GUATEMALA LOCAL GOVERNANCE/ NEXOS LOCALES PROJECT

ANNUAL REPORT FY2015 CONTRACT No. AID-520-C-14-00002

October 2015 This publication was produced for review by the United States Agency for International Development. It was prepared by Development Alternatives, Inc.

LOCAL GOVERNANCE/ NEXOS LOCALES PROJECT

ANNUAL REPORT FY2015 October 2014 – September 2015

Project Title: Local Governance/Nexos Locales Project Sponsoring USAID office: USAID/ Contract Number: AID-520-C-14-00002 COR: Claudia Agreda Contractor: DAI Date of Publication: October 2015

The authors’ views expressed in this publication do not necessarily reflect the views of the United States Agency for International Development or the United States Government.

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TABLE OF CONTENTS EXECUTIVE SUMMARY……………………………………………………………………………………...7 INTRODUCTION……………………………………………………………………………………………9 I. SUMMARY OF KEY ACHIEVEMENTS…………………………………………………………… 12 II. ACHIEVEMENTS BY RESULT AND ACTIVITY………………………………………………... 15 III. CROSS CUTTING THEMES…………………………...... 40 IV. OBSTACLES FACED AND LESSONS LEARNED…………………………………………….…..42 V. TRAINING EVENTS……………………………………………………………………………….47 VI. MONITORING & EVALUATION……………………………………………………………… 49 VII. GRANTS AND RAPID RESPONSE FUNDS……………………………………………………... 50 VIII. PROJECT MANAGEMENT……………………………………………………………………….. 53 IX. FINANCIAL INFORMATION……………………………………………………………………..58 X. ANNUAL INVENTORY REPORT………………………………………………………………...60 XI. ANNEX I: PMP REPORT…………………………………………………………………….…….61 XII. ANNEX II: WORKPLAN ACTIVITY CHART……………………………………………….…....88

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SUMMARY OF TABLES AND FIGURES

Table 1: Regional Cluster Integration…………………………………………...…..9 Table 2: Summary Ranking of Result #01 PFM Diagnostics…………………….....17 Table 3: Results of Rapid Assessment of COMUDE Performance…………….…18 Table 4: Summarized TA Plans for each COMUDE……………………………....19 Table 5: Summary findings of diagnostic for Results #03 & #05………………….27 Table 6: Average LED/SAN Indices from 29 Nexos Locales Municipalities……....33 Table 7: Training Events participants and dates…………………………………...48 Table 8: Key project operational milestones……………………………………...57 Table 9: Submission of Key Contract Deliverables……………………………….57 Table 10: Financial Report………………………………………………………….58

Map1: Nexos Locales Geographic Coverage…………………………………...10 Map 2: Data points from Water Diagnostics in , ………28 Map 3: Soil usage of major value chain crops in the Western Highlands………34

Photo 1: Huehuetenango MOU Signing Event……………………………………16 Photo 2: PFM SOP Training……………………………………………………… 17 Photo 3: MOU signing with Mancomunidad Metropoli de los Altos……………..21 Photo 4: Advocacy Training in , Huehuetenango………………………...22 Photo 5: CEIPA Round Table event in , Quiché……………….23 Photo 6: CEIPA Youth presentation during workshop…………………………...24 Photo 7: Compendium of Laws presentation, Momostenango, Totonicapán……24 Photo 8: Water diagnostic survey………………………………………………...26 Photo 9: Food Security Situation Room Training, El Quiché……………………..32 Photo 10: LED Diagnostic meeting, Todos Santos Cuchumatan…………………..32 Photo 11: MOU signing with AGAAI………………………………………………37 Photo 12: ANAM Director speaks to the press…………………………………...38 Photo 13: Project Launch Event……………………………………………………53 Photo 14: Journalists Interview at Launch Event……………………………....…...54 Photo 15: Nexos Locales staff at Year 2 Work Plan Session .…………………….56

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ACRONYMS AAC Area Advisory Committee ADIMAM Municipios Asociación de Desarrollo Integral de Municipalidades del Altiplano Marquense ADS Automated Directive System AGAAI Guatemalan Association of Indigenous Mayors and Authorities ANAM National Association of Municipalities AR Annual Report ASDECOHUE Agencia de Servicios y Desarrollo Económico y Social de Huehuetenango ASOCUCH Asociación de Organizaciones de los Cuchumatanes CCN Cooperating County Nationals CDCS Country Development Cooperation Strategy CEIPA Centro Ecuménico de Integración Pastoral CNCG Climate, Nature, and Communities in Guatemala COCODE Community Development Council COMUDE Municipal Development Council COMUSAN Comisión Municipal de Seguridad Alimentaria y Nutricional COP Chief of Party CRS/SEGEMIL Seguridad Alimentaria Enfocada en los Primeros 1,000 Días CSO Civil Society Organizations DAFIM Comprehensive Municipal Administrative Financial Directorate DCOP Deputy Chief of Party DPM/OMP Municipal Planning Office DRR Disaster Risk Reduction ECO Estudios de Cooperación de Occidente ELSA Economía Local y Seguridad Alimentaria FAS Field Accounting System FLACSO University of Latin American of Social Sciences FMM Myrna Mack Foundation FtF Feed the Future FUNDAECO Fundación para el Eco-desarrollo y la Conservación Organización GIS Geographic Information Systems GUC Grants Under Contract HC3 Health Communication Capacity Collaborative INAP Instituto Nacional de Administración Pública INFOM Instituto de Fomento Municipal IT Information Technology LED Local Economic Development LGBTI Lesbian, Gay, Bisexual, Transsexual, Intersex LOP Life of Project LTTA Long-Term Technical Assistance MAGA Ministerio de Agricultura, Ganadería y Alimentación MAMOSHUE Mancomunidad de Municipios del Sur Occidente del Departamento de Huehuetenango MARN Ministerio de Ambiente y Recursos Naturales MINFIN Ministerio de Finanzas Públicas MOU Memorandum/Memoranda of Understanding NGO Non-Governmental Organization OMA Oficina Municipal de Agua (Municipal Water Office) OMM Municipal Women’s Office PAISANO Programa de Acciones Integradas de Seguridad Alimentaria y Nutricional del Occidente Page 5 of 90

PFM Public Financial Management PMP Performance Management Plan SBCC Social and Behavior Change Communication SEGEPLAN Planning and Programming Presidential Secretariat SESAN Secretaría de Seguridad Alimentaria y Nutricional SMS Short Message Service (text message) SOW Scope of Work RFA Request for Applications RFP Request for Proposals RFQ Request for Quotations RNGG Red Nacional de Grupos Gestores RRF Rapid Response Fund RRFP Rapid Response Fund Plan SEPREM Secretaría Presidencial de la Mujer SOP Standard Operating Procedures STTA Short-Term Technical Assistance TA Technical Assistance TAMIS Total Ammunition Management Information System TNC The Nature Conservancy USAID United States Agency for International Development USG United States Government USN United States National Y1WP Year 1 Work Plan Y2WP Year 2 Work Plan

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EXECUTIVE SUMMARY The first year of Nexos Locales has been both challenging and successful. On the operational level, the project has dealt successfully with the broad range of issues that are inherent to the start-up phase of any program – recruitment and hiring; meeting legal requirements for in-country operation; establishing administrative, financial, and operational platforms; opening offices; and drafting, submitting and receiving USAID approval of all core and contractually required program documents. On the implementation side, the project has focused on defining and rolling-out municipal outreach activities, establishing productive working relationships with all relevant stakeholders, collaborating with USAID WHIP partners, and assessing the capacity and functioning of project municipalities in a variety of technical areas in order to define project activities and technical assistance. Importantly, on the project management side, during Year 1 the project faced management challenges related to the prior leadership of the program that caused delays in technical implementation. As discussed in further detail below, these challenges were formidable, increasingly apparent, and rapidly addressed by DAI in close collaboration with USAID. The second-half of Year 1 (March – September 2015) was largely spent consolidating the technical leadership of the program - including onboarding a new Chief of Party and hiring a core technical team – and re- orienting project resources. DAI also worked closely with USAID to assess and revamp the Year 1 Work Plan, including presenting a revised- and approved - Year 1 Work Plan that moved eleven (11) Year 1 sub-activities to Year 2. These corrective actions have been extremely effective - despite initial delays in technical implementation, as of the date of this submission the project has delivered 100% of its approved Year 1 work plan. Overall, and as noted by USAID, the project is well positioned for success moving forward. Lessons learned and solutions to issues encountered during the year have been incorporated into the project’s Year Two work plan. The COP, DCOP and COR continue to work in concert to push implementation, and keep performance and quality levels high. Activity levels across the board continue to pick up speed, and Nexos Locales is becoming increasingly visible as a key aspect of USG and USAID commitment to the GOG.

While a comprehensive presentation of key Year One accomplishments is provided in Section 1. Summary of Key Achievements, the following is a snapshot of the project’s most significant achievements.  MOUs Signed with 28 of 30 municipalities and 3 mancomunidades, as well as ANAM, AGAAI, WHIP Partners, INAP, SEGEPLAN, SESAN, INFOM: Through the signing of Memoranda of Understanding (MOU) with twenty-eight (28) municipalities, Nexos Locales garnered critical support from and established formal relationships with Mayors, mancomunidades, GOG stakeholders, WHIP partners, and key regional actors.  Completed comprehensive municipal baseline assessments to define and prioritize the project’s technical assistance: Key accomplishments include: o Conducting rapid assessments on the technical assistance needs of the COMUDEs, Food Security Situation Rooms, Municipal Women’s Offices and the mancomunidades in the project coverage area; o Completing rapid assessments in COMUDE functioning, identification of OMM needs, mapping exercises of sector stakeholders; o Completing diagnostic studies under Results 1, 3, 4 and 5 in public finance management, water quality, economic development for increased food security, and knowledge on climate adaptation measures, respectively. The studies mapped key data points, developed extensive baseline data, and provided analysis that will inform the technical assistance plans for each municipality for the life of project base period  Launched critical technical assistance to municipal officials: The project was able to deliver critical TA to municipal partners, including: Page 7 of 90

o Funding participation of water officials from ten municipalities in the INFOM/ANAM Diplomado Course for Water System Management; o Conducting budget analysis training for COCODEs and CSOs from ten (10) municipalities o Completing seven regional PFM workshops in Standard Operating Procedures (SOP) with seventy-seven (77) participants from twenty-four (24) municipalities; o Training CSOs in ten (10) municipalities in basic advocacy techniques of evidence-based advocacy o Training COCODEs in ten (10) municipalities in basic functions of a COCODE and to formulate project proposals for presentations to COMUDEs o Implementing a two-day workshop for municipal officials and mancomunidades examined in theory and practical application of watershed management through a joint effort with TNC/CNGC  Initiated technical support to ANAM and AGAAI: This included conducting an institutional assessment of ANAM and AGAAI, which recommended key areas for technical assistance. The project also supported ANAM in developing a transition workshop for all newly elected mayors and their councils.

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INTRODUCTION USAID’s Nexos Locales Project (Contract No. AID-520-C-14-00002), formally known as the Local Governance Project, is a three year program with two option years that began in June 2014. Implemented by DAI, the project is based in Quetzaltenango, Guatemala with a regional office located in Huehuetenango. USAID’s Nexos Locales Project (hereinafter Nexos Locales) has as its primary goal to strengthen municipalities in the Western Highlands of the country so they foster more responsive, inclusive, and effective socio-economic development while addressing local vulnerabilities such as food insecurity and natural disasters. In order to achieve this goal and the objectives of both USAID and other development partners, local governments must be able to better manage public resources and deliver services in an efficient and transparent manner. Strong and inclusive municipal governments are crucial for local development and are crucial to the sustainability of interventions supported by the United States Government (USG) in Guatemala.

Nexos Locales focuses its resources and technical assistance to the geographic region of the Western Highlands, which is considered Guatemala’s region of greatest need. Specifically, Nexos Locales is working collaboratively in the departments of Huehuetenango, San Marcos, Quetzaltenango, Totonicapán and Quiché, and will concentrate activities in the five departments around the needs of agriculture, health, and education programming. Citizen security and environment programming will be focused in municipalities and regions where there is greatest need. The table below delineates the areas of intervention of the Nexos Locales Project, followed by a geographic map on the next page.

Table 1: Regional Cluster Integration RC 2 RC 1 Quetzaltenango, RC 3 Huehuetenango Totonicapán San Marcos Southern Quiché 1. Chiantla 1. San Juan Ostuncalco 1. Nuevo 2. 2. Concepción Progreso 3. San Sebastián Chiquirichapa 2. San José El Huehuetenango 3. Momostenango Rodeo 4. Todos Santos 4. Santa Lucia La 3. San Lorenzo Cuchumatan Reforma 4. San Miguel 5. Cuilco 5. Santo Tomás Ixtahuacán 6. Concepción Huista Chichicastenango 5. San Pablo 7. 6. 6. San Rafael Pie 8. La Libertad de la Cuesta 9. La Democracia 7. Sibinal 10. 8. Tajumulco

Sub/RC1 North of Quiché

1. Santa María 2. Cunén 3. 4. 5. 6. Uspantán

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Map1: Nexos Locales Geographic Coverage

Pursuant to Section F.6(2) of the contract this quarterly/annual report presents progress against the project’s six result areas and cross-cutting themes, covering the quarterly reporting period between June and September 2015 and the annual reporting period between October 2014 and September 2015.

The six result areas include:  Result #01 – Sound public financial systems in place in order to promote transparency and permit participation by citizens in decision-making.  Result #02 – Strengthen civil society participation in social accountability processes.  Result #03 – Increased quality of potable water in thirty (30) Feed-the-Future (FtF) municipalities.  Result #04 – Local Development Plans established and implemented in order to improve food security and economic development.  Result#05 – Municipal Plans established to reduce climate change vulnerability and technical assistance provided for implementation of plans.  Result #06 – Capacity increased for the National Association of Municipalities (ANAM) and/or the Guatemalan Association of Indigenous Mayors and Authorities (AGAAI) to support municipal development and replicate successful models nationwide, including municipal crime prevention plans.

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The following cross-cutting themes are woven into all Nexos Locales’ Sub-Activities:  Gender Equity & Social Inclusion - Gender equity is a priority of the United States Government, and USAID continues to play a leading role in that effort. The project developed a Gender and Social Inclusion plan, which applies a gender lens to project activity design and implementation. Each activity design considered issues that disproportionately constrain women’s participation in governance processes related to all six project results. For example, Nexos Locales required grantees providing trainings to rural women to offer on-site child care to facilitate women’s participation in the courses. When considering equity, or other vulnerable populations, such as the Lesbian, Gay, Bi-sexual, Transsexual and Inter-sexual (LGBTI), similar constraints were taken into account.  Youth – Nexos Locales understands the very critical role that youth will play in this project’s success. Activity by activity considerations were included in each of the year one workplan activities. During year one, the project strengthened youth participation and integrated youth considerations into programming, including developing a gender and youth integration plan and youth strategy, and focusing the participation of youth into advocacy and awareness campaigns in the lead up to the 2015 national and municipal elections.  Indigenous Perspectives - The project’s geographic focus on the Western Highlands necessitates a culturally relevant and sensitive implementing approach to the communities in which Nexos Locales works. The project is committed to seeking ways to bridge the enormous socio-economic gap between the Ladino group and indigenous communities, and to implement activities in ways that consider traditional indigenous values. Throughout year one, Nexos Locales programmed the perspectives of the indigenous communities, such as language, culture, and the cosmovisión, into regional trainings and workshops.  Feed-the-Future (FtF) Principles - Throughout year one, Nexos Locales programmed the following principles into its technical implementation approach: linking value chain activities with improved nutrition and dietary diversity; changing food consumption behavior to encourage dietary diversity and improvement in childhood nutrition among target beneficiaries; maximizing the likelihood of sustainability by working with municipal and community leaders; recognizing the importance of the application of the Thousand Days Approach in addressing maternal and child health and chronic malnutrition; coordinating with the private sector on technical, managerial, and financial support for integration of nutrition related activities into USAID-funded programming and investing in agriculture-related activities, such as small infrastructure, or packing plants as an opportunity for job and income generation in the focus area. These principles played a key role in Result 4 Sub-Activities.

This Quarterly/Annual Report is divided into the following sections:  Section 1 – Summary of Key Achievements  Section II – Achievements by Result and Activity  Section III – Cross Cutting Themes  Section IV – Obstacles Faced & Lessons Learned  Section V – Training Events  Section VI – Monitoring & Evaluation  Section VII – Grants & Rapid Response Funds  Section VIII – Project Management  Section IX – Financial Information  Section X – Annual Inventory Report  Section XI – Annexes

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I. SUMMARY OF KEY ACHIEVEMENTS

HIGHLIGHTS FOR THE FIFTH QUARTER

Highlights for the Fifth Quarter (July – September 2015) are listed below:

Technical Activities Performed in the Fifth Quarter  Completed diagnostic studies under Results 1, 3, 4 and 5 in public finance management, water quality, economic development for increased food security, and knowledge on climate adaptation measures, respectively. The studies mapped key data points, developed extensive baseline data, and provided analysis that will inform the technical assistance plans for each municipality for the life of project base period  Conducted budget analysis training for COCODEs and CSOs from ten (10) municipalities  Trained CSOs in ten (10) municipalities in basic advocacy techniques of evidence-based advocacy  Conducted trainings for COCODEs in ten (10) municipalities in basic functions of a COCODE and to formulate project proposals for presentations to COMUDEs  Provided immediate responses to OMMs technical assistance (TA) and equipment needs  Completed first drafts of strategic business and investment plans for improving water service delivery in ten (10) municipalities  Convened stakeholders for workshops on importance of the SAN Situation Rooms  Implemented a two-day workshop for municipal officials and mancomunidades examined in theory and practical application of watershed management through a joint effort with TNC/CNGC  Conducted a study of adverse agricultural policies in the altiplano  Coordinated extensively with national, state and municipal actors to address the political factors that impede the effective functioning of the Food Security Situation Rooms;  Initiated the first phases on a long-term, SBCC campaign on climate change adaptation measures jointly with TNC/CNGC  Conducted institutional assessment of ANAM and AGAAI, which recommended key areas for technical assistance  Supported ANAM in developing a transition workshop for all newly elected mayors and their councils  Supported CEIPA in the promotion of youth advocacy agendas in lead-up to municipal elections  At the request of USAID, undertook a rapid response funded Health Decentralization study to design and propose a model for consideration by USAID in formulating decentralized delivery of health services via health districts and municipalities  Approved under the rapid response mechanism, awarded an in-kind grant to Grupos Gestores in the coordination and implementation of Guatemala’s first annual Competitiveness Working Table.

