CGC’s storage capacity for the financial and municipal management reports submitted by 340 municipal governments. This activity contributes to the fulfillment of Commitment 14 of the 3rd OGP NAP (2016-2018) to create accountability mechanisms for local governments. • Participación Cívica and INAP co-implemented two courses over Q3 and Q4, with the participation of more than 80 GoG officials: a certificate-level course on Open Government (blended learning, both in- person and online) and a virtual course on Principles of Open Government. The courses directly contribute to the completion of Commitment 10, Milestone 3 of the 4th Open Government Partnership (OGP) National Action Plan (NAP) (2018-2020). Over 50 GoG officials earned the certification and will become trainers on Open Government in their institutions. The course directly contributes to the completion of Commitment 10, Milestone 3 of the 4th OGP NAP (2018-2020).

Objective 2 • During Q1, FADS, in coordination with the Movimiento Pro Justicia, designed and presented proposals regarding the Nomination Process of the new Comptroller General of Accounts (CGC), adding significant value to the social auditing process through the development of the scoring rubric (tabla de graduación) and the defining of the candidate profile. • CIG, CIIDH, and ICEFI demonstrated an improvement in their OD global assessment scores between 4.1 and 8.82 percent. CODEFEM increased its overall organizational development score by 38.43%. • FUNDAL launched the Observatory for the Fulfillment of the Rights of People with Disabilities (Observatorio para el Cumplimiento de los Derechos de las Personas con Discapacidad) to monitor public spending related to this issue and share findings with relevant GOG institutions and the public. • The Project signed five new grants to local CSO partners, CIIDH, CEIDEPAZ, FUNDESA, GuateCívica, and Guatemala Visible all of which directly support the implementation of the 4th OGP NAP (2018-2020) or other transparency processes. Three of the grants directly contribute to the completion of Commitments relating to the thematic areas of Education; Anti-Corruption Mechanisms; Protection and Social Inclusion; Health, Food Security, and Nutrition; and Fiscal Transparency, Procurement, and Public Contracting.[1] • The Project launched the Transparency and Organizational Strengthening Program in May with a total of 35 participating CSOs, and concluded all five training modules, the first of two key phases of the Program. A total of 184 people attended the five modules, with 151 completing all necessary module requirements for participation. As a result of the trainings, CSOs improved their technical knowledge of Communications for Advocacy by an average of 15%, their knowledge of organizational development topics by an average of 71% across the four OD modules, and an overall increase across the entire Program of 57%. The second phase of the Program, the convening of working groups and developing of distinct organizational products, will start in Year 5. • As a result of its participation in the Transparency and Organizational Strengthening Program, and understanding better the value of the Open Government Partnership (OGP), the CSO Fe y Alegría signed an MOU to be integrated into the OGP Technical Roundtable, thereby providing more representation from civil society in the initiative. • In September, the Ministry of Health (MSPAS) sent a letter to the USAID Mission Director notifying him that, thanks to the Project’s subgrant to FUNDESA, by the end of October, 250 users in 45 public hospitals of the country will have completed a certificate course in the use of the SPM. As a result, since 2017 the Guatemalan health system will have been able to save approximately $36 million, a savings of

roughly 25% of the current budget for medicine and medical supplies, a reduction of 2 to 3 days average hospital stays by patients, and 25% of out of pocket savings by patients. The MSPAS recommended USAID to continue serving as a key partner for the MSPAS through continued funding to FUNDESA. • CIIDH published one bulletin, and prepared a second, with key findings of the social audit of prioritized commitments in the 4th OGP NAP, meeting with select Ministries and verifying the means of verification of each public institution. CIIDH also presented the findings at two convenings of the OGP Technical Roundtable and has encouraged other CSOs to monitor the implementation of the 4th OGP NAP. • CEIDEPAZ succeeded in coming to agreement with MIDES on a schedule and the terms of co-creation to finalize civil society’s contributions for revisions to the Social Development and Population Policy starting in January 2020 and finalizing the revised policy by September 2020. • In July, GuateCívica delivered four distinct training sessions in July in four departments of the country- Guatemala, Zacapa, Sacatepéquez, and Quetzaltenango- reaching a total of 100 participants with information on the Open Government Partnership, using a gender and social inclusion approach, and encouarging their participation. The content of the workshop allowed individuals who are not currently part of the Open Government Roundtable to get to know the platform and how it operates. In the workshops in Zacapa and Guatemala City, participants expressed the importance of the Open Government commitments to address the issue of migration, as a way for the State or local governments to be better held accountable to create conditions for citizens to remain in the country. The workshop in Quetzaltenango focused on the importance of women’s participation in OGP, with a total of 26 women attending the session. • In Q4, Guatemala Visible succeeded in transitioning ownership of the Elecciones Visibles app to the Supreme Electoral Tribunal’s (TSE) Inspection Department, including completing a training in the application’s use and providing the organization’s recommendations for improving the app’s future functionality. Additionally, during the two rounds of the General Elections process, by August 22, the app had facilitated the submission of 1,463 of electoral violation reports and 803 formal complaints.

