Performance_Monitoring_Plan_Report_-_SJSRP.pdf

SECURITY AND JUSTICE

SECTOR REFORM PROJECT

PERFORMANCE MONITORING PLAN REPORT

(OCTOBER 1, 2016 – SEPTEMBER 30, 2017)

October 30, 2017 This publication was produced for review by the United States Agency for International Development. It was prepared by Checchi and Company Consulting, Inc.

SECURITY AND JUSTICE SECTOR

REFORM PROJECT

Contract No. AID-520-C-12-00004

PERFORMANCE MONITORING PLAN REPORT, FY 2017

(October 1, 2016 – September 30, 2017)

Prepared by:

Checchi and Company Consulting, Inc.

1899 L St, NW, Suite 800 Washington, DC 20036

October 30, 2017

DISCLAIMER

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.

TABLE OF CONTENTS

LIST OF ACRONYMS ............................................................................................................. i

EXECUTIVE SUMMARY ...................................................................................................... iii

RESUMEN EJECUTIVO ....................................................................................................... vi

PERFORMANCE MONITORING PLAN FY 2016 - RESULTS

LLR 1: Greater state capacity to manage security and justice administration

LLR 2: Greater state capacity to provide security and justice for citizens

LLR 3: Greater civil society oversight of public and private security services

CONCLUSION

Annexes

Annex A: PMEP Matrix Annex B: Annual Report of Government Property

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LIST OF ACRONYMS

ACOFOP Association of Forest Communities of Petén

CECON Center for Conservationist Studies of San Carlos University

CICIG International Commission against Impunity in Guatemala

CIDEJ Center for Information and Judicial Statistics

CONAP National Council for Protected Areas

CSJ Supreme Court (Corte Suprema de Justicia)

CSOs Civil Society Organizations

FADS Family and Friends against Crime and Kidnapping

FJA Forum on Environmental Justice

FY Fiscal Year

GBV Gender-Based Violence

GOG Government of Guatemala

IDAEH National Institute of History and Anthropology

IDPP Public Defense Institute (Instituto de la Defensa Pública Penal)

INACIF National Institute of Forensic Science (Instituto Nacional de Ciencias Forenses de Guatemala)

ISO International Organization for Standardization

IT Information Technology

JPPPP First Pluripersonal Criminal Peace Court

LLR Lower Level Result

MAI Integrated Attention Model

MBR Maya Biosphere Reserve

M&E Monitoring and Evaluation

MINGOB Ministry of Governance (Ministerio de Gobernación)

MP Public Ministry (Ministerio Público)

NGO Nongovernmental Organization

OJ Judicial Branch (Organismo Judicial)

ONSEC National Civil Service Office

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PGN Solicitor General’s Office

PMEP Performance Monitoring and Evaluation Plan

PNC National Civilian Police (Policia Nacional Civil)

SAI Comprehensive Assistance System (Sistema de Atención Integral)

SJSI Security and Justice Sector Institution

SJSRP Security and Justice Sector Reform Project

SICOMP Public Ministry Case Management System (Sistema Informático de Control de Casos del Ministerio Público)

UNESCO United Nations Educational, Scientific and Cultural Organization

USAID United States Agency for International Development

USG United States Government

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EXECUTIVE SUMMARY

This report shows the result of monitoring of the fifth year of implementation of the Security and Justice Sector Reform Project (SJSRP or Project), corresponding to Fiscal Year (FY) 2017. The report demonstrates the status of advances in 20 indicators, each of which describes accomplishments and advances in the state’s capacity to manage security and justice administration, provide security and justice for citizens, and promote greater civil society oversight of justice and security services.

Guatemala’s budget for 2017 included an average increase of 23% in the budgets for security and justice sector institutions (SJSIs) compared to 2016, with the greatest increase for the National Institute of Forensic Sciences (INACIF). Disbursements from the Ministry of Finance through August represent approximately half of the annual total, and two of the four institutions reporting data have executed more than 99% of the amount disbursed (Indicator 1).

The Organic Law of the National Civilian Police (PNC), which was developed and presented with Project support, received favorable opinions from all of the required entities, including the President’s General Secretary. It is currently pending presentation by the Presidency of the Republic to Congress (Indicator 2). The results from the SJSRP’s support to the PNC is also reflected in a significant increase in the registration of police agents to the digital platform that facilitates posthumous benefits (Indicator 3).