Fifth Quarter Results  Completed 100% of all activities approved in the revised Year 1 work plan as of September 30th, 2015 (see Annex II) in spite of some initial and unforeseen technical startup delays

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 Received USAID approval for the Nexos Locales Gender Equity and Social Inclusion Plan  Completed and received USAID approval of the project’s Youth Strategy  Provided in-kind grant to ANAM in the distribution and disposition of computer equipment and office furniture as a result of the OMM rapid assessments  Submitted the Nexos Locales Year 2 Work Plan (Y2WP)  Received final approval of Performance Monitoring Plan September 24, 2015  Received USAID approval for the Nexos Locales Fourth Quarterly Technical & Financial Report  Received USAID approval for the Nexos Locales Rapid Response Plan

Fifth Quarter Project Management  Recruited and selected project long-term technical and administrative staff, including: Youth, Social Inclusion, and Result 2 Team Leader, Elva Cutz, GIS Specialist, Hector Solis, Municipal Outreach Specialist Huehuetenango, Irma Mireya Florian Rios, Program Assistant, Cinthya Alvarado, Grants Assistant, Luis Molina, Human Resource Accountant, Jose Monterroso, Senior Driver and Motor Pool Manager, Henry McKnight, and Technical Writer, Lucille Nicholls (USN). A Local Government Specialist, Deyna Caal, was recruited and will begin work as Result 6 Team Leader in October 2015.  Through a Memorandum of Understanding with the United States Guatemala Peace Corps Office, Response Volunteer, Daniel Fleming, a specialist in water, was assigned to assist Nexos Locales in Results 3 & 5. Mr. Fleming receives administrative support from Nexos Locales. Held an all-staff year two work planning workshop in Antigua, Guatemala whereby youth from the altiplano were invited to participate and contribute ideas in program activity design. HIGHLIGHTS FOR YEAR ONE

Technical Highlights for Year 1 (October 1, 2014 – September 30, 2015) are listed below:

Technical Activities Performed Earlier in Year 1  Signed Memoranda of Understanding with twenty-eight (28) municipalities  Signed Memoranda of Understanding with ANAM, AGAAI, WHIP Partners, INAP, SEGEPLAN, SESAN, and INFOM  Mapped and selected fifty-five (55) COCODEs for budget analysis training  Established an Area Advisory Committee in each cluster  Mapped, selected, and signed MOU with three (3) target mancomunidades  Developed Entry Point Maps in each cluster that record key municipal, donor, and CSO actors and programs in each municipality, with an emphasis on WHIP partners  Conducted on-going meetings with indigenous authorities to ensure incorporation of their concerns into the project  Conducted rapid assessments on the technical assistance needs of the COMUDEs, Food Security Situation Rooms, Municipal Women’s Offices and the mancomunidades in the project coverage area  Funded participation of water officials from ten (10) municipalities in the INFOM/ANAM Diplomado Course for Water System Management  Completed seven (7) regional PFM workshops in Standard Operating Procedures (SOP) with seventy-seven (77) participants from twenty-four (24) municipalities  Successful project launches in Quetzaltenango and a regional “soft” launch in Huehuetenango. Combined, the two events drew over 400 participants from the Western Highlands, national institutions, and the USAID Guatemala Mission Director

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Earlier Year 1 Results  Received USAID approval of the project grants manual  Received USAID approval of the Rapid Response Fund manual  Provided direct financial assistance to ANAM to facilitate the participation of mayors that fall within the Nexos Locales coverage area to attend ANAM’s annual conference of Mayors  Provided direct in-kind support to the municipality of Momostenango by re-printing 175 “compendio de leyes” for a municipality led training

Earlier Year 1 Project Management  Conducted entrance (post-award) conference meetings with USAID in July 2014 and June 2015 (with new Chief of Party and Deputy Chief of Party)  Established fully functioning project offices in Quetzaltenango and Huehuetenango  Completed project staffing, onboarding and training in technical and administrative responsibilities  Completed project IT equipment, furniture, vehicle, and service procurement  Completed and received DAI Guatemala country registration  Customized project TAMIS and other IT systems for Nexos Locales  Received USAID approval for the procurement of two new project vehicles (4x4)  Completed two high-visible, successful project launches in Quetzaltenango and Huehuetenango  Received USAID approval for the project Branding & Marking Plan  Received USAID approval for the launch of the Nexos Locales project website (www.nexoslocales.com)  Established social media pages on Facebook and Twitter

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II. ACHIEVEMENTS BY RESULT & ACTIVITY RESULT 1: SOUND PUBLIC FINANCIAL SYSTEMS IN PLACE IN ORDER TO PROMOTE TRANSPARENCY AND PERMIT PARTICIPATION BY CITIZENS IN DECISION MAKING

Result 1 calls for activities that strengthen municipal capacity in public financial management (PFM), in governance and transparency, and that improve the mancomunidades’ ability to implement regional strategies on behalf of their member municipalities. Activities are coordinated with ruling bodies of the corresponding themes, such as the Ministry of Public Finances (MINFIN) and the General Planning Secretariat (SEGEPLAN). The Nexos Locales approach includes collaboration among municipalities to share best practices and lessons-learned, the use of local staff from partner institutions, and encouraging citizens to use federal transparency and budget laws to access information on municipal budgets, expenditures, and conduct.

The project completed 100% of Result 1 activities in the approved Year 1 work plan. Assessments of public finance management and COMUDE functioning drew detailed pictures of technical assistance needs in each municipality. Through trainings in standard operating procedures, municipal finance officials were able to promote the sustainability of existing systems and procedures through the electoral transitional period. Mapping and selection of mancomunidades laid the groundwork for subsequent collaboration with these bodies.

KEY ACCOMPLISHMENTS/HIGHLIGHTS FOR THE 5TH QUARTER/YEAR

Fifth Quarter Accomplishments:  Completed implementation and analysis of PFM assessments by subcontractor FLACSO in twenty-nine (29) municipalities

Earlier Year 1 Accomplishments:  Signed Memoranda of Understanding (MOU) with twenty-eight (28) of the thirty (30) municipalities  Conducted seven (7) regional PFM standard operating procedures workshops for seventy-seven (77) participants from twenty-four (24) municipalities  Completed a Rapid Assessment of COMUDE functioning and subsequent technical assistance plans that classify TA needs into four (4) categories  Mapped, selected, and signed MOU with three (3) mancomunidades

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ACTIVITIES/WORK IN PROGRESS

Activity 1.1—Assess capacity of target municipalities, particularly in the areas of revenue generation, purchasing and procurement, administration and planning, and compliance with the Public Access to Information Law.

Sub-Activity 1.1.1 Development of MOU with municipalities: Nexos Locales signed MOU with twenty-eight (28) municipalities which define the parameters of cooperation under the project. Because of extensive social conflict in Santa Cruz Barillas, Huehuetenango and political conflict in Zacualpa, El Quiché, the signing of MOU in these two municipalities had to be delayed until after the elections in September 2015. In the case of Barillas, the conflict was between the mayor and civil society, which made it impossible for the project to work jointly with both parties. In the case of Zacualpa, because the mayor faced strong opposition by much of the Photo 1: Huehuetenango MOU Signing Event. From Left to Right: Mayor citizenry, he did not feel authorized to of La Libertad, Mayor of Todos Santos Cuchumatan, Mayor of San commit the municipality to an MOU with Sebastian Huehuetenango, former Nexos Locales Regional Cluster Manager, Former Nexos Locales Chief of Party, Mayor of Jacaltenango, Nexos Locales. Mayor of San Antonio Huista, Mayor of La Libertad, and Nexos Locales Deputy Chief of Party. MOU signings with the twenty-eight (28) municipalities achieved an important milestone that facilitates joint efforts and cooperation between Nexos Locales and the municipalities in fulfilling shared development outcomes that meet the needs of the region. By signing an MOU with Nexos Locales, Mayors sent a strong message to their communities that they are committed to improving the lives of their constituents and creating positive change in the region. This message was reinforced in Huehuetenango where nine (9) mayors, including civil society and government institutions, were gathered in the same room, a site rarely seen in the department.

Sub-Activity 1.1.2 Development, presentation, and validation of PFM assessments: The University of Latin American Social Sciences (or FLACSO in its Spanish acronym) conducted an in depth assessment and analysis of the financial situation and level of citizen participation in twenty-nine (29) of the thirty (30) project municipalities. The assessment used a proven PFM diagnostic tool developed by DAI, with twenty-eight (28) indicators that evaluated key aspects of municipal finances, citizen participation, transparency, and accountability.

Key findings from the assessments included low performance in own-source revenue generation and weaknesses in the income collection process. Overall, 50% of municipalities have acceptable performance levels regarding public financial management and citizen involvement in budgetary processes. Presentation and validation of the assessments will be included in discussions on the technical assistance plans developed for each municipality in Year 2. This assessment will serve as an excellent baseline for measuring results of future program investments.

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Table 2. Summary Ranking of Result #01 Public Financial Management Diagnostics Percentage of the 29 Municipalities in Each Scoring Classification, by Key Criteria Studied in the PFM Assessment Green Yellow Red (High Capacity) (Average Capacity) (Low Capacity) No 1 Citizen Participation 26% 31% 43% 2 Budgeting 26% 21% 53% 3 Auditing 46% 45% 9% 4 Accounting 50% 0% 50% 5 Treasury 13% 12% 75% 6 Procurement 69% 10% 21% 7 Transparency 13% 56% 31%

Sub-Activity 1.1.3 Development of PFM Technical Assistance Plans: As agreed with USAID, this Sub-Activity was moved to Year 2.

Sub-Activity 1.1.4 GIS data tracking of PFM assessment results: As agreed with USAID, this Sub-Activity was moved to Year 2.

Activity 1.2—Deliver technical assistance that meets the specific needs of the target municipalities.

Sub-Activity 1.2.1 Refine MOU to specify technical assistance requirements: As agreed with USAID, this Sub-Activity was moved to Year 2. Photo 2 – PFM SOP Training - Nexos Locales Public Financial Sub-Activity 1.2.2 Identify the most common areas of Management expert, Karla Milian, conducts a regional training workshop on PFM Standard Operating Procedure in technical assistance needs across the municipalities: As Jacaltenango, Huehuetenango. agreed with USAID, this Sub-Activity was moved to Year 2.

Sub-Activity 1.2.3 Eight (8) sub-regional training workshops on PFM Standard Operating Procedures: Nexos Locales conducted seven (7) regional, one-day workshops in conjunction with DAFIM on PFM conceptual frameworks for budgeting and accounting, and the management of revenue and expenditures in accordance with Standard Operating Procedures set forth by DAFIM. Seven (7), rather than the planned eight (8) workshops, were conducted to include all participating municipalities within a shorter timeframe. The project’s long-term PFM specialist conducted the trainings which increased the capacity of seventy-seven (77) participants from twenty-four (24) project municipalities to promote transparency, manage public finances, and implement standard operating procedures throughout the transitional period after elections. This re-enforcement of DAFIM employees’ knowledge of SOP will greatly sustain exiting PFM systems and procedures through the electoral transition.

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Activity 1.3—Strengthen the role of COMUDEs to engage citizens in government decision making.

Sub-Activity 1.3.1 Rapid assessments of COMUDE functioning and capacity to carry out their mandates: Conducted by cluster managers, the rapid assessments examined how the COMUDEs function against their legal mandates and how work is currently being executed with regard to public participation. Information was collected through interviews with members of each COMUDE, officials from the OMM and OMP, and various WHIP associates. The criteria for evaluation included: frequency of meetings; integration of COCODEs; participation of women, youth, and indigenous peoples; participatory planning processes; transparency of finances; and trainings received.

The findings were compiled in a report entitled “Rapid Assessment of COMUDE Functioning and Capacity”, and COMUDEs were assigned a grade of A (high-functioning), B, C, or D (very low- functioning or no existing COMUDE). The assessment found that 60% of the COMUDEs under Nexos Locales are performing at less than 60% of their required functions. Additionally, only four (4) COMUDEs (Uspantán, Concepción Chiquirichapa, Sibinal, and Todos Santos Cuchumatan) scored above 80%. Going forward into Year 2, each COMUDE will attend workshops according to their performance grade as determined by the assessment, with Category A receiving advanced TA in topics like participatory budgeting and planning, through to Category D trainings which will focus on establishing an effective COMUDE. This assessment laid the groundwork for TA planning during the remainder of the project.

Table 3. Results of Rapid Assessment of COMUDE Performance

# Municipality Category

COMUDE Functioning (%) Integration of Commissions (%) Participation of COCODEs (%) Participation of Other Institutions (%) Accountability (%) Performance Index (%) 1 Uspantán 100.00 100.00 100.00 67.00 100.00 93.40 A 2 Concepción Chiquirichapa 60.00 100.00 100.00 67.00 100.00 85.40 A 3 Sibinal 60.00 100.00 100.00 50.00 100.00 82.00 A 4 Todos Santos Cuchumatan 100.00 100.00 100.00 50.00 50.00 80.00 A 5 San Juan Ostuncalco 60.00 100.00 100.00 33.00 100.00 78.60 B 6 Santa Lucia la Reforma 60.00 0.00 100.00 50.00 100.00 78.00 B 7 Momostenango 60.00 80.00 100.00 50.00 100.00 78.00 B 8 Chichicastenango 60.00 80.00 100.00 50.00 0.00 78.00 B 9 Chiantla 100.00 100.00 100.00 33.00 50.00 76.60 B 10 San Sebastián Huehuetenango 100.00 80.00 100.00 17.00 50.00 69.40 B 11 San Lorenzo 60.00 100.00 100.00 33.00 50.00 68.60 B 12 Cuilco 40.00 80.00 100.00 33.00 50.00 60.60 B 13 Concepción Huista 24.00 80.00 100.00 33.00 50.00 57.40 C 14 San Antonio Huista 24.00 80.00 100.00 33.00 50.00 57.40 C 15 Jacaltenango 40.00 80.00 100.00 17.00 50.00 57.40 C

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16 Sacapulas 80.00 100.00 0.00 0.00 100.00 56.00 C 17 La Democracia 24.00 80.00 100.00 17.00 50.00 54.20 C 18 La Libertad 24.00 80.00 100.00 17.00 50.00 54.20 C 19 Nebaj 60.00 100.00 100.00 0.00 0.00 52.00 C 20 Cunén 44.00 80.00 0.00 0.00 100.00 44.80 C 21 Nuevo Progreso 20.00 20.00 100.00 17.00 0.00 31.40 D 22 Zacualpa 20.00 60.00 100.00 0.00 0.00 36.00 D 23 Tajumulco 24.00 20.00 100.00 0.00 0.00 28.80 D 24 Barillas 20.00 60.00 0.00 0.00 0.00 16.00 D 25 Cotzal 20.00 0.00 0.00 0.00 50.00 14.00 D 26 Chajul 4.00 0.00 0.00 0.00 0.00 0.80 D 27 San Pablo 0.00 0.00 0.00 0.00 0.00 0.00 D 28 San Jose el Rodeo 0.00 0.00 0.00 0.00 0.00 0.00 D 29 San Rafael Pie de la Cuesta 0.00 0.00 0.00 0.00 0.00 0.00 D 30 San Miguel Ixtahuacan 0.00 0.00 0.00 0.00 0.00 0.00 D Means 43% 62% 70% 22% 45% 50% C

Sub-Activity 1.3.2 Develop technical assistance plans for each COMUDE: The cluster staff developed these plans in collaboration with each COMUDE in their cluster. The TA plans are summarized in table 5:

Table 4. Summarized TA Plans for each COMUDE COMUDE Number of Number of Performance Workshop Content Months Planned COMUDEs Workshops Category Improving citizen participation and participatory planning, participatory budget processes, and accountability. Generally, these workshops will focus on February, April, A and B 12 4 sensitizing COMUDEs and other June, August municipal governments to the importance of including women, youth, and indigenous peoples in the decision-making processes. The legal framework for municipal management, the importance of including women, youth, and indigenous peoples in decision- making processes, and training on the structure and organization of C 8 COMUDEs. These will be 6 1/mo. February - July achieved primarily by increasing the amount of monthly COMUDE meetings, increasing the amount of participants from the targeted minority groups, and organizing work commissions.

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The same topics as for Group C, but with two (2) additional 1/mo. February - D 10 workshop sessions because of the 8 August lower-level knowledge base of these COMUDEs.

Sub-Activity 1.3.3 Initial meetings on the COMUDE technical assistance plans will be implemented: Cluster staff held these meetings in August and September 2015, to discuss the TA plans for each COMUDE along with the most helpful timing and means of providing the assistance. The meetings included mayors, COMUDE officials, and municipal planning officials and set forth a path for future project engagement with the COMUDEs.

Activity 1.4—Build the capacity of the mancomunidades to develop and implement regional strategies.

Sub-Activity 1.4.1 Select mancomunidades: Sub-Activities 1.4.1 and 1.4.2 were conducted in reverse of the order planned. That is, rather than map only the selected mancomunidades, cluster staff first mapped all seven (7) mancomunidades in the project coverage area and then based the final selection on mapping results. As such, both Sub-Activities are reported here.

Cluster staff mapped seven (7) mancomunidades against the following criteria:

1. Interest in the project; 2. Size of the geographic coverage area; 3. Connections to WHIP programing; 4. Propensity towards gender considerations; 5. Willingness to share lessons learned with other mancomunidades and other evidence the mancomunidades’ potential for producing a magnifier effect through replication of best practices to more distant mancomunidades within each cluster.

The process resulted in the selection of three (3) mancomunidades for participation in Nexos Locales activities:

 Mancomunidad de Municipios MAMSOHUE  Mancomunidad de Municipios Metrópoli de los Altos  Mancomunidad de Municipios Asociación de Desarrollo Integral de Municipalidades del Altiplano Marquense ADIMAM

In addition to scoring well against the stated criteria, these mancomunidades excel in the areas of economic growth, management of natural resources, and civic participation. As organizations that cross political and geographic divides, high-functioning mancomunidades have great potential for producing a magnifying effect through replication of best practices to the more distant municipalities within each cluster, and are essential to enhancing the efforts of Nexos Locales. Working through mancomunidades enables Nexos Locales to deliver sustainable development outcomes that provide benefits beyond the expanse of project municipalities, especially in addressing an originating source of poor water quality outside of Nexos Locales specific municipalities.

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Sub-Activity 1.4.2 Mapping of selected mancomunidades: See Sub-Activity 1.4.1 above.

Sub-Activity 1.4.3 Develop and sign MOU with selected mancomunidades: The MOU define intervention strategies to promote regional dynamics regarding economic development, providing basic and productive infrastructure, and the strengthening of and participation by different sectors. All three (3) MOU were signed in May and June 2015. The signing ceremonies generated in-depth discussions with mancomunidades regarding their expectations of the project and brought to light three (3) major areas of interest: projects to include water quality and quantity; support to municipalities in sewage treatment and disposal of solid waste; and technical assistance in improving agricultural production. RESULT 2: STRENGTHEN CIVIL SOCIETY PARTICIPATION IN SOCIAL ACCOUNTABILITY PROCESSES

To achieve this Result, Nexos Locales works with CSOs, community organizations (including, but not limited to, Community Development Councils - COCODEs), and citizens to strengthen their capability to engage actively and independently in municipal social accountability and citizen participation mechanisms. The Project focuses on civil society participation in the COMUDE level, but also promotes other innovative social accountability mechanisms (including the Public Access to Information Law). A special focus on the marginalized populations mentioned in Cross-Cutting Considerations (youth, women, indigenous, LGBTI and disabled) will allow the project to reach groups who otherwise often have very limited involvement in participatory processes.

The Project completed 100% of Result 2 activities in the Year 1 work plan, setting the stage for dynamic citizen participation under the project. After assessing COCODE technical assistance needs and selecting a first group of COCODEs to receive budget analysis training, the project conducted these trainings for 103 members of COCODEs and CSOs from 11 municipalities. One hundred and forty-nine (149) members of the same COCODEs gained a full understanding of the basic functions of COCODEs and how to formulate project proposals for submission to COMUDEs. Additionally, 120 CSO members received training in basic advocacy techniques.