Administration and Management • During an in-person meeting with the Agreement Officer, Agreement Officer Representative, and Democracy and Governance staff from USAID on August 9th, the Project received verbal notice that it would likely not be receiving the anticipated final obligation to fund Year 5. USAID then sent the Project a written notification letter on September 27, 2019, stating that “due to funding constraints, USAID/Guatemala does not plan to obligate any additional funding to the ‘Participacion Civica’ Project Cooperative Agreement at this time.” As a result, Counterpart International reluctantly made the difficult decision to drastically cut costs in order to extend the Project’s life as long as possible, especially in order to support the transition of the Open Government Partnership to the new administration. As such, the Project reduced full-time Project staff from 17 to nine people and moved to a less-costly office space at the end of FY2019.

IX. BEST PRACTICES, SUCCESS STORIES, CHALLENGES, AND LESSONS LEARNED

Best Practices Deepening of a GoG Relationship- The Project took an existing, yet nominal relationship with the Comptroller’s General’s Office (CGC) and strengthened it into a more developed one, based on mutual trust and benefit. In Q3, the Project and the CGC signed an in-kind grant agreement for a server that would strengthen the archiving abilities of local governments. The Project leveraged this donation as an opening to establish a more technically- focused relationship with the CGC. Beyond delivering the server in Q4, the Project also co-hosted a training on the Legal and Ethical Foundations of the Execution and Control of State Resources, specifically related to the Procurement Law for 70 UDAFs and UDAIs in the government. The Project is also planning to co-host another training for GoG officials in all ministries together with the CGC in early Year 5 on the Declaration of Assets Law.

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Leveraging Opportunities for Staff Capacity Building- In Q4, the Project hosted two key trainings for GOG officials- one with the CGC on the Legal and Ethical Foundations of the Execution and Control of State Resources, specifically related to the Procurement Law, and another on Open Government and Transparency with INAP. In order to build Project staff capacity and to provide opportunities for professional development in topics related to transparency and anti-corruption, the Project offered staff the opportunity to attend the courses as participants. Three staff members received certification from the CGC in the course on the Procurement Law, and an additional staff member recovered a certificate from INAP in Open Government. This deeper understanding in complex themes related to transparency and anti- corruption will serve not only the Project, but will also continue to serve Guatemala in the coming years as the Project team serve The Organizational Development Specialist as transparency champions in other roles in the future. (far right) joins his peers in the Open Government and Transparency course. Staff Professional Support During Off-boarding- Based on verbal notification that USAID would be unable to obligate further money to the Project in August 2019, Counterpart made the difficult decision to reduce the Project’s team in order to conserve resources. As a result, eight staff members were notified that their contracts would be terminated at the end of the fiscal year. In order to best support team members to make an unexpected shift in their careers this year, the Project held two two- hour working sessions on, September 5 and 12th, for all team members in topics that would help prepare them to transition out of the Project and into another meaningful position as a positive career step. The two interactive and dynamic sessions touched on various topics that the team requested, such as: updating of CVs, preparing for interviews, conveying positive body language, applying for continuing education scholarships, successfully navigating job searches, performing personality and psychometric testing, and completing biodata forms. The Project’s HR and leadership teams received very positive feedback from staff of the benefit of the sessions, and the support and compassion the team felt from their colleagues during this difficult time of transition. The Project also gave all departing team members advance notice of six=weeks before the end of their contract in order to best utilize their technical skills until the close of the quarter, in addition to allowing them significant time to identify opportunities for their next step.