The SJSRP continued to support the improvement of administrative and financial procedures in INACIF, and this year the institution received certification in International Organization for Standardization (ISO) 9001:2008 norms for three administrative procedures: Recruitment and selection of staff, Procurement of goods and services and Management of payments (Indicators 4 and 5).

Regarding care for victims of gender-based violence (GBV), this report reflects a decrease in people receiving in-person attention at the Public Ministry’s (MP) Integrated Attention Model for Victims of Violence against Women (MAI), largely due to the fact that the MP is also providing assistance via telephone, and an increase in people receiving attention at the Specialized Courts. Prolonged periods for final hearings to conclude cases continue to affect the issuance of sentences (Indicator 6). The second survey of users of the MAI/MP found that 77% indicated high satisfaction with the services received and more than 80% reported that the attention from the MP encouraged them to continue with the legal process (Indicator 7).

With SJSRP support, in FY 2017 the High Risk courts and tribunals were able to significantly increase productivity, exceeding the targets for trial ready orders by 121% and for sentences by 32%. This year there was also an increase in the number of women sent to trial and condemned, which is due to the processing of extortion cases that included a majority of women suspects (Indicator 8). Regarding the 24 Hour Courts, only one (Antigua) reduced the percentage of cases dismissed due to lack of merit beyond the established target. The remaining six courts experienced difficulties in achieving the target

Checchi and Company Consulting, Inc. iv of reducing the number of cases dismissed due to lack of evidence presented by the National Civilian Police and the Public Ministry. As a result of SJSRP technical assistance, additional judges were assigned to the 24 Hour Courts in order to continue improving compliance with constitutional guarantees (Indicator 9).

The SJSRP continued to support the Judicial Branch (OJ) in implementing technical instruments based on court management models designed to provide greater celerity, certainty and judicial security to Court operations via electronic communications. FY 2017 saw a 57% increase in courts with improved management systems, to a total of 154 courts; of these, 149 have implemented the electronic interconnection system, an increase of 60% from FY 2016. This year, the number of electronic hearing notices increased by 147%, and the number of expert testimonies given via videoconference increased by 47%. (Indicator 10)

The clearance rate of the First Pluripersonal Criminal Peace Court (JPPPP) in FY2017 remained at 62%, the same as the prior year. The JPPPP faced challenges given that two of its most experienced judges were transferred out of the court, and there were multiple appointments of temporary judges who are not familiar with the pluripersonal model. However, the court also had advances this year:

one achievement with SJSRP support was the naming of a seventh judge, who will focus on closing out cases remaining open from previous years. In the first three months of work, the new judge resolved 80% of the 300+ cases assigned. (Indicator 11)

The SJSRP’s environmental component, which worked to prevent and prosecute crimes against the environment and cultural heritage in the Maya Biosphere Reserve (MBR), completed activities this year, having achieved important results. Over the component’s three years, complaints of crimes against natural and cultural patrimony increased significantly, with 2017 numbers more than five times the baseline from 2014. (Indicator 12). Also in these three years, the SJSRP established or supported 25 alliances with the objective of strengthening environmental and cultural justice in the MBR; these alliances include the participation of 13 state institutions, and seven other entities, including international organizations and local civil society. (Indicator 13)

In September 2016 two new Sub Lower Level Results (LLRs) were added to the SJSRP. Sub LLR 2.4 involves support for legal reform and implementation of key legislation; two indicators track progress in this component, and the Project surpassed both targets for FY 2017. Regarding the number of legal reforms supported (Indicator 15), the SJSRP has provided technical assistance to a total of 18 law initiatives, one of which – the Judicial Career Law – was approved by Congress. The law initiatives supported include proposals to reform the Criminal Code and Criminal Procedural Code and to create a Labor Procedural Code, as well as changes to the Law for Constitutional Protection, Habeas Corpus, and Constitutionality and the Electoral and Political Parties Law. The other indicator (16) focuses on inter-institutional alliances established or strengthened in support of legal reform or the implementation of key legislation; in this area the Project reached 10 alliances, double the annual target.