KEY ACCOMPLISHMENTS/HIGHLIGHTS FOR THE 5TH QUARTER/YEAR Photo 3: Managing Director of the Mancomunidad Metropoli de los Altos, Mr. Luis Ochoa, and Nexos Fifth Quarter Accomplishments: Locales Chief of Party, Ms. Connie Paraskeva, sign an  Eight (8) regional workshops to train COCODEs MOU in a show of commitment to the department of Quetzaltenango. and CSOs in budget analysis  Eight (8) regional workshops to train CSOs in basic advocacy techniques  Eleven (11) workshop series in COCODE basic functions and project formulation  Recruited and hired Youth and Social Inclusion Coordinator (Result 2 Technical Specialist), Elva Cutz Yax

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Earlier Year 1 Accomplishments:  Completed in-depth analysis and selection of CSOs for Budget Analysis training  Completed a desktop survey of existing COCODE technical assistance needs  Provided in-kind assistance to Momostenango through the printing and delivery of “Compendium of Laws” for municipal training (Unplanned work plan activity; implemented in close Photo 4: Municipal Outreach Specialist, Mireya Florian (pictured top left) poses collaboration with COR prior to with participants from Chiantla, Huehuetenango, as they proudly hold up receiving USAID approval for the certifications provided by Myrna Mack Foundation for completing the advocacy Rapid Response Plan) training.

ACTIVITIES/WORK IN PROGRESS

Activity 2.1—Conduct an entry point map.

Sub-Activity 2.1.1 Develop entry points for all 30 municipalities: This process began early in Year 1 to help cluster staff familiarize themselves with key actors within the municipalities under their responsibility. The mapping was completed in February 2015, with one (1) map per cluster. This mapping includes levels of women’s participation in decision-making processes and men’s attitudes toward their participation.

Activity 2.2—Train citizens so they can analyze local authority budgets and public spending.

Sub-Activity 2.2.1 Select municipalities and COCODEs for Budget Analysis Training: Cluster managers selected ten (10) municipalities and an average of five (5) COCODEs per municipality to participate in Budget Analysis training. Selection criteria included the level of functioning of each COMUDE, connection to WHIP programming, interest in the Nexos Locales project, lessons learned (previous cases of citizen participation in municipal matters), previous actions promoting participation of women, and ability to produce a ‘magnifier effect’ amongst other municipalities. Findings were compiled in a document entitled “Criterios de Selección de Municipios y COCODEs para Capacitación de Análisis de Presupuesto.” As a result, fifty-five (55) COCODEs from eleven (11) municipalities were selected for invitation to participate in the four (4) regional Budget Analysis workshops implemented in August and September.

Sub-Activity 2.2.2 Eight (8) regional workshops to train CSOs and COCODEs in budget analysis: A total of 103 participants from COCODEs and CSOs learned how to access and demystify municipal budgets for planning and advocacy purposes. Under a grant to the Myrna Mack Foundation, the trainings were conducted through eight (8) regional workshops (in 4 departments, 2, two-day sessions each) in August and September. In spite of the fact that the first two (2) regional workshops took place in the week of elections and were severely affected by roadblocks and participants’ previous commitments, a total of forty-eight (48) participants (22 of whom were women) completed a minimum of sixteen (16) hours of training. A further fifty-five (55) participants attended the workshop, but are not counted in the

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Performance Monitoring plan because either their attendance was incomplete or they missed taking a pre- or post-test.

Activity 2.3—Build the capacity of CSOs to engage municipalities through COMUDEs.

Sub-Activity 2.3.1 Eight (8) regional workshops to train CSOs in basic advocacy techniques: Also implemented by the Myrna Mack Foundation, these eight (8) regional workshops (in four (4) departments, two (2) sessions of two (2) days each) reached 120 participants in the topics of prioritizing advocacy issues, mapping stakeholders, and formulating action Photo 5: Nexos Locales Grantee, CEIPA, organizes a Youth-led roundtable with Mayoral Candidates from Chichicastenango, plans to implement advocacy strategies. The Quiche. concurrence of national elections affected attendance, but also reinforced the importance of needs-based development, and holding government officials accountable in a non-confrontational manner. The workshops emphasized the importance of advocacy positions based on solid evidence, articulating advocacy issues effectively and to the most relevant audiences. In total, sixty-four (64) participants (42 of whom were women) representing various community service organizations completed a minimum of sixteen (16) hours of training, as well as pre and post-tests for learning measurement. These training courses were also constrained by election campaign events and roadblocks resulting nationwide anti-corruption marches. As such, a further fifty- six (56) participants attended the workshop, but due to incomplete attendance and/or lack of pre and post-tests, they are not counted towards PMP target numbers. Furthermore, the Myrna Mack Foundation compiled a list of eleven (11) CSOs that are prepared to apply for funding (up to $500 each) towards advocacy activities in Year 2. The list details the CSO, community, issue, and goals for each applicant. As a result, course participants now have the skills to identify community needs, develop and implement advocacy strategies, and develop and disseminate the advocacy message to other community members.

Activity 2.4—Support CSOs to implement social accountability mechanisms.

Sub-Activity 2.4.1 Developing election transition plans: Initial research into this concept found that CSOs generally do not find transition plans useful because newly elected officials largely disregard the plans. Through a grant to CEIPA, however, Nexos Locales supported a total of 250 youth in promoting youth advocacy agendas with electoral candidates. The same grant will permit these youth to pursue these agendas with the newly elected mayors through CY 2015. As such, this activity served the spirit of electoral transition plan development. One-hundred and fifty of these youth are counted towards targets in the PMP. The remaining youth were not counted because of only partial attendance records.

The CEIPA grant funded a course called “Youth Leader Development”, which culminated in the development of a set of Youth Policy Agendas to promote youth advocacy issues in the lead-up to municipal elections. Youth from five (5) municipalities (Chichicastenango, Santa Lucia la Reforma, Concepción Chiquirichapa, San Juan Ostuncalco and Momostenango) received training in the topics of civic participation, functions of political systems in Guatemala, and opening relevant dialogues with educational establishments and political representatives. The Youth Policy Agendas were developed through community mapping and interviews with key actors and research of municipal documents and statistics. The agendas included support for the basic rights of children and youth, the Municipal Youth Offices, and the participation of youth in municipal and community decision-making spaces.

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After completing the course, youth participants presented their policy agendas in two (2) forums convened with mayoral candidates in San Juan Ostuncalco and Concepción Chiquirichapa, one (1) round table discussion in Chichicastenango, and three (3) larger dialogue sessions in Momostenango, Concepción Chiquirichapa, and San Juan Ostuncalco. After the elections the Policy Agendas were presented to the mayors-elect in each of the municipalities. Participating youth will continue to press the issues raised in the agendas through the duration of the grant (through December 2015).

Activity 2.5—Provide technical assistance to the COCODEs through grants to CSOs. Photo 6: Youth present what they learned from CEIPA during a workshop on how to conduct a youth diagnostic. Sub-Activity 2.5.1 Desktop survey of existing COCODE technical assistance needs: Within the departments of Quiché, Huehuetenango, San Marcos, and Quetzaltenango, eleven (11) municipalities and their associated COCODEs were selected to participate in a desktop study of COCODE technical assistance needs. The findings are compiled in a report titled “Necesidades de Asistencia Técnica a COCODEs”, and were supported by the document previously created for Sub-Activity 2.2.1, titled “Criterios de Selección de Municipios y COCODEs para Capacitación de Análisis de Presupuesto.” Findings were established by way of brainstorming sessions with community coordinators in which strengths and weaknesses were identified, as well as through the completion of detailed questionnaires regarding participatory budgets, advocacy, administrations, and attendance at previous workshops. Overall, the survey found the need for institutional strengthening in the following categories: Organization (role of leaders, general functions of the COCODE); Management and Advocacy (identifying needs, knowledge of municipal codes and laws, citizen participation); and finally, Administration (work plans, account books, financial reports). This information was used to design the regional workshops described in the following Sub-Activity.

Sub-Activity 2.5.2 Formulation of CSO projects (including basic functions of the COCODEs): Under a grant to the local NGO, ECO, Nexos Locales trained COCODEs from eleven (11) municipalities in their basic functions, with an emphasis on formulation of projects for proposal to COMUDEs. In four (4), one-day sessions, the training included COCODE mandates, diagnosis of community needs, and the importance of women’s and youth’s participation in community decision-making processes. Members of COCODE Women’s Commissions were required to participate in the trainings. Although turnout was diminished by election activities and roadblocks, there was strong representation Photo 7: The City Manager of Momostenango presents the “Compendium of from each municipality. A total of 417 Laws” to public administrators of the municipality. COCODE members attended the training. Of these, 149 are counted towards PMP targets. Of

Page 24 of 90 these 149, sixty-three (63) were women. The remaining attendees were not counted because of either incomplete attendance records or their failure to take a pre- or post-test.

Course participants expressed strong enthusiasm for their plans to apply the skills learned in the course towards more effective performance of their COCODEs.

ADDITIONAL ACTIVITIES: Compilation of ‘Compendium of Laws’ and subsequent training: In response to a request from the municipality of Momostenango, Nexos Locales provided direct in-kind assistance through the printing and delivery of a ‘Compendium of Laws’. The Compendiums were used by the municipality to conduct a local training on April 9th for fifty-eight (58) mayors and secretaries, which include community mayors and secretaries. The document included laws such as the Constitution of the Republic of Guatemala, General Decentralization Law, the Urban Councils Act and Rural Development, Municipal Code, Law on Access to Information and a guide of how to interpret the Law against Corruption.

RESULT 3: INCREASED QUALITY OF POTABLE WATER IN 30 FEED THE FUTURE (FTF) MUNICIPALITIES

Throughout the life of project, Nexos Locales’ approach to achieving this result focuses on increasing access to clean water, particularly for the most disadvantaged populations, and thinking also in terms of increasing productive capacities, by strengthening service providers’ capacity. By improving municipal provision of water services, citizens’ confidence in their municipalities will increase, as will citizens’ socioeconomic well-being. As such, the Project promotes the availability of clean water through support to water system management as well as preservation of the watersheds that serve project municipalities.

Because of the close connection between water resources and climate change, activities under this result are conducted in close collaboration with those of Result 5. In Year 1, a complete map of water sector stakeholders was created through a thorough diagnostic study that also mapped climate change vulnerabilities, awareness, and potential adaptation methods (see Table 6 for summary findings of the diagnostic). Additionally, a two-day workshop permitted municipal officials and members of mancomunidades to exchange ideas on the management of a high-elevation watershed that feeds the Samalá River, as well as the Eschaquichoj micro-watershed. The project also developed first drafts of strategic business and investment plans to sustain water systems in ten (10) municipalities.

KEY ACCOMPLISHMENTS/HIGHLIGHTS FOR THE 5TH QUARTER/YEAR

Fifth Quarter Accomplishments:  Completed extensive diagnostics of water sector stakeholders in twenty-nine (29) municipalities  Completed first drafts of strategic business and investment plans for improving water service delivery in ten (10) municipalities  Through a joint effort with TNC/CNGC to increase impact within the WHIP region, authorities from ten (10) municipalities and members of five (5) mancomunidades examined both theory and practical application of watershed management techniques in the Rio Samalá and Eschaquichoj watersheds

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Earlier Year 1 Accomplishments  All accomplishments from Result 3 occurred in the Fifth Quarter

ACTIVITIES/WORK IN PROGRESS

Activity 3.1—Map water sector stakeholders.

Sub-Activity 3.1.1 Map water sector stakeholders: Nexos Locales conducted a mapping exercise in twenty-nine Photo 8: Nexos Locales water consultant, Ruth Reyes, (29) municipalities to determine who within each implements the water diagnostic tool in the department of municipality (or watershed) is involved in the delivery of Huehuetenango. water services and the management of water resources, as well as the mechanisms being used to diagnose water quality. Project consultants mapped data points from each municipality, including information on the quality of water, demand for potable water versus supply, existence of subsidies and fees, types of water management systems, and citizen opinions on the matter by way of household surveys. All data points were subsequently incorporated into a spatial data map.

Key findings of the mapping exercise include:

 Municipalities do not use standardized water treatment plans, methodologies, or quality indicators to manage water systems  All but two (2) of the municipalities studied chlorinate their water systems while over half of them do not chlorinate correctly  All municipalities covered under the study subsidize the costs of water services  Water fees among municipalities ranged from 1Q to 15Q per month, and prove difficult to collect  25% of citizens surveyed do not believe potable water should have any cost at all, and 66% think that monthly fees should not exceed 20Q  90% of citizens surveyed see no link between water quality and costs to their health

Assessment findings provided baseline data across water quality issues in the twenty-nine (29) municipalities. Table 5 below shows a summary of key findings by municipality, and is followed by Map 3, a sample of a spatial data map, which shows data points for project municipality Cuilco, Huehuetenango.

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Table 5. Summary findings of diagnostic for Results #03 & #05 WATER SUPPLY WATER DEMAND CLIMATE CHANGE Department Municipality 1 2 3 4 5 6 7 8 9 10. Boiled Bottled Chlorinated Filtered 11 12 13 14 1 Quetzaltenango San Juan Ostuncalco Yes 9301 1 1 3,4 2 Q 11.20 Yes Yes 50% 40% 10% 0% 70% No Yes No 2 Quetzaltenango Concepción Chiquirichapa No 1948 1 2 2,5 5 Q 6.00 Yes Yes 90% 10% 0% 0% 50% No Yes No 3 Quiché Zacualpa No 1115 1 1 6 2 Q 10.00 No Yes 20% 80% 0% 0% 40% No Yes No Yes Yes 4 Quiché Chichicastenango No 9301 1 1 0 5 Q 15.00 20% 60% 10% 10% 50% No No No 5 Quiché Uspantán No 1678 3 2,3 5 3 Q 10.00 No Yes 60% 40% 0% 0% 60% No No No 6 Quiché Cunén No 1080 4 2 2,5 6 Q 7.00 Yes Yes 60% 40% 0% 0% 30% No No No 7 Quiché Sacapulas No 1100 4 2 6 5 Q 1.00 No Yes 80% 20% 0% 0% 40% No No Sí 8 Quiché Santa Maria Nebaj No 5767 1 3 2 0 Q 1.00 No Yes 40% 50% 10% 0% 40% No No No 9 Quiché San Juan Cotzal Yes 1451 2 2 2 6 Q 2.00 No Yes 60% 30% 0% 10% 70% No No No

10 Quiché Chajul No 4739 0 0 6 4 Q 2.00 No Yes 90% 10% 0% 0% 40% Yes No No 11 Huehuetenango San Sebastián Huehuetenango No 500 1 2 3,4,5 2 Q 5.00 Yes Yes 90% 10% 0% 0% 30% No No No 12 Huehuetenango Concepción Huista No 600 1 2 2,4,5 4 Q 5.00 No Yes 90% 0% 10% 0% 20% No Yes No 13 Huehuetenango La Democracia No 1200 2 4 2,3,4,5 5 Q 4.80 No Yes 30% 70% 0% 0% 20% No No No 14 Huehuetenango San Antonio Huista No 1461 6 4 2,3,6 6 Q 4.00 No Yes 60% 0% 0% 40% 0% No No No 15 Huehuetenango Jacaltenango No 2261 1 3 2,5 2 Q 5.00 No Yes 70% 10% 0% 30% 40% No Yes No 16 Huehuetenango La Libertad No 780 1 1 3,4 1,3,4,5 Q 5.00 Yes Yes 40% 10% 0% 50% 30% No No No 17 Huehuetenango Chiantla Yes 3500 2 1,2 3,5 3,4,5 Q 10.00 Yes Yes 60% 20% 0% 20% 30% No Yes No 18 Huehuetenango Todos Santos Cuchumatan No 775 1 2 3,5 4,6 Q 3.75 No Yes 70% 20% 10% 0% 30% No Yes No 19 Huehuetenango Cuilco No 532 1 2 3 5 Q 5.00 Yes No 10% 30% 20% 40% 40% No Yes No 20 Totonicapán Santa Lucia la Reforma Yes 260 1 2 4,5 4 Q 15.00 Yes No 100% 0% 0% 0% 50% Yes No Yes 21 Totonicapán Momostenango Yes 2580 1 2 1 5 Q 10.00 Yes Yes 80% 10% 10% 0% 20% No Yes No 22 San Marcos San Miguel Ixtahuacan Yes 400 3 2 5 2,3,4 Q 11.20 No Yes 50% 30% 10% 10% 40% No Yes No 23 San Marcos Sibinal Yes 375 4 3 3,4,5 1 Q 2.25 No Yes 70% 0% 20% 10% 60% Yes Yes Yes 24 San Marcos Tajumulco Yes 280 2 3 1 2 Q 4.00 No Yes 40% 30% 30% 0% 40% Yes Yes Yes 25 San Marcos San Lorenzo Yes 380 2 2 1,4 6 Q 8.00 Yes Yes 60% 30% 0% 10% 30% No Yes Yes 26 San Marcos Nuevo Progreso No 1864 0 0 5 5 Q 2.00 No Yes 70% 10% 0% 20% 70% No No No 27 San Marcos San Rafael Pie de La Cuesta No 966 2 2 6 2,6 Q 6.00 Yes Yes 40% 10% 50% 0% 10% No Yes Yes 28 San Marcos San Pablo Yes 1589 2 3 3 2,3,4 Q 4.00 No No 30% 20% 50% 0% 30% No Yes Yes 29 San Marcos San José El Rodeo Yes 815 4 2 2 4 Q 6.00 Yes No 40% 0% 60% 0% 10% No Yes Yes Average [Yes] 38% 2021 2 Graphics Below Q 1 45% 86% 58% 24% 10% 9% 38% 14% 55% 28% Minimum [No] 62% 260 0 Q 15 55% 10% 20% 0% 0% 0% 86% 45% 72% QUESTIONS Maximum 9301 6 Q 6 100% 80% 60% 50% 1.) Does a municipal water office exist? 2.) Do homes have piped water? 3.) How many chlorination systems are installed in the municipality? 4.) Type if chlorination system [1. chlorine gas 2. tablets 3. granulated chlorine 4. liquid] 5.) What are the priorities to improve water purification in the municipal water system? [1: Construction or repair of chlorine dispensing unit. 2: Provision of chlorine. 3: Safety gear for workers. 4: Basic tools. 5: Training. 6: Other.] 6.) What types of water issues cause social conflict in the municipality? [1: Usage rights. 2: Fees. 3: Right of way issues. 4: Decreases in water supply. 5: Rationing. 6: Others.] 7.) Fee charged for potable water, in Quetzales/month 8.) Does the water system use water meters? 9.) Do you believe that your water system is subsidized? 10.) What type of water do you drink? 11.) Do you believe that chlorine used to purify water is a danger to your health? [% Yes] 12.) Does the municipality have a strategic plan for climate change adaptation or for management of climate change risk? 13.) Have you received trainings or briefings on climate change? 14.) Has the municipality conducted evaluations of its climate change risks?

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Map 2. Data points from Water Diagnostics in Cuilco, Huehuetenango.

Activity 3.2—Provide technical assistance to municipalities to improve water service delivery.

Sub-Activity 3.2.1 Initial meetings to outline the strategic business and investment plans in all 30 municipalities: This Sub-Activity called for beginning the process of developing strategic business and investment plans to fund water systems in ten (10) municipalities. First drafts of these ten (10) plans were developed through consultant interviews and meetings with officials from the municipal water and planning offices, fontaneros (water system plumbers), and personnel from two (2) mancomunidades. The consultants gathered information on the operating, administrative, financial, and hydrological conditions in each of the target municipalities, and rated each water management system based on sanitary conditions.

The draft plans note key constraints to be addressed for long-term sustainability, such as large arrears in water fee collection, poor water conservation practices, and lack of planning for maintenance of systems. They lay the groundwork for Year 2 finalization of the plans and propose investment models for plan development in additional municipalities.

Activity 3.3—Assist municipalities with the development of watershed management and protection plans and train them on plan implementation.