Success Stories

An Interview with the Presidential Commission of Open Public Management and Transparency (GPAT) On July 29-31, the Project and the Presidential Commission of Open Public Management and Transparency (GPAT) co-hosted training sessions for government officials, specifically the Financial Administration Units (UDAF) and Internal Audit Units (UDAI), within eight ministries that have the highest rates of budget execution.

The workshop trained the over 70 participants in updated content related the Legal and Ethical Foundations of the Execution and Control of State Resources, in coordination with the Training Unit of the Office of the Comptroller General of Accounts (CGC). The courses directly contribute to Commitment 14, Milestone 11 of the 4th Open Government Partnership (OGP) National Action Plan (NAP) (2018-2020). Participación Cívica’s Transparency and Accountability Senior Specialist, sat down with The Assistant in GPAT’s School of Transparency, to learn more about her experience as a participant in the certificate course.

Can you describe the collaboration between GPAT and Participación Cívica? The collaboration between the two institutions has been of great importance since it has allowed the fulfillment of the commitments made by GPAT within the 4th Open Government Partnership National Action Plan (2018-

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2020). Additionally, the technical support INAP received from the Project has allowed more public sector institutions to be trained on important issues, such as transparency, purchasing, contracting, and procurement, especially for those officials who, due to non-observance of the rules, could have been subject to subsequent consequences.

How has Participación Cívica supported the participation of GPAT in transparency or advocacy initiatives? Which ones specifically? The Project and GPAT have jointly prepared for the training, both in terms of content, as well as the selection of participating institutions, the materials to be distributed, and with logistical support. This support, together with the actions carried out by GPAT, specifically related to the call for participation in the course, has made the training successful to date.

What aspect of collaboration with Participación Cívica do you value most? And, why? I have most valued the opportunity to listen to specialists in the field from the Project-funded training, who have explained in an understandable way the most relevant and important aspects of procurement, contracting, planning, and of the budgetary cycle, related to the regulations to be observed and the requirements to be monitored. Additionally, I appreciated that officials from the Comptroller General’s Office provided practical advice to each of the public institutions attending, on how to address issues, thus avoiding possible administrative or legal sanctions in the future.

Women’s Active Participation in Open Government

The Project signed a grant with local CSO partner Fundación Prosperiti GuateCívica in June to disseminate knowledge of the Open Government Partnership in four regions of the country through four distinct training sessions in July, reaching a total of 100 participants from civil society and government. GuateCívica finished their fourth and final workshop on July 29 in Quetzaltenango, with a special session focused on women’s civic participation with 26 women from different sectors.

One of the participants leads the Women and Gender Unit of the Western Rural Development Cooperation Association (CDRO) in Totonicapán. During the session, highlighted to the group the importance that these spaces such as the Open Government Partnership serve, where not only citizens receive information on open government concepts and principles, but also promote the active participation of civil society organizations. She further described, “It is important to generate additional channels for women's participation, such as social auditing and women’s civic participation, to better include women’s priorities within the Open Government Partnership.”

As a result of the participation in the session, she requested a follow-up meeting with the Project team in Guatemala City on August 20th. During the meeting, she expressed the value that the training session had for the CDRO Association, directly encouraging the involvement of women within the Open Government Partnership to mainstream the gender perspective within the commitments and milestones of the Open Government National Action Plans. Through this inclusive approach, the Open Government Partnership generates the conditions that women need to close the gender gap, both in women’s civic participation of the women and women’s participation in the political sphere. For example, with more women’s participation in the Open Government Technical Roundtable, traditionally vulnerable and

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excluded groups can be included in the national’s commitments. As a result of the meeting, the CDRO Association expressed intertest in officially joining the OGP Technical Roundtable, and they are currently undergoing a consultative process with their 500 member organizations for their approval to join OGP. The Project anticipates that they will join OGP in FY2020. Additionally, the CDRO Association hopes to use their platform to include more representative voices in the co-creation process for the 5th OGP NAP next year.

Challenges

Lack of funding obligation- Due to the notification from USAID this quarter that the Project would not receive its final obligation, the scope and depth of the Project’s activities have drastically been affected. In addition to a 47% reduction of personnel and a move to a much smaller office without meeting space, the Project also has a reduced timeframe, cut by 6 months, shortened from September to a closure in March. With these various limited financial and human resources, the Project remains as a reduced capacity to implement activities, both directly and together with local CSO partners. While the Project remains committed to supporting ongoing CSO grants and the transition of the Open Government Partnership to the new administration, the Project will not be able to provide the level of support anticipated throughout all of FY2020 to better ensure the sustainability of these transparency mechanisms.