Under Sub LLR 2.5, the SJSRP provides technical equipment, specialized technical assistance, logistical support and training to strengthen the government’s capacity to investigate and prosecute

Checchi and Company Consulting, Inc. v corruption cases, as well as create more transparent justice sector practices to prevent corruption. One measurement of this is the use of electronic inboxes for notifications. During FY 2017, the number of electronic inboxes registered to lawyers and justice sector institutions exceeded the target by 16%.

The number of notifications sent via this system increased by more than 16,200 from the baseline, although it did not reach the annual target. (Indicator 17). Indicator 18, which refers to the percent of responses sent from INACIF to the Public Ministry electronically, via a platform supported by the SJSRP, will be reported in FY 2018.

Indicator 19 measures the efficiency of the comprehensive model for criminal investigation and prosecution in the Public Ministry’s Anti-Corruption Center, including its three specialized sections, Corruption, Administrative Crimes and Internal Matters. This year, the Prosecutor’s Office against Corruption surpassed its annual target in the number of operations, arrests and persons linked to judicial processes. The Prosecutor’s Office of Administrative Crimes had less success in advancing toward this year´s targets; while in the Prosecutor’s Office for Internal Affairs, the Office surpassed the annual target in terms of operations coordinated and reached 97.3% of the target established for persons accused. Indicator 20 reports parallel data from the Prosecutor’s Office against Extortion, including the new regional agencies located in Guatemala City, Jutiapa, San Marcos, Chimaltenango, Huehuetenango and Quetzaltenango. This Prosecutor’s Office surpassed its annual targets in the areas of number operations coordinated and number of accused persons.

This year the SJSRP achieved the target for Indicator 21 by supporting the efforts of CSOs in three initiatives oriented toward increasing transparency in nomination and election procedures for the INACIF Director and the Human Rights Ombudsman, and promoting reforms to the Law of Electoral Commissions.

Finally, this year the Project trained more than 600 judicial personnel, exceeding the annual target by 5% (Indicator 22).

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RESUMEN EJECUTIVO

Este informe muestra el resultado del monitoreo del quinto año de implementación del Proyecto de Reforma del Sector de Seguridad y Justicia (SJSRP o Proyecto), correspondiente al Año Fiscal (FY, en inglés) 2017. El informe demuestra el estado de los avances en 20 indicadores, cada uno de los cuales describe los logros y avances en la capacidad del Estado para gerenciar la administración de seguridad y justicia, proporcionar seguridad y justicia a los ciudadanos, y promover una mayor supervisión de la sociedad civil de los servicios de justicia y seguridad.

El Presupuesto General de Ingresos y Egresos del Estado para el Ejercicio Fiscal 2017 de Guatemala incluyó un aumento promedio de 23% en los presupuestos para las instituciones del sector de seguridad y justicia (SJSI) en comparación con 2016, con el mayor aumento para el Instituto Nacional de Ciencias Forenses (INACIF). Los desembolsos del Ministerio de Finanzas hasta agosto representan aproximadamente la mitad del total anual, y dos de las cuatro instituciones que brindaron reportes han ejecutado más del 99% del monto desembolsado (Indicador 1).

La Ley Orgánica de la Policía Nacional Civil (PNC), que se desarrolló y se presentó con el apoyo del Proyecto, recibió opiniones favorables de todas las entidades requeridas, incluido la Secretaría General de la Presidencia. Actualmente está pendiente de presentación por parte de la Presidencia de la República al Congreso (Indicador 2). Los resultados del apoyo del SJSRP a la PNC también se reflejan en un aumento significativo en el registro de agentes policiales en la plataforma digital que facilita los beneficios póstumos (Indicador 3).

El SJSRP continuó apoyando la mejora de los procedimientos administrativos y financieros en INACIF, y este año la institución recibió la certificación ISO 9001: 2008 de tres procedimientos administrativos: reclutamiento y selección de personal, adquisición de bienes y servicios y administración de pagos (Indicadores 4 y 5).