Sub-Activity 3.3.1 Watershed diagnostic: This Sub-Activity called for the Project to convene representatives from twenty-nine (29) municipalities and mancomunidades within a particular watershed to discuss how they might work together to better manage shared resources. Since the activity was to Page 28 of 90 focus on a single watershed, Nexos Locales narrowed the participation to the ten (10) most relevant municipalities, but deepened the discussions to a full-day session along with a one-day field trip to the Eschaquichoj watershed, which is a lower section of the Rio Samalá watershed.

This watershed management event was conducted jointly with TNC/CNGC and included the participation of creating awareness of the full picture of soil conservation and natural resource management factors involved in watershed management. This event prepared participants for the watershed management plans they will develop in Year 2.

RESULT 4: LOCAL DEVELOPMENT PLANS ESTABLISHED AND IMPLEMENTED IN ORDER TO IMPROVE FOOD SECURITY AND ECONOMIC DEVELOPMENT

Result 4 addresses Feed-the-Future (FtF) objectives by building municipal capacity to improve food security and local economic development. The Project collaborates closely with SEPREM at the national and departmental level, as well as with the OMMs, SESAN (at all levels), and the Ministry of Health to advance municipal policies and programs that address food security. The local economic development councils are primary partners toward economic development. Integration of both areas occurs through collaboration with Mayors, their municipal councils, and WHIP partners.

In Year 1 Nexos Locales conducted rapid assessments on the OMMs and SAN Situation Rooms and undertook an in-depth assessment of local economic development and food security needs across twenty-nine (29) municipalities. The project provided an initial response to TA and equipment needs of the OMMs and worked closely with all local stakeholders of the SAN Situation Rooms to increase understanding of the importance of the Rooms. The project also evaluated public policies adverse to agricultural production in the Altiplano.

KEY ACCOMPLISHMENTS/HIGHLIGHTS FOR THE 5TH QUARTER/YEAR

Fifth Quarter Accomplishments:  Conducted major assessment in LED and food security in twenty-nine (29) municipalities  Convened stakeholders for workshops on importance of the SAN Situation Rooms  Undertook a study of adverse public policies in agricultural in the altiplano  Coordinated extensively with national, state and municipal actors to address the political factors that impede the effective functioning of the Food Security Situation Rooms  Provided Immediate responses to OMMs TA and equipment needs

Earlier Year 1 Accomplishments:  Completed Rapid Assessments of the OMMs and SAN Situation Rooms

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ACTIVITIES/WORK IN PROGRESS

Activity 4.1—Build the capacity of the Municipal Women’s Office to support the design and implementation of municipal plans to address food security and nutrition.

Sub-Activity 4.1.1 Rapid assessment of previous donor assistance to the 30 OMMs: In coordination with activities under 4.2.1, below, cluster staff met with previous donors and OMMs in their municipalities to rapidly identify remaining needs to help the OMMs play their essential role in food security and economic development. Assessment criteria included: number of technical activities performed, number of proposals successfully implemented, number of women’s organizations that the OMM has encouraged to participate in the local COCODE/COMUDE, SAN activities realized, and linkages to other women’s groups.

The assessment ranked the OMMs with performance grades A-D. Three (3) OMMs received the highest grades of ‘A’, with over half receiving grades C or below. The full report, “4.1.1 Rapid Assessment of OMM Report”, details findings and analysis for each OMM. Key findings and recommendations, however, involved the need for leadership training of the OMM coordinators, TA in the development of procedures and guidelines for effective functioning of the OMMs, and equipment needs in basic office furniture and information technology (IT) hardware and software.

Sub-Activity 4.1.2 Immediate responses to needs identified in rapid assessments: Throughout the fourth and fifth quarters, cluster staff provided on-going, individual TA sessions with each of the OMMs on the development and use of procedures and guidelines for their effective functioning. Much of this TA built on forms and procedures used by the higher-performing OMMs.

Additionally, the project responded to an urgent need expressed by departmental offices of SEPREM – that of ensuring that existing programs, accomplishments, and practices of the OMMs be sustained through the electoral transition. As such, Nexos Locales directly funded logistical support and provided in-house TA for one (1), one-day session per cluster on the development of transition plans for the OMMs in sixty-seven (67) municipalities. The project included municipalities beyond its own thirty (30) in exchange for SEPREM convening and leading the one-day workshops.

The workshops served its primary objective, that of assisting each OMM coordinator to develop a document that prescribes means of continuing the programs and initiatives undertaken during their term. An unplanned outcome, however, was the motivation that the workshop provided each OMM coordinator to continue to give their best effort through the duration of their term in the interest of ensuring sustainable results for their efforts. This was important because, with twenty-six (26) of the thirty (30) municipalities undergoing a transition to new leadership, many of the OMMs coordinators knew they would soon lose their positions and felt disinclined to continue their work.

The project also procured basic office and IT equipment for each OMM and issued an in-kind grant to ANAM to distribute the equipment in Year 1. When the municipal elections resulted in an 87% turnover of municipal administration, however, Nexos Locales decided to avoid the risk of equipment disappearing between existing and newly elected administrations by delaying the equipment disposition until the new mayors are sworn in.

Sub-Activity 4.1.3 Training Workshops specified in the SEPREM-Helvetas Plan: As agreed with USAID, this Sub-Activity was moved to Year 2.

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Sub-Activity 4.1.4 Follow-on TA to OMM functioning: As agreed with USAID, this Sub-Activity was moved to Year 2.

Activity 4.2—Coordinate with municipalities to establish and operate food security situation rooms.

Sub-Activity 4.2.1 Rapid assessments of the SAN Situation Rooms: This assessment evaluated the performance level of each municipality’s Food Security Situational Room (Sala Situacional or SAN). The report, “Evaluación Rápida de Salas Situacionales de Seguridad Alimentaria y Nutricional’ details the full set of findings for each municipality. Cluster staff ranked the thirty (30) SAN Situation Rooms, with grades A-C using criteria such as: structure of the situation room (entities who contribute, who coordinates it), planning and execution (action plans designed and implemented by the SAN), and quality of information (up-to-date information and publication rate). A total of seven (7) Situation Rooms received a grade of ‘A’, while twelve (12) received ‘B’ and eleven (11) ‘C’.

Major weaknesses in the lowest-scoring Situation Rooms included the lack of documentation, analysis and presentation of data (if collected) regarding food insecurity and malnutrition; weakness in the planning and execution of SAN activities; and lack of materials and support from government authorities. This information will be used to tailor technical assistance and training for SAN operations in Year 2.

Sub-Activity 4.2.2 Coordination with SESAN and other USAID FtF initiatives: Nexos Locales coordinated actions with SESAN at national and departmental levels to implement SAN Situation Rooms at the municipal level. Earlier in Year 1, project staff met with municipal officials to gauge their understanding of the significance of food security rooms and their level of preparation to establish and/or maintain them. Throughout Year 1, Nexos Locales staff collaborated closely with Nutri-Salud and other WHIP partners to build on their experience with supporting the Situation Rooms and to maintain an on-going base of knowledge and recommendations for the improved functioning of each individual SAN.

Sub-Activity 4.2.3 TA in the functioning of existing situation rooms and in the establishment of new ones: This Sub-Activity was adjusted in the revised Year 1 work plan to develop a TA strategy to be implemented in Year 2. Project staff developed the document, “Estrategia para la prestación de Asistencia Técnica a Salas Situacionales de Seguridad Alimentaria y Nutricional” which identifies and prioritizes technical assistance needs for the Situation Rooms and sets forth a chronology for implementation of TA.

Formulated using the information gathered in the Rapid Assessments of the SAN Situation Rooms (Sub- Activity 4.2.1), the strategy will be an ongoing process in each project municipality, and will primarily relate to improving the functioning of each SAN and its relationship with COMUSAN and municipal officials. Other objectives include identifying sources of SAN information, advising SAN personnel how to use this information, and overseeing the establishment of the Situation Rooms in those municipalities where they do not exist.

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Sub-Activity 4.2.4 Four (4) regional training workshops on the importance of the Situation Rooms: These one- day sessions imparted up-to-date information on the objectives, functions, methodology, structure, and implementation of the SAN Situation Rooms. The rapid assessment completed for Sub-Activity 4.2.1 was used to program the content of these sessions, which included establishing a Situation Room, what information should be gathered in the rooms, and why they are an important source of information for local families. Participants included 137 representatives from the OMM, SAN committee, municipal planning office, technicians from MAGA and SAN, and the mayor’s office. The four (4) regional sessions emphasized the need to consolidate and sustain through the electoral transition phase advances made in developing political will and an Photo 9: Nexos Locales Food Security consultant Melida Chaguaceda conducts understanding of the Rooms’ importance. training session on Food Security Situation Rooms in the Nebaj, El Quiche.

Activity 4.3—Help municipalities develop LED plans.

Sub-Activity 4.3.1 Assessment of municipal LED needs: The Nexos Locales long-term LED Specialist led a team of consultants to conduct this assessment in twenty-nine (29) municipalities. The study built on existing studies and data and developed an extensive, user-friendly data base nicknamed ELSA (Economía Local y Seguridad Alimentaria), which displays all data collected in charts and tables for each municipality. The database provides extensive economic and food security data by municipality, and narrative sections of the study analyze comparative economic advantages in each municipality. The study will be copied to CD Roms and distributed to the twenty-nine (29) municipalities and WHIP partners. It will also be available for download from the Nexos Locales website.

Assessment data was collected through interviews with key informants such as municipal officials, Ministry of Agriculture technicians, Ministry of Health officials, small business owners, cooperative members, NGO workers, SAN and DEL focus groups, and review of municipal documents and statistics. WHIP partner staff from AGEXPORT, ANACAFE, PAISANO, and SEGEMIL also contributed to the assessment. Key findings across all municipalities stress the lack of markets for products as a significant deterrent to production and innovation for producers/small Photo 10: Nexos Locales LED Consultant Pedro Diaz reviews data with businesses. The study will be used to participants taken during a workshop in Todos Santos Cuchumatan for the LED develop custom LED plans for each Diagnostics. municipality in Year 2. See Table 6 for an overview of assessment data by municipality.

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Table 6. Average LED/SAN Indices from 29 Municipalities Under Nexos Locales Coverage, September 2015. Index Category # Indices 1 Full Geographic Extension Index B 2 Population Index C 3 Production Index B 4 Employment Index C 5 Income Index C 6 Economic Chain Index B 7 Combined LED Services Index B 8 Combined SAN Services C 9 Combined Organizational Index C 10 Entrepreneurship Index B 11 Development Infrastructure Index B 12 Migration Index B 13 Remittances Index B 14 Combined SAN Index C 15 Potentialities Index C

Cumulative DEL/SAN Index C

Description of Indices: 1. Full Geographic Extension: Characteristics of the municipality; its access, distance, isolation, and vulnerability 2. Population: the diversity of the population; its gender composition, indigenous/non-indigenous population, levels of literacy, education, and poverty. 3. Production: Types, types, volumes, and diversity of production. 4. Employment: types, quantities, and economic sectors of employment. 5. Income: income volume, per capita income, average annual income, poverty, and basic food basket. 6. Economic chains: Existence of economic chains and their functions. 7. Combined LED services: Existing public and private capacities for Local Economic Development 8. Combined SAN services: Existing public and private capacities for Food Security and Nutritional services. 9. Combined Organizational Index: Social capital. Existence of local civil and economic organizations. 10. Entrepreneurship: Local capacity to undertake economic activities, types of businesses and markets. 11. Development Infrastructure: physical infrastructure needed for development (roads, electricity, water, etc.) 12. Migration: level of national or international migration, types of migrants (men, women, youth). 13. Remittances: volume, frequency, dependency aspect, usage. 14. Food Security: local availability and access to nutritional and culturally preferred food. 15. Potentiality: Identification of potential economic sources that could create positive SAN effects.

Sub-Activity 4.3.2 Development of LED Plans: As agreed with USAID, this Sub-Activity was moved to Year 2.

Sub-Activity 4.3.3 Initial Phase of implementing LED TA plans public-private partnership: As agreed with USAID, this Sub-Activity was moved to Year 2.

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Activity 4.4—Coordinate with other USAID implementing partners to support access to basic municipal services for small-scale producers and their associations.

Sub-Activity 4.4.1 Identification of public policies adverse to agricultural production: Building off coordination meetings undertaken during the first and second quarters, Nexos Locales contracted an Agricultural Public Policy expert to identify and examine existing public policies that are adverse to agricultural production in the WHIP region. The consultant collected primary data through interviews with WHIP partners working in agricultural development in the Western Highlands, and with farmers working in the supply chains for select essential crops, such as coffee, potatoes, onions, and cardamom. Secondary sources included review of public policies and external factors that may affect production, such as climate change.

The overarching finding of the study was that there are very few policies adverse to agricultural production. Rather, the greatest constraint found was the simple lack of implementation of existing policies designed to advance agricultural production. For example, excellent policies promote improved irrigation practices and development of public infrastructure to move produce to market but implementation of the policies is weak. The study identified the full range of constraints to policy implementation which includes institutional weaknesses, lack of financial resources, and simple lack of political will.

The most significant policy that is adverse to agricultural production was identified as personal and business income tax codes, since they do not provide incentives such as lower taxation rates or exemptions for income derived from agriculture. As a result of this study, the project will address policy implementation more than reform under project Years 2 and 3. Map 3 below identifies the major crops evaluated in the diagnostic, and shows their geographic coverage and frequency.

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Map 3. Soil usage by major value chain crops in the Western Highlands Sub-Activity 4.4.2 Facilitation of sessions with small-scale producers: This Sub-Activity was combined with Sub-Activity 4.3.2 above. The study’s consultant convened interview sessions with WHIP partners, and with associations of small-scale producers of horticulture and coffee to prioritize municipal services they need in order to increase productivity. Key priorities identified were infrastructure to increase water availability for crops, increase in farm-to-market roads, and support for production facilities, such as for produce sorting/storage/distribution.

RESULT 5: MUNICIPAL PLANS ESTABLISHED TO REDUCE CLIMATE CHANGE VULNERABILITY AND TECHNICAL ASSISTANCE PROVIDED FOR IMPLEMENTATION OF PLANS.

Under this Result, Nexos Locales will 1) build municipalities’ knowledge of climate stressors and of adaptation measures (awareness); 2) improve municipalities’ ability to select and prioritize adaptation measures, mobilize to implement adaptation measures, and manage disaster risk (capacity); and 3) help municipalities develop and implement adaptation plans.

Under Year 1, the project completed the climate change adaptation assessment, in conjunction with the assessment conducted under Result 3, and began work with TNC/CNGC on an SBCC campaign to build public awareness of climate change adaptation measures.

KEY ACCOMPLISHMENTS/HIGHLIGHTS FOR THE 5TH QUARTER/YEAR

Fifth Quarter Accomplishments:  Conducted an evaluation of knowledge levels of climate stressors and adaptation measures in twenty-nine (29) municipalities

Earlier Year 1 Accomplishments:  Initiated the first phases on a long-term, SBCC campaign on climate change adaptation measures in partnership with TNC/CNGC

ACTIVITIES/WORK IN PROGRESS

Activity 5.1—Improve municipalities’ awareness of climate stressors and of adaptation measures.

Sub-Activity 5.1.1 Evaluation of knowledge levels of climate stressors and adaptation measures: As part of the single study conducted under Results 3 and 5, Nexos Locales examined municipalities’ level of awareness of climate stressors and adaptation measures. See Table 5 in Result 3 for a summary of key study findings.

Overall, the assessment found that while few municipal officials were able to define exactly what climate change is, they were familiar with its effects and associated risks. Results from the surveys show that drought, landslides, crop pests and diseases, and water supply issues are the most-feared effects of climate change, and that officials believe that environmental education and sensitivity trainings are the

Page 35 of 90 most effective measures to mitigate its effects. Of the officials surveyed, about half had trainings or educational sessions regarding climate change, but only 15% of municipalities had a risk management or adaptation plan for climate change.

The study will inform trainings and technical assistance to be delivered to municipal officials and civil society organization who will formulate municipal climate change adaptation plans.

Sub-Activity 5.1.2 Development of informational material on climate stressors: As agreed with USAID, this Sub-Activity was moved to Year 2.

Activity 5.2—Build the capacity of municipalities to assess vulnerabilities to climate change, prioritize climate adaptation measures, mobilize resources, and respond to emergencies.

Sub-Activity 5.2.1 Develop training modules on adaptation measures for local government officials: As agreed with USAID, this Sub-Activity was moved to Year 2.

Activity 5.3— Assist municipalities with developing adaptation plans and implementing joint watershed management plans aimed at reducing vulnerability to hydro-meteorological events.

Sub-Activity 5.3.1 Facilitate prioritization sessions with municipal councils: As agreed with USAID, this Sub- Activity was moved to Year 2.

Activity 5.4— Build citizen knowledge of climate stressors so they are better able to participate in the municipal planning.

Sub-Activity 5.4.1 Climate Change Public Awareness Campaign: Nexos Locales began in quarter four (Q4) a phased, long-term, integrated, participatory, and iterative awareness strategy that will inform the public on the relation of climate change to the Western Highlands, and specific mechanisms in which the public can engage their local officials in adaptation measures. The campaign will utilize various forms of communication including interpersonal media (community and regional workshops, youth ambassadors), mid-media (community theatres, forums), and mass and social media (radio announcements, video, print media, telecommunications and SMS text, internet, and the engagement of the press).

The SBCC approach involves careful analysis of target audiences’ knowledge bases and research to design messages. Under Year 1, Nexos Locales began a partnership TNC’s CNGC project to share resources to reach a broader audience on critical climate change messages. With technical assistance from HC3, the project advanced significantly in the first phase of the SBCC methodology, that of analyzing the target audience.

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RESULT 6: CAPACITY INCREASED FOR THE NATIONAL ASSOCIATION OF MUNICIPALITIES (ANAM) AND/OR THE GUATEMALAN ASSOCIATION OF INDIGENOUS MAYORS AND AUTHORITIES (AGAAI) TO SUPPORT MUNICIPAL DEVELOPMENT AND REPLICATE SUCCESSFUL MODELS NATIONWIDE, INCLUDING MUNICIPAL CRIME PREVENTION PLANS

Nexos Locales’ approach to Result 6 involves 1) implementing interventions that address each association’s unique needs and development status, and 2) building upon the technical and financial assistance that the associations have received to-date from a range of international donors, including USAID under the prior Local Governance Project. Institutional strengthening of both associations has become a central priority under this Result. Specific objectives include improving the financial resources for both ANAM and AGAAI, and integrating technology into their management functions.

Under Year 1, an institutional development expert conducted an in-depth institutional analysis of each association. The project also supported a number of technical assistance consultancies for both organizations and issued a milestone grant to ANAM to prepare for transition workshops for newly elected mayors.

KEY ACCOMPLISHMENTS/HIGHLIGHTS FOR THE 5TH QUARTER/YEAR

Fifth Quarter Accomplishments:

 Conducted institutional assessment of ANAM and Photo 11: Nexos Locales and AGAAI sign an MOU in AGAAI, which recommended key areas for September 2014. technical assistance  Supported ANAM in developing a transition workshop for all newly elected mayors and their councils  Provided TA for ANAM and AGAAI in advocacy techniques and approaches  Supported AGAAI in undertaking a study of the legal framework related climate change issues, in developing a strategic plan, and with the procurement of a financial management software program  Recruited Local Government Specialist Deyna Caal to begin work in the following quarter

Earlier Year 1 Accomplishments:  Signed MOU with AGAAI and ANAM

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ACTIVITIES/WORK IN PROGRESS

Sub-Activity 6.1.1 Develop MOU between Nexos Locales and ANAM and AGAAI: These were developed and signed during the second and third project quarters, and prioritized interventions that improve the associations’ ability to 1) serve as member organizations, offering and delivering services that meet constituent needs; and 2) Photo 12: Managing Director of ANAM, Gerson Lopez, speaks to the that advocate on behalf of member press during the inauguration of the Newly Elected Mayor Transition municipalities at the national level. workshop.