Government in transition- While the General Elections concluded in August after the second round of elections, the newly elected President and other officials will not assume their positions until January 2020. As such, during Q4, the Project has begun to sense a lack of motivation and investment from current GoG officials, that will likely stretch into Q1 of Year 5 as well, which makes it more difficult to jointly accomplish activities with current GoG partners. This transition period results in less effective work with the GoG. To mitigate this, the Project is working as quickly as possible to identify the newly appointed GoG officials, such as the new Executive Director of GPAT, to begin to orient them to the Project’s work and to cultivate their interest in working with the Project in an official capacity come January. The Project is committed to working collaboratively with both outgoing and incoming officials, despite varying levels of motivation, to ensure the sustainability of OGP and other transparency processes under new administration

Lessons Learned

Civil society as an effective OGP auditor- Various members of the OGO Technical Committee, especially some CSO partners, have consistently expressed frustration with the individual performing the role of the Independent Reporting Mechanism (IRM) within the OGP structure. This individual, appointed earlier this year, has been largely absent from Technical Committeemen and Technical Roundtable meetings. Meanwhile, the local CSO CIIDH has been implementing a Project-funded grant to perform a social audit on the progress of various milestones and commitments within the 4th OGP NAP. While ongoing, CIIDH has received positive feedback from other members of the Technical Committee due to CIIDH’s ability to fill the space intended for the IRM, providing feedback to Technical Roundtable on progress and on how to improve processes to implement the NAP. For example, CIIDH developed a commitment monitoring tool with a matrix of indicators, with the Project’s support, that can easily be replicated by any member institution for more efficient follow up and monitoring of the progress of their milestones. The ability of CIIDH to effectively assume this role demonstrates an opening for CSOs to become more involved in OGP, serving more vocal and visible roles, and largely being well-received by other members.

Power of Disseminating OGP Information in the Interior- Through the four training sessions implemented by GuateCívica in July, the Project has witnessed the great value of bringing information on the Open Government Partnership into other departments of Guatemala. Community members expressed interest in becoming more engaged in the initiative, looking for ways to get involved in a process that is generally centralized in the capital city. The OGP Technical Roundtable should look to identify and institutionalize channels for participation in

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OGP, in both the NAP co-creation and implementation processes, to better include the priorities of a wider and more representative Guatemalan population in the commitments. After the implementation of GuateCívica’s grant, though, the Project has recognized the need for ongoing follow-up activities with the men and women reached through the training sessions, to further encourage their participation in the initiative and to further disseminate information about OGP to their communities’ members. The Project would have liked to further build upon these activities in Year 5 by exploring additional outreach and cultivation activities, had funding allowed.

X. PROJECT EXPENDITURES A total of USD $11,650,833.73 has been reported as of September 30, 2019, in the SF-425 submitted to USAID with this technical quarterly report. This amount represents 95% of obligated program budget of USD $12,231,506.

Expenses reported under subgrants to date is $1,594,127 and $100,069.00 for the period from July - September 2019. This does not include accrued expenses that are pending reconciliation. Expenses reported under Rapid Response Fund to date are $289,365, and carme$0 for the quarter ending September 2019.

XI. PROGRAMMING PRIORITIES FOR NEXT QUARTER Activities for Q1 of Year 5 are dependent upon the pending USAID approval of the Year 5 Work Plan. The Project aims to implement the following key activities: • Introductory meeting with new GPAT leadership • Development of a GPAT Communications Plan • Provision of a certificate course for a second cohort of key GOG officials in Transparency, Open Government, and Migration, in partnership with INAP • Provision of a training for GoG officials in the Declaration of Assets Law, in partnership with CGC • Delivery of two information sessions for CSOs on the Quality of National Budget Spending and Migration • Coaching on CSO product development and culmination of Transparency and Organizational Strengthening Program • Ongoing implementation of CEIDEPAZ, CIIDH, and FUNDESA grant activities

GESI • Incorporate GESI themes into all CSO working groups for the development of products related to advocacy, financial sustainability, human resources, project management, and communications; • Implementation of three events to promote the civic participation of women

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