Sub-Activity 6.1.2 Develop technical assistance plans with ANAM and AGAAI: The bases of these plans were developed through institutional analyses conducted on each organization in the Fifth Quarter. The report on the institutional analysis detailed organizational strengths and weakness across a full range of functions and concluded with TA recommendations for each organization. For both organizations, primary areas for institutional strengthening included development and implementation of strategic planning, financial and human resource management, and improved collection of member fees toward more predictable budgeting. The recommendations will be reviewed by each organization’s board early in Year 2 as a means of prioritizing areas in which the project should provide TA in Year 2.

Sub-Activity 6.1.3 Technical assistance in improved service provision to members: This Sub-Activity was designed to provide specific technical assistance according to each organization’s requests. For AGAAI, the project funded an analysis of Guatemala laws aimed at improving climate change adaptation and at reducing greenhouse gas emissions. This was done specifically for AGAAI board members who wanted to better understand the legal framework that underpins the climate change issues they address.

Also for AGAAI, the project procured accounting software to improve their financial management. This procurement includes technical instruction and troubleshooting assistance. The accounting software will be delivered to AGAAI via an in-kind grant. Thirdly, through a sub-grant to AGAAI, a strategy consultant assisted the organization in developing strategic plans to guide their efforts over the next thirteen (13) years (a time period significant to the Mayan calendar). The plan was developed over a month-long series of participatory sessions with AGAAI staff.

ANAM received a grant to prepare for its contribution to government’s effort to introduce newly elected mayors to the legal framework of municipal management. This workshop, referred to as a “transition” workshop, was issued in Q5 but will take place in early October 2015.

Also for ANAM, Nexos Locales provided direct assistance to fund a diploma program entitled “Governance of Water and Sanitation Services for Local Development and its Contribution to Health and Food Safety”. The course was designed and implemented by ANAM and INFOM, and, in eight (8), one-day modules covered theoretic and practical elements of municipal water system management for municipal officials. The project provided in-kind support equivalent to the participation of ten (10) water system managers from Nexos Locales municipalities.

Sub-Activity 6.1.4 Technical assistance in advocacy techniques in specific areas: These critical areas include crime prevention; food security; health; disaster prevention; reduction of climate change vulnerability; and education. Through a two-day technical assistance session, ANAM and AGAAI staff examined

Page 38 of 90 definitions and use of advocacy for public policy reform and evaluated each organization’s advocacy needs in terms of climate change, SAN, and LED topics for the coming year. In total, ten (10) members of ANAM and six (6) from AGAAI participated in the TA sessions. These sessions laid the groundwork for both organizations’ process of prioritizing their Year 2 advocacy efforts and for approaching national and departmental governments in their advocacy work.

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III. CROSS-CUTTING THEMES

USAID Nexos Locales seeks to transform local governance in thirty (30) municipalities in the Guatemalan Western Highlands by engaging municipal governments, civil society organizations, and the private sector in strategic activities designed to improve social conditions. Critical to these efforts is a process to ensure that patterns of social exclusion do not undermine the project, but rather that traditionally excluded groups, including women, young people, and indigenous communities, find ample space to influence and benefit from local economic and political decisions.

KEY ANNUAL ACCOMPLISHMENTS/HIGHLIGHTS  Recruited Youth and Social Inclusion Coordinator, Elva Cutz Yax  Finalized and received USAID approval for the project’s Gender Equity and Social Inclusion Plan, Gender and Youth Assessment and Integration Plan, and Youth Strategy  Funded TA sessions for OMM representatives from sixty-seven (67) municipalities to develop election transition plans  Implemented a Youth Leader Development course with CEIPA, with 250 youth attending and Youth Political Agendas created in all five (5) participating municipalities ACTIVITIES/WORK PROGRESS  On June 3rd, regional staff met with indigenous authorities in Chichicastenango to resume communication and to determine their priorities under the project. The importance of maintaining a relationship with indigenous groups was emphasized.  During the implementation of each workshop and training, Nexos Locales carefully considered the language and communication needs of participants, and planned accordingly. For example, the eight (8) regional Budget Analysis and Citizen Advocacy workshops used local translators of four (4) indigenous languages to engage participants, and ensure understanding of the topics covered. Supplementary printed materials in indigenous languages were also created and distributed to attendees, who showed great interest in the materials and thanked the implementing CSO for their consideration. The COCODE strengthening workshops, which took place at the local municipal level, also used translators to help facilitate the trainings and aid in knowledge transfer. GENDER EQUITY & SOCIAL INCLUSION DAI subcontracted Iris Group, Inc., a gender and social inclusion consulting firm, to conduct a rapid assessment in February 2015, in order to discern the challenges and opportunities couched in the dynamics of gender, age, and – where possible – variations by ethnicity that are critical to reaching desired results in the Western Highlands. Further, Iris Group assisted the project in finalizing and receiving approval for the Gender Equity & Social Inclusion Plan (a contract deliverable). The Iris Group also conducted an on-the-ground rapid assessment of gender issues and other vulnerable groups, such as LGBTI, and developed key strategy documents that would guide Nexos Locales program implementation in gender and social inclusion for the life of project.

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The project also hired a long-term gender and social inclusion expert who continuously applies a gender lens to project activity design and implementation. Each activity design takes into consideration issues that disproportionately constrain women’s participation in governance processes related to all six project results. For example, Nexos Locales required grantees providing trainings to rural women to offer on-site child care to facilitate women’s participation in the courses. When considering equity, or other vulnerable populations, such as the Lesbian, Gay, Bi-sexual, Transsexual and Inter-sexual (LGBTI), similar constraints are taken into account. INDIGENOUS COMMUNITIES Nexos Locales’ geographic focus on the Western Highlands necessitates a culturally relevant and sensitive implementing approach to the communities in which the project works. By this very nature, Nexos Locales ensures that indigenous considerations are weaved into program design, implementation and monitoring and evaluation tools. During the official project launch, Nexos Locales invited Mayan Indigenous Princess, Fernanda Gomez Ramirez, to deliver a discourse on the role the indigenous Cosmovisión plays in development in the Western Highlands.

In September 2014, Nexos Locales held a 1-day workshop at its Quetzaltenango office, bringing together five (5) indigenous authorities from the areas of Totonicapán, Quiché and Escuintla. The objective of the workshop was to identify a hierarchy of priorities, needs, issues and areas where USAID Nexos Locales could provide support. The workshop came at a result of indigenous authorities stressing the need to work with youth, protection of forests, responsible use of natural resources, food and nutrition security, greater access to basic services and specialized education and care for children. One of the most important elements resulting from the workshop was the need to recognize the work done by indigenous authorities in local governance and the need to strengthen the organization of indigenous authorities. YOUTH Under the same subcontract with the Iris Group, Nexos Locales developed an extensive strategy for harnessing the creativity and energy of youth to contribute to all six (6) results under the project. The strategy, available on the Nexos Locales website, lays out activities that will prepare youth to participate in the municipal decision-making processes through a series of mini-congresses and proposal competitions which culminate in two (2) annual congresses for youth of the Altiplano. Implementation of the strategy will begin in Year 2.

Throughout Year 1 activities, Nexos Locales sought to strengthen youth participation and integrate youth considerations into programming. Understanding the important role that youth play in achieving sustainable development outcomes for the Western Highlands, Nexos Locales, through its partnership with Iris Group, Inc., developed and began implementing its life-of-project Youth Strategy. The first step in this strategy was to invite two (2) youth—one from Quetzaltenango and the other from Totonicapán—to participate and provide perspective on the Nexos Locales Year 2 Work plan Workshop (Y2WP), which was held in Antigua, Guatemala in July 2015. The Nexos Locales Youth Strategy lays the framework for integrating youth into project activities throughout the remaining Life of Project (LOP). The strategy proposes an action plan with timelines. This action plan, though illustrative at the beginning stages, will put Guatemalan youth in the driver’s seat to steer the agenda of activities designed for their benefit.

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IV. OBSTACLES FACED AND LESSONS LEARNED OBSTACLES

Project Complexity The Nexos Locales Project is a highly complex, integrated and cross-funded initiative that is considered the lynchpin of USAID’s Western Highlands Integrated Program (WHIP). Nexos Locales is an innovative and ambitious knowledge-transfer program that encompasses:

 Six (6) technical result areas  Three (3) important cross-cutting themes weaved into each result area  Five (5) departments that span a total geographical area of 22,586 kilometers squared  Thirty (30) municipalities with - o Varying technical capacity in each of the six (6) result areas o Distinct language barriers o Unique socio-political dynamics o Few local options in the procurement of quality goods and/or services  At least twelve (12) major target audience categories in each municipality o Mayors and their concejos o DAFIM o DPM o Local Economic Development staff o OMMs o OMAs o COMUDEs o COCODEs o COMUSANs o CSOs o Producers’ associations o Mancomunidades  Four (4) national government counterpart agencies o SESAN o Ministry of Finance o SEGEPLAN o Ministry of Health  Coordination with twenty (20) WHIP partners, through five (5) department-level committees and one (1) at the national level

Against this backdrop, during the first year of implementation Nexos Locales confronted and overcame a number of obstacles, namely:

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 Technical Start-up/Management Challenges  Travel & Transportation Realities  Original Project Design’s Plan for Delivering Technical Assistance  Nationwide Protests  Conflicts in Santa Cruz Barillas & Zacualpa  Institutional Strengthening of ANAM and AGAAI

Technical Start-up/Management Challenges The first three (3) months of implementation (June 23 – September 30, 2014) were covered under the Start-Up Work Plan. In coordination with USAID, and at USAID’s instructions, the official Year 1 Work Plan period covered October 1, 2014 through September 30, 2015.

In consultation with USAID, the project presented an ambitious Year 1 Work Plan (Y1WP) to USAID in October 2014. In November 2014, internal management challenges began to cause delays in technical implementation. These challenges were formidable, increasingly apparent, and rapidly addressed by DAI. Notably, USAID and Nexos Locales worked collaboratively over the period of two (2) months (January and February 2015) to address management concerns related to the prior Chief of Party’s technical leadership of the program, including implementation and follow-through on planned work plan activities. This included fielding senior technical advisors in early February 2015 to attempt to put the work plan back on track and to address performance issues with the prior Chief of Party. When it was determined the management/performance issues could not be addressed, DAI moved quickly to replace the prior Chief of Party, only five (5) months into Y1WP implementation. On the same day, DAI submitted a Key Personnel Approval request identifying the replacement Chief of Party, Ms. Connie Paraskeva, who formally fielded in early April 2015. During the transition months (March-April 2015), DAI ensured coverage of the Chief of Party position by sending the DAI Home Office Project Director to serve as Acting COP, and subsequently designating the Deputy Chief of Party to serve in this role until Ms. Paraskeva arrived to post. Simultaneously, DAI took swift action to send technical consultants to ensure that technical progress would not be further delayed and the project would be ready to begin implementing grants as soon as the Grants Manual and Rapid Response Plan was approved.

The technical start-up management challenges and the resultant delays in implementing the approved Year 1Work Plan are realities that have been continually discussed with and reported to USAID. In a continued effort to maintaining the strong working relationship with USAID, immediately upon the mobilization and arrival of the new Chief of Party, on April 30, 2015, and as suggested by USAID, Nexos Locales submitted a revised Y1WP, which was approved by the COR on June 24, 2015. This revised work plan postponed eleven (11) Sub-Activities to Year 2, leaving thirty-four (34) planned Sub-Activities for Year 1. With the project’s new leadership in place, Nexos Locales ended the first year of program implementation with a 100% completion rate of its approved work plan.

Travel and Transportation Realities Basing the project in Quetzaltenango has posed advantages, but challenges in distances among municipalities remain. The advantage of being physically located in Quetzaltenango, with a regional office in Huehuetenango, is quick and easy access to certain municipalities, such as Chiantla, San Marcos, San Juan Ostuncalco. Travel times originating from the Quetzaltenango or Huehuetenango regional office to the closer municipalities can range from thirty (30) minutes to one (1) hour, versus four to five (4-5) hours from the capital city. However, the more remote municipalities, such as Tajumulco, Sibinal, Todos Santos Cuchumatan, Chajul or Santa Cruz Barillas, can take up to four to eight (4-8) hours. This adds an additional layer of logistics coordination, cost, and economies of scale in terms of site-visit frequency and participation at multiple event locations. These distances and travel times also cut more

Page 43 of 90 into employee productivity than had been anticipated. Although project staff attempt to work as much as possible while traveling to project sites, spotty cell phone and internet connectivity reduce productivity during travel time.

As noted by USAID, basing the project in Quetzaltenango has also posed challenges in terms of staff recruitment. Additionally, the heavy travel schedule of the Chief of Party between the regional municipalities and Guatemala City has created undeniable management challenges. While many of these have been addressed with additional technical staff, the current travel schedule and the additional tasks of WHIP coordination and implementation have taken a toll on senior leadership of the program.

Original Project Design’s Plan for Delivering Technical Assistance The project design of providing all technical assistance through short-term advisors proved insufficient. With USAID’s support and participation, in March 2015 Nexos Locales brought in long-term advisors in each of the six (6) result areas as well as a Technical Director to ensure work plan delivery. Since the hiring of these full-time staff and the assumption of project leadership by the new Chief of Party in April 2015, significant work plan activities began to move on target.

Nationwide Protests Although the project anticipated the impact that the municipal election campaigns would have on the availability of municipal employees for project activities, it could not have planned for the nationwide, anti-corruption protest marches that distracted many civil society organizations in late summer. Resulting prolonged highway blockages—sometimes lasting a week—and competing demands for civil society training participants impeded full attendance in training courses conducted for COCODEs and Civil Society Organizations (CSOs) in August and early September 2015.

Conflicts in Santa Cruz Barillas and Zacualpa As discussed closely with USAID, because of extensive social conflict in Santa Cruz Barillas, Huehuetenango and political conflict in Zacualpa, Quiché, the signing of MOU in these two (2) municipalities had to be delayed until after the elections in September 2015. In the case of Barillas, the conflict was between the mayor and civil society, which made it impossible for the project to work jointly with both parties. In the case of Zacualpa, because the mayor faced strong opposition by much of the citizenry, he did not feel authorized to commit the municipality to an MOU with Nexos Locales.

Institutional Strengthening of ANAM and AGAAI USAID’s previous local governance project, which also had a component to support ANAM and AGAAI, focused more heavily on supporting the organizations’ service provision through direct or in-kind assistance rather than through institutional strengthening technical assistance. The in-kind grant mechanism places a greater implementation burden on the project that requires less management capacity by ANAM and AGAAI. Transitioning under Nexos Locales to activities that focus more on institutional strengthening through milestone achievements requires a recognition on ANAM and AGAAI’s part of the long-term benefits of their developing critical management skills that demonstrate internal controls, financial management, institutional strategy design, and advocacy and service delivery on behalf of their constituency. As with all processes of change, this shift in project focus has been challenging to both organizations.

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LESSONS LEARNED AND MITIGATION STEPS

Project Complexity Year 1 implementation made apparent the labor and management intensity of coordinating the delivery of project inputs through the many government and USAID entities listed in the Project Complexity section above. Many of these entities are at times recipients of project inputs and at other times coordinators or approvers of activities. The single, most pronounced impact of this complexity has manifested itself in terms of the many meetings and other forms of communication required to define the needs of myriad actors involved in the implementation of each activity, and to build consensus around adequate means of addressing the needs.

To mitigate against this in subsequent years, at the end of Year 1 the project hired a technical leader for Result 6 and activities under the Rapid Response Fund (RRF) mechanism. The responsibilities of this position had previously been carried by the project’s Technical Director (for Result 6) and the Deputy Chief of Party (for RRF). The new position leaves the Technical Director and DCOP available full-time to manage the complexity of activity implementation and operations management. Likewise, the project’s hiring of long-term advisors in each of the six (6) result areas as well as a Technical Director, a decision coordinated extensively with USAID, has allowed the team to ensure 100% work plan delivery in Year 1 despite the complexities of the project.

Technical Start-up/Management Challenges Perhaps the principle lesson learned was the importance of USAID project management experience in a Chief of Party. While there is always tremendous value in the local knowledge and experience that a Chief of Party may have, this must be coupled with experience in managing a complex USAID-funded project. As cited above, the project applied this lesson learned when it replaced its COP in April 2015.

Travel and Transportation Realities The lesson learned, which the upcoming Community Led Development Project would do well to consider, is the tremendous strain that the distances and road conditions within the Western Highlands place on transportation resources, notwithstanding the risks posed by weather-induced disasters or delays. Project management is developing options for cost-effective solutions to high vehicle demands and has already implemented measures such as short-term vehicle services and maintaining a pool of reliable drivers for urgent travel needs.

Original Project Design’s Plan for Delivering Technical Assistance The March 2015 agreement with USAID to hire long-term technical staff adequately addressed this challenge.

Nationwide Protests The lesson learned during the nationwide protests is the incredible utility that social media plays during periods of uncertainty and massive flows of information. Thanks to smart phone applications such as WhatsApp, and the positive working relations with project municipalities, Nexos Locales staff and consultants were able to communicate before or in real-time, when road blocks or demonstrations were to take place. The Deputy Chief of Party, also the Nexos Locales security focal point, used the information to make swift decisions, or recommendations to the Chief of Party, on security. Thanks to this positive experience, the DCOP revisited the DAI Security Plan developed in January 2015 to update key measures and processes for vehicle and staff mobilization.

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Conflicts in Santa Cruz Barillas and Zacualpa The lesson learned was that since governance activities must involve collaboration between citizens and government officials, relations between the two must be adequately harmonious. Where there is strong polarity between the two, projects must first address the nature of the conflicts that underpin the polarity. To mitigate these, the project will undertake conflict resolution actions in the municipalities that that suffer from social and/or political conflicts. Nexos Locales will also apply a conflict lens to project activities most prone to cause, or be affected by, conflict.

Instructional Strengthening of ANAM and AGAAI The lesson learned is to avoid under-estimating the effort involved in changing the nature of project support to a given organization. The late Year 1 arrival of a technical leader for Result 6 will permit Nexos Locales to provide ongoing institutional development TA to both organizations. By switching to use of milestone grants, the project has introduced a learn-by-doing approach to both organizations’ project management skills. Nexos Locales will continue to work closely with ANAM and AGAAI in strengthening their institutional capacity by monitoring and measuring implementation steps according to milestone grants.

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V. TRAINING EVENTS

1. Course Name: Public Financial Management Standard Operating Procedures Sessions Sub-Activity: 1.2.3 Field of Study: Public Financial Management Training Objective: To increase the capacity of participants to promote transparency, manage public finances, and implement standard operating procedures. Start/End Dates: May-June 2015

2. Course Name: Budget Analysis Workshop Sub-Activity: 2.2.2 Field of Study: Citizen Engagement Training Objective: To build the capacity of participants to use the Access to Information Law to access relevant budgets, demystify the budget for others, and train fellow community members to do the same. Start/End Dates: August-September 2015

3. Course Name: Citizen Political Advocacy Workshops Sub-Activity: 2.3.1 Field of Study: Citizen Engagement Training Objective: To build the capacity of participants to identify community needs, prioritize advocacy issues, and formulate action plans to implement the projects chosen as a result. Start/End Dates: August-September 2015

4. Course Name: COCODE Strengthening Workshops Sub-Activity: 2.5.2 Field of Study: Citizen Engagement Training Objective: To enable COCODE participants to improve COCODE functioning against their mandates, address community needs, and encourage the participation of women and youth in civic processes. Start/End Dates: August-September 2015

Table 7 below shows the participant demographic, attendance numbers, and cost breakdown of each training.

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Table 7: Nexos Locales Year 1 Training Events, Participants, and Costs 1 No. of Gender Age* Cost ** No. Participants Male Female < 29 years > 29 years Instruction 2 Travel 3 Participants 4

1 77 51 26 23* 39* In-House N/A $1,057.38 2 48 26 22 21 27 $363.94 $4,652.29 $26,837.91 3 64 22 42 22 42 $35,254.77 $6,116.34 $21,414.38 4 149 86 63 47 102 $13,316.50 $6,039.22 $42,717.12 Totals 338 185 153 113 210 $48,935 $16,808 $92,027

1 Includes the total cost (for all participants) broken down according to the following items: 2 Instruction (consultant fees, implementation costs) 3 Travel (participants' travel costs) 4 Participants (food and lodging) * Some participants did not provide their ages, so these numbers do not equal the total sum of participants ** In USD; 1USD=Q7.65 according to standard project conversion procedure

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VI. MONITORING & EVALUATION

Using specialized monitoring tools and data collection protocols developed by the Nexos Locales M&E Specialist, accurate data collection and verification processes were completed throughout Year 1. The use of both quantitative and qualitative research methods for data collection enabled the project to gather lessons learned, providing a feedback loop for improving project programming. Nexos Locales pursued this strategy using the following approach:

 Develop and implement monitoring-database modules for quantitative data on all relevant indicators  Design and field test data collection tools for beneficiary groups  Implement quality control procedures for data collection and data integrity  Develop project activity evaluation forms to be completed following activities such as training sessions, workshops, etc.  Develop qualitative research and analysis tools to give life and nuance to the statistics generated by the quantitative monitoring database modules on a quarterly basis The Performance Monitoring and Evaluation Report is attached in Annex 1 of this report.

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VII. GRANTS & RAPID RESPONSE FUNDS GRANTS As authorized in section H.23 of the prime contract, Nexos Locales will implement a Grants Under Contract (GUC) program to allow flexibility to the project in order to engage with CSOs, NGOs, and other non-profit organizations. The GUC mechanism will support local organizations in their efforts to support municipal governments and the sustainability of USAID’s efforts in the Western Highlands of Guatemala.

The GUC program will be administered in accordance with the conditions established in ADS 302.3.4.8 and award up to a maximum of $2.4 million during the three (3) year base period and $1.4 million during the two (2) year option period, for a total of up to $3.8 million during the five-year period. These grants will be directly linked to and complement project objectives while building the institutional capacity of local organizations, although grantees do not have to be exclusively local. The grants will serve to respond to windows of opportunity and changing needs at the municipal level that are within the scope of work of this contract.

The Nexos Locales Grants Manual was approved by USAID in May 2015. Since then, Nexos Locales has administered ten (10) grants totaling over $355,530.091. Below is a summary of grants administered during Year 1.

1. Grant #: GR-Quetzaltenango-DG-001 Grantee: AGAAI Grant Amount USD: $5,000 Funding Source: Democracy & Governance Grant Objective: Update AGAAI Strategy Plan Workplan Activity: Y1 6.1.4

2. Grant #: GR-Quetzaltenango-DG-002 Grantee: Centro Ecuménico de Integración Pastoral (CEIPA) Grant Amount USD: $32,703.00 Funding Source: Democracy & Governance Grant Objective: Municipal Youth Policy Agenda Workplan Activity: Cross Cutting; Result #02

3. Grant #: GR-Quetzaltenango-DG-003 Grantee: AGAAI Grant Amount USD: $4,240.00 Funding Source: Democracy & Governance

1 Includes grant award to Grupos Gestores approved by USAID under the Rapid Response mechanism Page 50 of 90

Grant Objective: Strengthened Capacity in the National Climate Change Council Workplan Activity: Y1 6.1

4. Grant #: GR-Quetzaltenango-DG-004 Grantee: Red Nacional de Grupos Gestores (RNGG) Grant Amount USD: $3,921.57 Funding Source: Rapid Response Fund Grant Objective: 1st Annual Competitiveness Conference Workplan #: Rapid Response

5. Grant #: GR-Quetzaltenango-DG-005 Grantee: Fundación Myrna Mack (FMM) Grant Amount USD: $67,230.00 Funding Source: Democracy & Governance Grant Objective: Advocacy Training to CSOs Workplan Sub-Activity #: Y1 2.3.1

6. Grant #: GR-Quetzaltenango-DG-006 Grantee: Fundación Myrna Mack (FMM) Grant Amount USD: $50,332.00 Funding Source: Democracy & Governance Grant Objective: CSOs and COCODEs trained in Budget Analysis Workplan Sub-Activity #: Y2 2.2.2

7. Grant #: GR-Quetzaltenango-DG-007 Grantee: Asociación Estudios de Cooperación de Occidente (ECO) Grant Amount USD: $59,833.42 Funding Source: Democracy & Governance Grant Objective: Formulation of CSO Projects Workplan Sub-Activity #: Y2 4.1.2

8. Grant #: GR-Quetzaltenango-DG-08 Grantee: ANAM Grant Amount USD: $61,222.48 Funding Source: Democracy & Governance Grant Objective: Assistance to OMM Rapid Needs Assessment Workplan Sub-Activity #: Y1 4.1.2

9. Grant #: GR-Quetzaltenango-DG-09 Grantee: ANAM Grant Amount USD: $68,655.00 Funding Source: Democracy & Governance Grant Objective: Election Transition Assistance to New Mayors Workplan Sub-Activity #: Y1 2.4.1

10. Grant #: GR-Quetzaltenango-DG-010 Grantee: AGAAI Grant Amount USD: $2,392.62

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Funding Source: Democracy & Governance Grant Objective: Strengthen Accounting Administration Workplan Sub-Activity #: Y1 6.1.2

RAPID RESPONSE FUND During the second quarter Nexos Locales developed, and informally submitted to USAID, a Rapid Response Fund Plan (RRFP), with the aim of enabling a swift mechanism to: a) quickly and efficiently respond to local governance issues not identified in the work plan; b) address unforeseen events, such as natural and/or man-made disasters; c) move on windows of opportunity that advance objectives of the Nexos Locales contract; and, d) support requests made at the direction of USAID Guatemala that align with the current contract scope of work. DAI implements the Rapid Response mechanism in close collaboration with USAID’s Contracting Officer’s Representative (COR).

The RRFP was approved by USAID on August 18, 2015. During Year 1 implementation, Nexos Locales implemented three (3) activities approved under the rapid response mechanism, totaling $64,543.68.

Activities funded under Rapid Response include:

 RRF#01: Nexos Locales fielded a team of health decentralization experts to conduct an assessment of decentralizing public health services to the municipal level. The rational underpinnings examined the legal framework for health decentralization, analyzed the perceptions of stakeholders in such an effort, and proposed several options for decentralization. This was presented in draft form under Year 1 and will be finalized in October 2015. It will be used as a point of departure for USAID discussions with the Ministry of Health when its new leadership takes power in January 2016. Total RRF#01 expenditure: $59,693.64  RRF#02: Nexos Locales released a call for expressions of interest in national and regional newspapers with the aim of pre-qualifying supplier-vendors under the RRF mechanism, particularly in the areas of transportation, heavy equipment, and disaster response.

Total RRF#02 expenditure: $928.47

 RRF#03: The Project funded the participation of twenty (20) representatives of Grupos Gestores “Mesas de Competitividad” (a non-profit economic development board), which was the organization’s first national Competitiveness Forum. The event was held in in August 2015. Grupos Gestores, which advances competitiveness through local, nonprofit competiveness boards, invited representatives of 150 of its Mesas Competitivas to meet each other and share their practices in organizational functions, identifying economic potential, and coordinating opportunities for growth. The project-funded participants, or mesas, that represented the Western Highlands. These mesas will be key actors in the drafting of the municipal economic development plans under Years 2 and 3 of the Nexos Locales project.

Total RRF#03 expenditure: $3,921.57

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VIII. PROJECT MANAGEMENT MAINTAINING AREA ADVISORY COMMITEES WITHIN EACH CLUSTER TO ENCOURAGE COLLABORATION Area Advisory Committees (AAC) were established and are composed of representatives from CSOs (COCODEs, community organizations, private sector, universities, and church organizations, which are especially strong in San Marcos and Huehuetenango) and government (municipal corporations, committees, COMUDEs, and municipal associations). They provide the Nexos Locales team with guidance during the design of project activities and assist in activity implementation, helping to ensure that Nexos Locales’ activities are inclusive, relevant to the context within each cluster, and have community and government buy-in. As Nexos Locales progresses, the team will foster linkages between and among Area Advisory Committees to encourage the sharing of ideas and collaboration on efforts of mutual interest. Special attention will be given to ensure that Area Advisory Committees do not interfere in the legal mandates of the development councils' organization. They will mainly be a support to the current institutions that function in the area of intervention.

PROJECT LAUNCH EVENT On November 20, 2014, Nexos Locales was officially launched at its principal office in Quetzaltenango. Over 280 attendees from various local, national, and international institutions were in attendance, including key USAID officials and implementing partners. Speakers at the event included:

 Mayan Indigenous Princess, Fernanda Gomez Ramirez, who explained how the project would benefit indigenous communities  Mayor of Quetzaltenango, Dr. Jorge Rolando Barrientos Pellecer, who spoke about the Photo 13: “This is a very special day for me … we are importance of government decentralization, inaugurating a program to push our resources more directly innovative initiatives for local governance, and toward the municipalities of the Western Highlands” - Mr. William Brands, USAID Guatemala Mission Director ways in which USAID Nexos Locales and the municipality can work together  USAID Mission Director, William Brands, who explained the important role Nexos Locales plays in the Western Highlands in achieving the Mission’s development objectives in Guatemala  Former Chief of Party, Edgar Balsells, who highlighted the project’s six (6) components and cross cutting themes of youth, gender, indigenous communities, and Feed-the-Future initiatives  Professor Francisco Martín Carrillo representing civil society, who spoke about the importance of holistic and integrated development strategies

The launch event served to draw high visible attention to the project and USAID in the region, and to jumpstart dialogue and relationship building amongst project partners and local stakeholders in support

Page 53 of 90 of USAID’s WHIP strategy. Photos and videos from the successful project launch can be found on our project website (www.nexoslocales .com). REGIONAL SOFT LAUNCH At the request of USAID, and drawing upon the success of the project launch in Quetzaltenango, Nexos Locales held a regional soft launch in Huehuetenango to officially announce to the public that its doors were opened. The regional soft launch drew over ninety-two participants (92), twenty-nine (29) of whom were women. Statistics of the event are provided below.  Total No. of Mancomunidades Represented: two (2) o MAMSOHUE Mancomunidad HUISTA (Huehuetenango) o ASDECOHUE (Huehuetenango)  Total No. of Municipalities Represented: nine (9) o Concepción Huista o Unión Cantinil o Todos Santos Cuchumatan o o Jacaltenango o Cuilco o Chiantla o San Sebastián Huehuetenango o La Libertad Photo 14: Journalists interview speakers at the regional launch. Pictured from left to right:  Total No. of Mayors in attendance: nine (9) Professor Carillo of Huehuetenango, Mayor of Huehuetenango, former COP of Nexos  Other groups worth mentioning in Locales Edgar Balsells, former USAID COR Andrew Lucas, and Executive Secretary of attendance: Representante del Gobernador ANAM Gerson Lopez. de Huehuetenango, Nutri-Salud, Grupo Élite, FUNDAECO, ASOCUCH, ANAM, MINFIN, SESAN, Asociación Maya AMOYEB, TNC/GNCG, ACODIHUE, Red de Apoyo a la CAS, Oficina Municipal de la Mujer de Huehuetenango, ADESJU (Asociación de jóvenes), USAID, Comisión de Auditoria Social, SEPREM, CEDFOG, MSPAS – Área de Salud H., Calmecac, ASDECOHUE, Coordinadora del Comité WHIP Huehuetenango, Ministerio de Ambiente y Recursos Naturales (MARN), Asociación Hoifer Guatemala, Comisión de Auditoria Social CAS.  Press in attendance: Cristal Stereo, Comunicación Social Municipalidad de Huehuetenango, Astro Satelite. Canal 4, Mi Región Huehuetenango y el Quezalteco, Canal 5. CUC Galaxia, Al Día – Telediario, T13 Noticias y Súper 99.3, Nuestro Diario, Sonora – Canal Antigua. NEXOS LOCALES STAFFING From a staffing and project management perspective, Nexos Locales is committed to diversity and representation in project activities. Nexos Locales has hired staff representative of the various indigenous groups in the Western Highlands as well as the Ladino group to ensure that the project is perceived by all community members as unbiased and as representing the interests of the Western Highlands as a whole. Nexos Locales staff is currently about 15% indigenous, represented primarily in the cluster outreach staff.

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Photo 15: The entire USAID Nexos Locales Staff participate at the Y2WP Workshop in Antigua, Guatemala BOOT CAMP TRAINING The project organized an intensive four (4) day “Boot Camp Training” for its field staff between the dates November 11-14, 2014. The objective of the boot camp training was to orient field staff with USAID and DAI policies, procedures and practices. Staff from both the Quetzaltenango and Huehuetenango offices participated in sessions covering a range of topics relevant to project implementation, including:

 Contracts  Procurement  Grants Administration  Compliance  Human Resources  Inventory Management  Operations & Travel  Environmental Compliance  Work plan &Technical Reporting  Ethics and Code of Conduct  Branding & Marking  Communications and Professional Etiquette  TAMIS and DAI’s Corporate and Field Operations Manuals

The former Chief of Party offered a comprehensive review of the Year 1 Work Plan, leading staff from result to result and providing a coherent, strategic review of upcoming tasks and activities.

Deputy Chief of Party, Merritt Vincent Broady, organized and facilitated the boot camp, in addition to presenting on procurement policy, DAI’s Field Operations Manual, contracts, and financial management procedures. DAI fielded Home Office Project Associate, Adam Fivenson, to assist with Boot Camp preparations and to present on DAI’s project management software, TAMIS, inventory controls, branding and marking, and conducted the staff’s ethics training.

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In addition to normalizing company procedures and sensitizing staff to USAID rules and regulations, the Boot Camp also served as a team building exercise. Through ice breakers and team building exercises staff were able to familiarize with each other on a personal level and build trust amongst teams. INTERNAL TRAINING AND CAPACITY BUILDING

Throughout the year, DAI Project Management, including STTA from the DAI Bethesda Office, held a number of relevant and required trainings to staff. This included:

 Finance & Administration training on the use of DAI’s FAS system and financial reporting requirements  TAMIS training led by DAI TAMIS Specialist, Neil Enet  Information Technology and DAI systems training, led by Colter Bell  All staff training on Ethics and Trafficking in Persons (TIP), led by DCOP, Vince Broady, and DAI Project Manager, Adrian Carroll.  All staff Gender Equity & Social Inclusion Workshop, facilitated and completed by subcontractor Iris Group, Inc.  Technical and regional cluster staff training on program implementation requirements and contracting mechanisms, led by DCOP, Vince Broady. SOCIAL MEDIA  Project Website—Nexos Locales received USAID approval for the project website (www.nexos locales.com) on June 28, 2015. The project website will be used to inform key stakeholders, the public, and USAID on advancements made in each of the six (6) result areas. The website will also serves as a practical and cost-effective tool for sharing technical reports, manuals, and summary findings of the diagnostics for use by WHIP partners. Additionally, the website will be enabled as a knowledge-transfer medium for end-users at the municipality level. On the administrative side, the website will facilitate announcements for calls for expressions of interests, recruitment announcements for short-term technical assistance, and to publish requests for quotations (RFQs), proposals (RFPs), and/or applications (RFAs). To-date, the project has over 100 subscribers will receive news and real-time updates on project activities and notifications for solicitations.  Facebook & Twitter—as part of its communications strategy, Nexos Locales maintains active Facebook and Twitter accounts with real-time information on project activities, such as trainings, workshops, events, conferences, and milestone achievements made by grantees. To-date, Nexos Locales has received over 2,100 likes on its Facebook page. IT EQUIPMENT INSTALLATION With the final delivery of IT equipment occurring in November 2014 DAI fielded home office IT Specialist, Colter Bell, in December 2014 for a two-week STTA. Mr. Bell was mobilized to install IT equipment, including the project’s main server in Quetzaltenango, and to train staff on company IT systems and network use. Mr. Bell worked alongside Rodrigo Motta Molina (LTTA-CCN) as a means of knowledge transfer and capacity building of the project’s long-term IT Specialist. Mr. Bell returned to Guatemala in March 2015 to complete the installation of the Huehuetenango office, which required significant pre work installation done by the field, including electrical and IT cabling upgrades.

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PROJECT REGISTRATION AND OPERATIONS DAI became officially registered in Guatemala on December 9, 2014. This enabled DAI to enter into legally binding contracts with goods and service providers, including issuing grants and subcontracts. Key project operational dates are summarized in Table 8.

Table 8. Key project operational milestones Item Date DAI Registration in Country December 9, 2014 DAI Bank Account Registration December 15, 2014 Quetzaltenango Office Lease Start August 1, 2014 Huehuetenango Office Lease Start September 22, 2014 MI063BBS August 19, 2014 Vehicle Disposition from ARD/Tetra Tech MI071BBR August 19, 2014 MIO72BBR September 17, 2014 USAID Approval for Restricted Good Procurement of October 23, 2014 Two (2) New Project Vehicles MI067BBV April 7, 2015 Delivery of New Project Vehicles MI072BBV April 30, 2015

PREPARATION AND SUBMISSION OF KEY CONTRACT DELIVERABLES Nexos Locales developed and submitted to USAID sixteen (16) deliverables in the first year.

Table 9: Submission of Key Contract Deliverables No. Deliverable Submitted Approved 1 Start-Up Workplan September 19, 2014 September 25, 2014 2 Grants Manual August 15, 2014 April 22, 2015 3 Branding and Marking Plan September 29, 2014 November 6, 2014 4 Rapid Response Plan April 22, 2015 August 18, 2015 5 Annual Workplan: Year 1 October 22, 2014 November 3, 2014 6 Annual Workplan: Year 2 August 14, 2015 Pending 7 Monitoring & Evaluation Plan October 29, 2014 Pending 8 Gender Equity & Social Inclusion Plan October 24, 2014 September 24, 2015 10 First Quarterly Technical & Financial Report October 15, 2014 December 15, 2015 Second Quarterly Technical & Financial 11 January 15, 2015 April 16, 2015 Report 12 Third Quarterly Technical & Financial Report April 15, 2015 May 4, 2015 13 Fourth Quarterly Technical & Financial Report July 15, 2015 August 5, 2015

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IX. FINANCIAL INFORMATION

Table 10: Contract budget and expenditures as of September 30, 2015 Financial Report

BUDGET EXPENSES CHART (JUNE 2014 – SEPTEMBER 2015) DEVELOPMENT ALTERNATIVES INC- NEXOS LOCALES AID-520-C-14-00002

INVOICED TO AUTHORIZED LINE ITEMS DATE THRU 30- BALANCE EXPENDITURES SEPT-15

DIRECT LABOR AND FRINGE $1,443,052.00 $588,504.69 $854,547.31

OTHER DIRECT COSTS $3,045,068.00 $1,405,920.45 $1,639,147.55

RAPID RESPONSE FUND $1,500,000.00 $64,548.22 $1,435,451.78

INDIRECT COSTS $1,572,071.00 $601,832.94 $970,238.06

SUBTOTAL $7,560,191.00 $2,660,806.30 $4,899,384.70

FIXED FEE $463,811.00 $149,766.79 $314,044.21

GRANTS $2,400,000.00 $177,992.69 $2,222,007.31

TOTAL COST $10,424,002.00 $2,988,565.78 $7,435,436.22

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OBLIGATIONS AND FUNDING SOURCES

Total Obligation as of September 30, 2015: $4,737,043.83

Democracy & Governance

1. Total Amount Obligated: $1,787,043.83 2. Total Amount Invoiced: $1,627,282.96 3. Remaining Unexpended Funds: $159,760.87

Feed the Future

1. Total Amount Obligated: $1,250,000.00 2. Total Amount Invoiced: $506,246.64 3. Remaining Unexpended Funds: $743,753.36

Climate Change

1. Total Amount Obligated: $900,000.00 2. Total Amount Invoiced: $365,194.92 3. Remaining Unexpended Funds: $534,805.08

Global Health

1. Total Amount Obligated: $800,000.00 2. Total Amount Invoiced: $489,841.26 3. Remaining Unexpended Funds: $310,158.74

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X. ANNUAL INVENTORY REPORT

In accordance with FAR 52.245-1 and AIDAR 752-245-70, and also based on ADS 629.3.3 and CIB 92- 25, the DAI hereby includes as a separate attachment of the project’s first annual report, the Annual Non Expendable Property Report, including any Government-Furnished property or property acquired by DAI contractor under the contract. A copy has also been sent to the USAID/Guatemala Financial Management Office.

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XI. ANNEXES 1. Performance Monitoring Plan 2. Workplan Activity Accomplishment Table

ANNEX I – PERFORMANCE MONITORING PLAN Year 1 LOP2 Performance Frequen Baseli Achievement Indicator Definition Planne Cumulati Indicator cy ne Q1 Q2 Q3 Planned d Q46 ve 3 4 5 USAID CDCS Goal: A more secure Guatemala that fosters greater socio-economic development in the Western Highlands and sustainably manages its natural resources. Project Level Result: Strengthened municipalities foster more responsive, inclusive, and effective socio-economic development while reducing local vulnerabilities such as food insecurity and natural disasters. 1.Cross-cutting Refers to coordination Quarterl 0 2 0 0 0 2 2 20 Indicator with WHIP partners in y (Individual Number of the targeted 30 targets activities and municipalities of the per year) projects Western Highlands. developed Coordinating actions and/or are defined as specific implemented technical activities done mutually or in in collaboration, coordination including but not with other USG limited to: co-hosting and USAID conferences and Guatemala trainings, partnering on partners in the diagnostics and Western information sharing to Highlands increase evidence- Integrated based decisions making Program (WHIP) and project planning, (C) referral of project participants between projects, development of joint work plans in order to leverage results and strengthen results of more than one project, development of municipal plans and strengthening of provision of municipal

2 LOP = Life of Project 3 Q1 = Quarterly 1 4 Q2 = Quarterly 2 5 Q3 = Quarterly 3 6 Q4 = Quarterly 4 Page 61 of 90

Year 1 LOP2 Performance Frequen Baseli Achievement Indicator Definition Planne Cumulati Indicator cy ne Q1 Q2 Q3 Planned d Q46 ve 3 4 5 services that have a direct impact improving or leveraging results of another project. Linkage to long term outcome or impact: contributes to achievement of USAID/Guatemala’s DO 2 of improving levels of economic growth and social development in the Western Highlands. 2. Number of Activities include Quarterl 0 0 N/ N/ N/ N/A N/A 35 USG-supported trainings in advocacy, y A A A (Individual activities participatory budgeting, targets designed to watchdog/accountability per year) promote or practices that strengthen the incentivize women to civic participate in local participation of governance. women (F) Activities counted will (Disaggregated be those above that by municipality either are exclusively and LGTBI for women, or contain people) a discreet module that promotes women’s participation. 3. Number of Refers to “youth Quarterl 0 100 0 0 0 150 150 600 youth who have development activities y (Individual participated in a support, protect, targets USG-supported prepare, empower and per year) activity who engage youth, aged 10- assume 29 years, (including leadership roles adolescents and young within their adults) for participation communities. (C) in civil society, work, and family life; and (Disaggregated enable them to by municipality, participate in gender and addressing the ethnicity) development challenges of their communities and nations”. Youth development activities can be programs, partnerships, policy reform, institutional strengthening, grant making, and research

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Year 1 LOP2 Performance Frequen Baseli Achievement Indicator Definition Planne Cumulati Indicator cy ne Q1 Q2 Q3 Planned d Q46 ve 3 4 5 and evaluation that actively and constructively involve and support young people. These activities help develop the knowledge and skills, attitudes, networks, resilience, systems, assets and resources youth need for successful transition to adulthood. They may be in any sector, including health, education, economic opportunity, democracy and governance, peace and security, food security and climate change.” Participants are counted only once per LOP. Leadership roles are defined as those that involve “an action” taken to advance the interests of youth. Examples include, but are not limited to are participation in: youth diagnostics and mapping exercises, social accountability exercises (including advocacy campaigns), participation in youth congresses, and playing an active role in the development of youth networks.

Disaggregated by Male 60% 0 0 0 47% 47% 60% gender Female 40% 0 0 0 53% 53% 40% Disaggregated by Maya N/A 0 0 0 83% 83% N/A ethnic group Garifuna N/A 0 0 0 0% 0% N/A Ladino N/A 0 0 0 17% 17% N/A Xinca N/A 0 0 0 0% 0% N/A Otro N/A 0 0 0 0% 0% N/A Older than 29 years N/A 0 0 0 0% 0% N/A

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Year 1 LOP2 Performance Frequen Baseli Achievement Indicator Definition Planne Cumulati Indicator cy ne Q1 Q2 Q3 Planned d Q46 ve 3 4 5 Disaggregated by N/A 0 0 0 100 100% N/A age group 29 year or youngest % (youth = 29 year or youngest) DO1: Greater Security and Justice for Citizens. Result 1: Sound public financial systems in place in order to promote transparency and permit participation by citizens in decision-making 4. Number of Refers to “Rendicion de Annually 23 N/A N/ N/ N/ N/A N/A 130 accountability Cuentas” required by A A A presentations the Municipal Code, made by the Article 135…” the city municipalities to council will share every the COMUDEs four months with the each year (C) COMUDE information on the status of income (Disaggregated and expeditors in the by municipality) municipal budget. 5. Number of USG-assisted training Quarterl 0 200 0 0 77 261 338 800 individuals who refers to all training or y (40% (40%W received USG- education events W /60%M) assisted training, whether short-term /60%M (Individ including (fewer than 16 hours) ) ual management or long-term more than skills and fiscal 16 hours), in country, targets management, to or abroad that per strengthen local contribute to increase year) government sound public financial and/or systems to promote decentralization. transparency and (F) permit participation by citizens in decision- (Disaggregated making, to strengthen by gender, youth, civil society ethnicity, and participation in social municipality) accountability process, and to strengthen local NB: The development plans to project is improve food security, responsible for quantity and quality of the overall water, economic numbers in development and targets, but not reduction of climate for the gender change vulnerability. disaggregation targets. Linkage to long term outcome or impact: contributes to achievement of USAID/Guatemala’s DO 2 of improving levels of economic

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Year 1 LOP2 Performance Frequen Baseli Achievement Indicator Definition Planne Cumulati Indicator cy ne Q1 Q2 Q3 Planned d Q46 ve 3 4 5 growth and social development in the Western Highlands. Disaggregated by Male 60% 0 0 66 60% gender % 51% 55% Female 40% 0 0 34 40% % 49% 45% Disaggregated by N/A 0 0 39 N/A Maya ethnic group % 75% 67% Garifuna N/A 0 0 1% 0% 0% N/A N/A 0 0 59 N/A Ladino % 25% 32% Xinca N/A 0 0 0% 0% 0% N/A Otro N/A 0 0 1% 0% 0% N/A Disaggregated by N/A 0 0 37 N/A Older than 29 years age group % 66% 60% (youth = 29 year or N/A 0 0 63 N/A 29 year or youngest youngest) % 34% 40%

6. Number of Refers to projects Annually 4787* N/A N/ N/ N/ N/A N/A 625 projects requested of the A A A presented and/or municipalities by CSOs, prioritized by and/or COCODEs to municipalities in the COMUDE. coordination with communities/civil society. (C) 7. Number of Participatory planning Annually 11 N/A N/ N/ N/ N/A N/A 25 municipalities refers to the inclusion A A A that practice of CSOs and/or participatory COCODEs in the planning and presentation and budgeting. (C) prioritization of projects in the (Disaggregated COMUDEs meetings by type of plans (such as LED plans, and municipality) municipal investment plans, strategic development plans). Participatory budgeting refers to the process of developing the list of priority projects with corresponding budget allocations. 8. Percentage of Own-source revenues Annually 6% NA N/ N/ N/ N/A N/A 5% monthly average are those collected A A A

7 *The baseline is high because of a disproportionately high figure for Momostenango. The COMUDE for this municipality accepts proposals on an on-going basis, outside of formal COMUDE meetings. Rather than anticipate similarly high numbers of proposals for Momostenango in Years 2 and 3, targets were set at a level more similar to that of other high-performing municipalities under this indicator. This is because the practice of accepting proposals on an on-going basis is likely to change with the recent election of a new mayor. If this practice is continued, we will revise targets accordingly. Page 65 of 90

Year 1 LOP2 Performance Frequen Baseli Achievement Indicator Definition Planne Cumulati Indicator cy ne Q1 Q2 Q3 Planned d Q46 ve 3 4 5 increase in through taxes and fees, (No increase municipal own- including IUSI. These project over source revenues. revenues do NOT inputs baseline (C) include commissions will (known locally as have (Disaggregated “regalias”) from mining been by municipality or hydro-electric provide and revenue companies) because: a) d) source) The project can claim little attribution to these revenue sources, and, b) When these are reduced or increased (again through no influence of the project), their amounts are so high that they greatly skew overall averages. Result 2: Strengthened civil society participation in social accountability processes 9. Number of Social accountability Quarterl 0 0 N/ N/ N/ 1 1 50 social actions include: budget y A A A accountability analysis; participatory actions budgeting and conducted under development planning; the project. (C) expenditure tracking; community monitoring of goods and service provision (example is use of citizen scorecards); development and monitoring of codes of conduct, citizen charters, and integrity pacts; and any element of an advocacy campaign. 10. Percentage of Youth are persons Quarterl NA 25% 0% 0% 0% 71% 71% 50% youth and from 17 to 29 years of y women among age; social participants in accountability actions project-funded include: budget analysis; social participatory budgeting accountability and development actions. (C) planning; expenditure tracking; community monitoring of goods and service provision (example is use of citizen scorecards);

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Year 1 LOP2 Performance Frequen Baseli Achievement Indicator Definition Planne Cumulati Indicator cy ne Q1 Q2 Q3 Planned d Q46 ve 3 4 5 development and monitoring of codes of conduct, citizen charters, and integrity pacts; and any element of an advocacy campaign. A single percentage will be calculated, which adds youth and women participants, and divides them by the total number of participants. Result 6: Increased capacity of ANAM and AGAAI to support municipal development and replicate successful models nationwide. 11. Number of Performance Annually 0 1 0 0 0 2 2 8 performance management refers to management actions, systems, and tools developed decisions necessary to by ANAM and ensure that the AGAAI organization carries out supported by the its mandate or mission. project. (C) The tools are: manuals, guides, procedures, flowcharts, data bases, software, methodologies, technologies, and approaches developed to strengthen the organization in the key areas of: Planning, Financial and administrative management, technical capacity, and advocacy capacity. 12. Number of Advocacy initiatives are Semi- 0 1 0 0 0 1 1 12 project-funded counted only once per annually advocacy topic. Trainings are initiatives and short-term and trainings conducted for conducted by municipal staff and staff ANAM and of other government AGAAI. (C) agencies tasked with supporting municipal functions, as well as for municipal representative bodies. Trainings are counted only once per topic.

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Year 1 LOP2 Performance Frequen Baseli Achievement Indicator Definition Planne Cumulati Indicator cy ne Q1 Q2 Q3 Planned d Q46 ve 3 4 5 DO2: Improved Levels of Economic Growth and Social Development in the Western Highlands Result 3: Increased quality of potable water in 30 FtF municipalities 13. Percentage of Municipal refers to the Semi- 13% N/A N/ N/ N/ N/A N/A 40% municipal water area considered to be annually A A A systems that the casco urbano. Water provide potable system refers to the set water (C) of water catchment, treatment, (Disaggregated management, by municipality) regulation, distribution, and supply which are required for local domestic connections. Potable water is defined as water that meets at least two basic quality standards specified in COGUANOR NGO29.001.98 potable water: 1) Chlorine concentration 0.5 to 1 mg/liter free of residual chlorine 2) Bacteriological analysis that shows a maximum of one colony of coliform and absence of E-coli in a 100 ml water sample. 14. Number of Sustainability strategy: Annually 0 0 N/ N/ N/ N/A N/A 27 municipalities refers to the A A A that develop a preparation of a sustainability document with actions strategy for that ensure the Municipal continued operation of Potable Water Municipal Potable Systems. (C ) Water Systems in a minimum period of 10 (Disaggregated years. by municipality) 15. Number of “Steps” will be those Annually 0 0 N/ N/ N/ N/A N/A 8 municipalities clearly listed in the A A A that have taken sustainable plans. at least two significant steps towards implementation of their sustainable plan. (C )

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Year 1 LOP2 Performance Frequen Baseli Achievement Indicator Definition Planne Cumulati Indicator cy ne Q1 Q2 Q3 Planned d Q46 ve 3 4 5

(Disaggregated by municipality) 16. Percentage Community water Semi- TBD N/A N/ N/ N/ N/A N/A TBD of community systems are the 1500 annually Decemb A A A Decembe water systems in systems at aldea and er 30, r 30, 2015 the WHIP area caserio levels that 2015 that have currently have a piped chlorinated system of water water. (C ) distribution. Chlorinated water is that which has a chlorine concentration 0.5 to 1 mg/liter free of residual chlorine. 17. Number of Watershed Annually 0 0 N/ N/ N/ N/A N/A 3 watershed management plan refers A A A management to: One plan developed plans developed. by the municipalities (C). that share a specific watershed. Result 4: Local Development Plans established and implemented in order to improve food security and economic development. 18 Number of Number of Quarterl 0 0 N/ N/ N/ N/A N/A 158 institutions institutions/organization y A A A /organizations s undertaking capacity / undertaking competency capacity/compete strengthening in one or ncy more of the six areas of strengthening as institutional/organizatio a result of USG nal competency: assistance (F) governance (e.g., board, [USG FACT: mission/goal/ EG 4.5.1] constituency, leadership, legal status); (Disaggregated management practices by municipality) (e.g., organizational structure, information management, administration procedures, personnel, planning, program development, program reporting); human resources (e.g., human resources development, staff roles, work organization, diversity issues, supervisory practices, salary and

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Year 1 LOP2 Performance Frequen Baseli Achievement Indicator Definition Planne Cumulati Indicator cy ne Q1 Q2 Q3 Planned d Q46 ve 3 4 5 benefits); financial resources (e.g., accounting, budgeting, financial/inventory controls, financial reporting); service delivery (e.g., sectoral expertise, constituency, impact assessment); external relations (e.g., constituency relations, collaboration, public relations, local resources, media). 19. Proportion Productive economic Quarterl N/A NA N/ N/ N/ N/A N/A 0.4W of female resources include: y (There A A A 0.6M participants in assets - land, housing, will be USG-assisted businesses, livestock or no programs financial assets such as project designed to savings; credit; wage or increase access self-employment; and inputs to productive income. in Year economic Programs include 1) resources micro, small, and (assets, credit, medium enterprise income or programs; workforce employment) (F) development programs [USG FACT: that have job placement GNDR-2] activities; programs that build assets (such as land redistribution or titling; housing titling; agricultural programs that provide assets such as livestock; programs designed to help adolescent females and young women set up savings accounts). This indicator does NOT track access to services – such as business development services or stand-alone employment training (e.g., that does not also include job placement following the training). Indicator narratives should specify type of assets.

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Year 1 LOP2 Performance Frequen Baseli Achievement Indicator Definition Planne Cumulati Indicator cy ne Q1 Q2 Q3 Planned d Q46 ve 3 4 5 The unit of measure will be a proportion, expressed in the format of X/Y, where X is the number of females from program participants and Y is the total number of male and female participants in the programs illustrated above (e.g., micro, small, and medium enterprise programs; workforce development programs that have job placement activities; programs that build assets (land redistribution or titling; housing titling; agricultural programs that provide assets such as livestock). 20. Number of Number of agriculture Quarterl 0 0 N/ N/ N/ N/A N/A 10 agricultural and and nutrition enabling y A A A nutritional environment policies in enabling the areas of environment institutional policies architecture, enabling completing the environment for private following sector investment, processes/steps trade, inputs, lands and of development natural resource as a result of management and USG assistance nutrition: in each case: 1. Underwent analysis 1. Analysis; 2. (review of existing Stakeholder policy and/or consultation/publ proposal of new ic debate; 3. policy). Drafting or 2. Underwent public revision; 4. debate and/or Approval consultation with (legislative or stakeholders on regulatory); 5. the proposed new Full and effective or revised policy. implementation This could also (F) include proposed [USG FACT: repeal of an 4.5.1(24)] existing policy.

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Year 1 LOP2 Performance Frequen Baseli Achievement Indicator Definition Planne Cumulati Indicator cy ne Q1 Q2 Q3 Planned d Q46 ve 3 4 5 NB: The targets 3. Were newly are accurate drafted or revised given the amount 4. Received official of time required approval for the extensive (legislation / consensus- decree) of the building that new, revised, or must occur at repealed policy by each stage of the relevant policy authority development and (legislative or approval. executive body). Multiple bodies 5. Were fully and at municipal and effectively state levels must implemented by be consulted as the relevant well as other authority (this stakeholder includes USG groups. The support to level of targets implementing the projected effective repeal of a accords with the policy). experience of Policies can include project staff who laws, legal frameworks, have undertaken regulations, similar policy administrative work under procedures, or other institutional development arrangements. projects. Note that the indicator has been revised to acknowledge that these processes are not always linear: Newly drafted laws can be defeated by a legislative body and require redrafting or new analysis; approved regulations can prove difficult to implement and may need to be revised. Because of this non-linear approach, double counting no longer a concern and is in fact appropriate: Operating units should indicate if multiple processes/steps were completed in a given

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Year 1 LOP2 Performance Frequen Baseli Achievement Indicator Definition Planne Cumulati Indicator cy ne Q1 Q2 Q3 Planned d Q46 ve 3 4 5 year, as this more accurately represents work under a given activity. The disaggregate “Total policies passing through one more processes/steps of policy change” will count the total number of polices that completed any processes/steps, regardless of the number of processes/steps each policy completed during the reporting year. Full and effective implementation must meet the following criteria: (1) The policy must be in force in all intended geographic regions/locations and at all intended administrative levels with all intended regulation/rules in place (“full”); (2) Any ongoing activities or tasks required by the policy (e.g. various kinds of inspection, enforcement, collection of documents/information/ fees) are being executed with minimal disruptions (”effective”). For example, a new business registration procedure that has been rolled out to just four of six intended provinces would not meet these criteria (not full), nor would a new customs law that is on the books but is not

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Year 1 LOP2 Performance Frequen Baseli Achievement Indicator Definition Planne Cumulati Indicator cy ne Q1 Q2 Q3 Planned d Q46 ve 3 4 5 being regularly enforced at the border (not effective). 21. Number of The number of Quarterl 0 0 N/ N/ N/ N/A N/A 1200 individuals who individuals to whom y A A A (40%W/ have received significant knowledge 60%M) USG supported or skills have been short-term imparted through agricultural interactions that are sector intentional, structured, productivity or and purposed for food security imparting knowledge or training.(F) skills should be [USG FACT: counted. The indicator 4.5.2-7] includes farmers, ranchers, fishers, and (Disaggregated other primary sector by municipality, producers who receive gender, ethnicity, training in a variety of and youth). best practices in productivity, post- NB: The harvest management, project is linking to markets, etc. responsible for It also includes rural the overall entrepreneurs, numbers in processors, managers targets, but not and traders receiving for the gender training in application of disaggregation new technologies, targets business management, linking to markets, etc, and training to extension specialists, researchers, policymakers and others who are engaged in the food, feed and fiber system and natural resources and water management. There is no pre-defined minimum or maximum length of time for the training; what is key is that the training reflects a planned, structured curriculum designed to strengthen capacities, and there is a reasonable expectation that the training

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Year 1 LOP2 Performance Frequen Baseli Achievement Indicator Definition Planne Cumulati Indicator cy ne Q1 Q2 Q3 Planned d Q46 ve 3 4 5 recipient will acquire new knowledge or skills that s/he could translate into action. Count an individual only once, regardless of the number of trainings received during the reporting year and whether the trainings covered different topics. Do not count sensitization meetings or one-off informational trainings. In-country and off- shore training are included. Training should include food security, water resources management/IWRM, sustainable agriculture, and climate change risk analysis, adaptation, and vulnerability assessments as they relate to agriculture resilience, but should not include nutrition- related trainings, which should be reported under indicator #3.1.9- 1 instead. Delivery mechanisms can include a variety of extension methods as well as technical assistance activities. 22. Number of Total number of private Quarterl 0 0 N/ N/ N/ N/A N/A 30 food security enterprises, producers´ y A A A (new) private associations, enterprises (for cooperatives, profit), producers producers organizations, fishing organizations, associations, water water users users associations, associations, women´s groups, women's groups, trade and business trade and associations and business community-based

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Year 1 LOP2 Performance Frequen Baseli Achievement Indicator Definition Planne Cumulati Indicator cy ne Q1 Q2 Q3 Planned d Q46 ve 3 4 5 associations, and organizations, including community- those focused on based natural resource Organizations management, that (CBOs) receiving received USG USG assistance. assistance related to (F) food security during the [USG FACT: reporting year. This 4.5.2-11] assistance includes support that aims at (Disaggregated organization functions, by organization such as member type and services, storage, municipality) processing and other downstream NB: Targets will techniques, and be set only for management, marketing “new” and accounting. organizations, “Organizations though assisted” should only continuing include those organization will organizations for which be recorded and implementing partners reported as a have made a targeted footnote. effort to build their capacity or enhance their organizational functions. In the case of training or assistance to farmer’s association or cooperatives, individual farmers are not counted separately, but as one entity. Nexos Locales will monitor and evaluate water users associations, women’s organizations, Municipal Women´s Offices (design and implement municipal plans on food security and nutrition), and business associations.

23. Number of Number of public- Quarterl 0 0 N/ N/ N/ N/A N/A 3 public-private private partnerships in y A A A agriculture or nutrition

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Year 1 LOP2 Performance Frequen Baseli Achievement Indicator Definition Planne Cumulati Indicator cy ne Q1 Q2 Q3 Planned d Q46 ve 3 4 5 Partnerships formed during the formed as a reporting year due to result of FtF Feed the Future assistance. (F) intervention (i.e. [USG FACT: agricultural or nutrition 4.5.2-12] activity, as described below). Private (Disaggregated partnerships can be by partnership long or short in focus) duration (length is not a criteria for measurement). Partnerships with multiple partners should only be counted once. A public-private alliance (partnership) is considered formed when there is a clear agreement, usually written, to work together to achieve a common objective. Please count both Global Development Alliance (GDA) partnerships and non- GDA partnerships for this indicator. There must be either a cash or in-kind significant contribution to the effort by both the public and the private entity. USAID must be one of the public partners. USAID is almost always represented in the partnership by its implementing partner. For-profit enterprises and NGOs are considered private. A public entity can be national or sub-national government as well as a donor-funded implementing partner. It could include state enterprises which are

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Year 1 LOP2 Performance Frequen Baseli Achievement Indicator Definition Planne Cumulati Indicator cy ne Q1 Q2 Q3 Planned d Q46 ve 3 4 5 non-profit. A private entity can be a private company, a community group, or a state- owned enterprise which seeks to make a profit (even if unsuccessfully). A mission or an activity may form more than one partnership with the same entity, but this is likely to be rare. In counting partnerships we are not counting transactions with a partner entity; we are counting the number of partnerships formed during the reporting year. Public- private partnerships counted should be only those formed during the current reporting year. Any partnership that was formed in a previous year should not be included. An agricultural activity is any activity related to the supply of agricultural inputs, production methods, agricultural processing or transportation. A nutritional activity includes any activity focused on attempting to improve the nutritional content of agricultural products as provided to consumers, develop improved nutritional products, increase support for nutrition service delivery, etc.. NOTE: Each partnership’s formation should only be

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Year 1 LOP2 Performance Frequen Baseli Achievement Indicator Definition Planne Cumulati Indicator cy ne Q1 Q2 Q3 Planned d Q46 ve 3 4 5 reported once in order to add the total number of partnerships across years. 24. Number of Number of people Annually 0 0 N/ N/ N/ N/A N/A 130 people trained in (health professionals, A A A (40%W/ child health and primary health care 60%M) nutrition through workers, community USG-supported health workers, programs. (F) volunteers, non-health [USG FACT: personnel) trained in 3.1.9-1] child health care and child nutrition through (Disaggregated USG-supported by gender, youth, programs during the ethnicity, and reporting year. municipality) USG-assisted training refers to all training or NB: The education events project is whether short-term responsible for (fewer than 16 hours) the overall or long-term (more numbers in than 16 hours), in targets, but not country, or abroad. for the gender For this indicator, disaggregation count the training targets. attendance numbers without distinguishing Although this whether the same indicator permits person received participants to multiple trainings. be counted more Counting individuals than once, the multiple times is project targets acceptable for this will reflect only indicator. first-time Values reported should participants as a reflect country-wide more meaningful results in Feed the measure. Total Future focus countries; numbers of results should not be participants restricted to only those trained will achieved in the Feed recorded and the Future Zone of reported as a Influence. footnote to PMP reports. DO3: Improved Management of Natural Resources to Mitigate Impacts of Global Climate Change. Result 5: Municipal Plans established to reduce climate change vulnerability and TA provided for implementation of plans. 25. Number of Institutions with Annually 0 NA N/ N/ N/ N/A N/A 27 institutions with improved capacity to A A A

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Year 1 LOP2 Performance Frequen Baseli Achievement Indicator Definition Planne Cumulati Indicator cy ne Q1 Q2 Q3 Planned d Q46 ve 3 4 5 improved address climate change capacity to issues have new or address climate increased ability to use change issues as new or different a result of USG approaches, processes, assistance (F) strategies, or [USG FACT: methodologies to adapt 4.8.2-14] to climate change. Measuring improved (Disaggregated institutional capacity to by municipality address climate change and type of an initial baseline institution, assessment of the adaptation targeted capacity (ies) capacity) and a post-intervention assessment. Relevant institutions include partner government or regional government institutions (such as ministries, departments, or commissions), private sector entities, local civil society organizations (such as women´s groups, farmers´ or fishing cooperatives), and trade unions, among others. Indications of increased institutional capacity to engage with climate change adaptation, clean energy, or sustainable landscapes include, but are not limited to: x Generating or using trend data related to climate change projections, x Using climate- change information or vulnerability assessments to inform decisions and actions, x Hiring technically qualified staff with responsibility and

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Year 1 LOP2 Performance Frequen Baseli Achievement Indicator Definition Planne Cumulati Indicator cy ne Q1 Q2 Q3 Planned d Q46 ve 3 4 5 authority to manage climate change related issues, x Having access to equipment or other inputs necessary for planning, assessment and management of climate change topics, x Engaging local-level stakeholders to ensure that policies, plans, budgets, and investments address on-the-ground needs related to climate change, x Developing a plan of action to respond to and build resilience to climate change impacts, x Increasing institution funding levels for addressing climate change issues, x Improving coordination with other key institutions, such as government ministries in non-environment sectors, to address climate change through an economy-wide approach, x Building networks with other organizations in the country or region to increase opportunities for clean energy trade or investment, x Building in-house expertise for assessing greenhouse gas sources and trends, and/or analyzing greenhouse gas adaptation options, and x Developing systems to measure and store

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Year 1 LOP2 Performance Frequen Baseli Achievement Indicator Definition Planne Cumulati Indicator cy ne Q1 Q2 Q3 Planned d Q46 ve 3 4 5 data on carbon stocks of forests and other landscapes using improved tools and methodologies. The narrative accompanying this indicator should identify the institutions with increased capacity and, if possible, the extent to which capacity has been built. An institution can be reported as having its capacity improved in multiple years if it achieves meaningful improvement in more than one year. 26. Number of “Capacity to adapt” is Annually 0 0 N/ N/ N/ N/A N/A 175 stakeholders the ability to adjust to A A A with increased climate change by capacity to adapt either coping with to the impacts of negative effects or climate change as taking advantage of a result of USG positive climate change assistance (F) opportunities. [USG FACT: Counting leading 4.8.2-26] decision-makers with “increased capacity to adapt” requires a baseline measure of initial capacity to adapt, then a measure of the change relative to that baseline that is plausibly attributable to the USG intervention. USG support aims to increase medium and long-term adaptive capacity. An increase in capacity can be shown with the use of surveys or assessments of capacities. Actions taken or behaviors changed can be easily identifiable and a reliable marker to

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Year 1 LOP2 Performance Frequen Baseli Achievement Indicator Definition Planne Cumulati Indicator cy ne Q1 Q2 Q3 Planned d Q46 ve 3 4 5 count, however increased capacity need not be limited to actions or behaviors. Stakeholders with improved adaptive capacity may include, but not limited to: Implementing risk- reducing practices/actions to improve resilience to climate change; using climate information in decision making; with increased knowledge of climate change impacts and response options. The narrative accompanying this indicator should briefly describe adaptive capacity in the project context and indicate the stakeholders involved. In particular, indicate the climate change vulnerability being addressed by the intervention and the capacity or behavior change that addresses the vulnerability. Note: Attending training does not automatically count towards increased capacity to adapt to climate change. Measuring increased knowledge that may have been attained at training requires an initial baseline assessment of the targeted individual(s) and a post-intervention assessment. NB: Stakeholders are individuals.

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Year 1 LOP2 Performance Frequen Baseli Achievement Indicator Definition Planne Cumulati Indicator cy ne Q1 Q2 Q3 Planned d Q46 ve 3 4 5 27. Number of Technologies and Annually 0 0 N/ N/ N/ N/A N/A 32 climate methodologies for A A A adaptation tools, adaptation can include technologies and ways to measure and methodologies calculate carbon developed, emissions, perform tested and/or GHG inventories, adopted as a measure and monitor result of USG pollution reductions or assistance (F) manufacturing efficiency [USG FACT: gains and support 4.8.2-8] planning and project design. Other (Disaggregated examples are GIS/GPS by tools, data collection and technologies and dissemination platforms methodologies) and methodologies, and improved field technologies like soils management methods or a new solar electric application. Tools and methods to enhance climate resilience integrate climate considerations into planning and management processes, including planning and project design. They may include methods for vulnerability assessment, guidance to different sectors and/or regions, or information platforms that provide information and data to inform planning and decision making based on scenarios and projections. Tools, technologies, and methods may include software, manuals, training materials, information platforms, devise, improved crop varieties, etc.

28. Number of Laws, policies, Annually 0 0 N/ N/ N/ N/A N/A 37 laws, policies, strategies, plans, A A A

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Year 1 LOP2 Performance Frequen Baseli Achievement Indicator Definition Planne Cumulati Indicator cy ne Q1 Q2 Q3 Planned d Q46 ve 3 4 5 strategies, plans, agreements or or regulations regulations include addressing those measures climate change developed to address (adaptation) climate change and/or and/or biodiversity biodiversity conservation issues. conservation However, if a measure officially is not yet adopted, it proposed, must at least be adopted, or formally proposed implemented as a within an official result of USG government process to assistance (F) be reported. “Officially [USG FACT: proposed” means that a 4.8.2-28] relevant government official or agency with Disaggregated decision-making by: Laws, authority has proposed policies, the measure publicly. strategies, plans Each piece of legislation or regulations can be counted once as and by stage of “proposed” and once passage as “adopted”, if applicable. The indicator narrative should include an explanation of when each measure is counted. “Adopted” means officially codified or enacted by the legislation government entity with decision making authority in their national legal, regulatory, or policy system. Legal, regulatory and policy reform can incentivize investment in clean energy or energy. Laws, policies, strategies, plans and regulations that address climate change and/or biodiversity conservation may be integrated in scope, or may address sectors, such as water, marine

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Year 1 LOP2 Performance Frequen Baseli Achievement Indicator Definition Planne Cumulati Indicator cy ne Q1 Q2 Q3 Planned d Q46 ve 3 4 5 resources, forests, land use and agriculture, energy, trade, education and urban development. It is essential that the indicator narrative explain the connection between the measure and climate change or biodiversity. The narrative should be specific about what the reported number represents, particularly: What is the title of the measure? At what stage is it? (Officially proposed or adopted); What is/are the institution(s) that will be implementing and/or enforcing the measure? How does the measure contribute to climate change adaptation or biodiversity conservation?

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ANNEX II - WORK PLAN ACTIVITY ACCOMPLISHMENT TABLE YEAR 1 WORK PLAN CHART BY ACTIVITY

RESULT#01 - SOUND PUBLIC FINANCIAL MANAGEMENT Activity & Sub-Activity Completion Quarter Status

1.1 Assess capacity of target municipalities, particularly in the areas of revenue generation, purchasing and procurement, administration and planning, and compliance with the Public Access to Information Law.

1.1.1 Development of MOU with municipalities Q4

1.1.2 Development, presentation, and validation of PFM assessments Q5

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1.2 Deliver technical assistance that meets the specific needs of the target municipalities.

Eight (8) sub-regional training workshops on PFM Standard Operating 1.2.3 Q4 Procedures 1.3 Deliver technical assistance that meets the specific needs of the target municipalities.

1.3.1 Rapid assessments of COMUDE functioning and capacity Q4

1.3.2 Develop TA plans for each COMUDE Q5

1.3.3 Initial Meetings on how the COMUDE TA plans will be implemented Q5 1.4 Build the capacity of the mancomunidades to develop and implement regional strategies.

1.4.1 Select mancomunidades Q4

1.4.2 Mapping of select mancomunidades Q4

1.4.3 Develop and sign MOU with selected mancomunidades Q4

RESULT#02: STRENGTHENED CIVIL SOCIETY PARTICIPATION IN SOCIAL ACCOUNTABILITY PROCESSES

Activity & Sub-Activity Completion Quarter Status 2.1 Conduct an Entry Point Map

2.1.1 Develop entry points for all 30 municipalities Q3 2.2 Train citizens so they can analyze local authority budgets and public spending.

2.2.1 Select municipalities and COCODEs for Budget Analysis trainings Q4

2.2.2 Eight (8) regional workshops to train CSOs and COCODEs in budget analysis Q5 2.3 Build the capacity of CSOs to engage municipalities through COMUDEs.

2.3.1 Eight (8) regional workshops to train CSOs in basic advocacy techniques Q5 2.4 Support CSOs to implement social accountability mechanisms.

2.4.1 Developing election transition plans Q5 2.5 Provide technical assistance to the COCODEs through grants to CSOs

2.5.1 Desktop survey of existing COCODE TA needs Q4

2.5.2 Formulation of CSO projects Q5

RESULT#03: INCREASED QUALITY OF POTABLE WATER IN 30 FEED THE FUTURE MUNICIPALITIES Activity & Sub-Activity Completion Quarter Status 3.1 Map water sector stakeholders.

3.1.1 Map water sector stakeholders Q5 3.2 Provide technical assistance to municipalities to improve water service delivery.

Initial meetings to outline the strategic business and investment plans in all 30 3.2.1 municipalities Q5 3.3 Assist municipalities with the development of watershed management and protection plans and train them on plan implementation.

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3.3.1 Watershed Diagnostic Q5

RESULT#04: LOCAL DEVELOPMENT PLANS ESTABLISHED AND IMPLEMENTED IN ORDER TO IMPROVE FOOD SECURITY AND ECONOMIC DEVELOPMENT

Activity & Sub-Activity Completion Quarter Status 4.1 Build the capacity of the Municipal Women's Office to support the design and implementation of municipal plans to address food security and nutrition.

4.1.1 Rapid assessment of previous donor assistance to the 30 OMMs Q4

4.1.2 Immediate responses to the needs identified in the rapid assessments Q5 4.2 Coordinate with municipalities to establish and operate food security situation rooms.

4.2.1 Rapid assessments of the SAN Situation Rooms Q4

4.2.2 Coordination with SESAN and other USAID FtF initiatives Q5

TA in the functioning of existing situation rooms and in the establishment of 4.2.3 new ones Q5

Four (4) regional training workshops on the importance of the Situation 4.2.4 Rooms Q5 4.3 Help municipalities develop LED plans.

4.3.1 Assessment of municipal LED needs Q5 4.4 Coordinate with other USAID implementing partners to support access to basic municipal services for small-scale producers and their associations.

4.4.1 Identification of public policies adverse to agricultural production Q5

4.4.2 Facilitation of sessions with small-scale farmers Q5

RESULT#05: MUNICIPAL PLANS ESTABLISHED TO REDUCE CLIMATE CHANGE VULNERABILITY AND TECHNICAL ASSISTANCE PROVIDED FOR IMPLEMENTATION OF PLANS

Activity & Sub-Activity Completion Quarter Status 5.1 Improve municipalities' awareness of climate stressors and of adaptation measures.

5.1.1 Evaluation of knowledge levels of climate stressors and adaptation measures Q5

5.4 Build citizen knowledge of climate stressors so they are better able to participate in the municipal planning.

5.4.1 Climate Change Public Awareness Campaign Began Year 1, ongoing

RESULT#06: INCREASED CAPACITY OF ANAM AND AGAAI TO SUPPORT MUNICIPAL DEVELOPMENT AND REPLICATE SUCCESSFUL MODELS NATIONWIDE

Activity & Sub-Activity Completion Quarter Status

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6.1 Deliver technical assistance and training to ANAM and AGAAI to improve their service provision and ability to advocate on the topics of crime prevention, food security, health, DRR, and climate change vulnerability reduction.

6.1.1 Develop MOU with ANAM and AGAAI Q3

6.1.2 Develop TA plans with ANAM and AGAAI Q5

6.1.3 TA in improved service provision to members Q5

6.1.4 TA in advocacy techniques in specific areas Q5

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