En cuanto a la atención a víctimas de violencia de género, este informe refleja una disminución en las personas que reciben atención personal en el Modelo de Atención Integral para Víctimas de Violencia contra la Mujer (MAI) del Ministerio Público (MP), en gran parte debido al hecho que el MP también brinda asistencia por teléfono y un aumento de las personas que reciben atención en los juzgados especializados. Los períodos prolongados para las audiencias finales en las cuales concluyen los casos continúan afectando la emisión de sentencias (Indicador 6). En la segunda encuesta de usuarias del MAI / MP el 77% indicó una alta satisfacción con los servicios recibidos y más del 80% dijo que la atención del MP las alentó a continuar con el proceso legal (Indicador 7).

Con el apoyo de SJSRP, en el año fiscal 2017, las cortes y tribunales con competencia en casos de mayor riesgo lograron aumentar significativamente la productividad, superando en un 121% las metas de órdenes de apertura a juicio y en un 32% las sentencias. Este año también hubo un aumento en el número de mujeres enviadas a juicio y condenadas, lo que se debe al procesamiento de casos de extorsión en los cuales la mayoría de personas capturadas son mujeres (Indicador 8). Con respecto a

Checchi and Company Consulting, Inc. vii los Tribunales de 24 Horas, solo uno (Antigua) redujo el porcentaje de casos desestimados por falta de mérito más allá de la meta establecida. Los seis tribunales restantes tuvieron dificultades para lograr el objetivo de reducir el número de casos desestimados por falta de evidencias presentadas por la Policía Nacional Civil y el Ministerio Público. Como resultado de la asistencia técnica del SJSRP, se asignaron jueces adicionales a los Tribunales de 24 Horas para continuar mejorando el cumplimiento de las garantías constitucionales (Indicador 9).

El SJSRP continuó apoyando al OJ en la implementación de instrumentos técnicos basados en modelos de gestión judicial diseñados para proporcionar mayor celeridad, certeza y seguridad judicial a las operaciones de los juzgados a través de las comunicaciones electrónicas. En el año fiscal 2017 se observó un aumento del 57% en los juzgados con sistemas de gestión mejorados, hasta un total de 154; de estos, 149 han implementado el sistema de interconexión electrónica, un aumento del 60% respecto del año fiscal 2016. En el 2017, el número de notificaciones electrónicas de audiencias aumentó en un 147% y el número de peritajes de INACIF presentados por videoconferencia se incrementó en un 47%. (Indicador 10)

La tasa de resolución de casos del Juzgado Primero Pluripersonal de Paz Penal (JPPPP) en el año fiscal 2017 se mantuvo en el 62%, igual que el año anterior. El JPPPP enfrentó desafíos debido a que dos de sus juezas más experimentadas fueron transferidas a otros juzgados, y hubo múltiples nombramientos de jueces temporales que no están familiarizados con el modelo pluripersonal. Sin embargo, el juzgado también tuvo avances este año: un logro con el apoyo de SJSRP fue el nombramiento de un séptimo juez, que se centrará en el cierre (liquidación) de casos pendientes de años anteriores. En los primeros tres meses de trabajo, el nuevo juez resolvió el 80% de los más de 300 casos asignados. (Indicador 11)

El componente ambiental del SJSRP, que trabajó para prevenir y enjuiciar los delitos contra el medio ambiente y el patrimonio cultural en la Reserva de la Biosfera Maya (RBM), completó actividades este año, y logró importantes resultados. Durante los tres años del componente, las denuncias de crímenes contra el patrimonio natural y cultural aumentaron significativamente, con cifras de 2017 más de cinco veces la línea base de 2014. (Indicador 12). También en estos tres años, el SJSRP estableció o apoyó 25 alianzas con el objetivo de fortalecer la justicia ambiental y cultural en la RBM; estas alianzas incluyen la participación de 13 instituciones estatales y otras siete entidades, incluidas organizaciones internacionales y la sociedad civil local. (Indicador 13)

En septiembre de 2016, se agregaron dos nuevos Sub (LLR) al SJSRP. El Sub LLR 2.4 incluye apoyo para la reforma legal y la implementación de legislación clave; dos indicadores monitorean el progreso en este componente, y el Proyecto superó en ambos las metas para el año fiscal 2017. En cuanto al número de reformas legales respaldadas (Indicador 15), el SJSRP ha brindado asistencia técnica a un total de 18 iniciativas legales, una de las cuales -la Ley de Carrera Judicial - fue aprobada por el Congreso. Las iniciativas de ley respaldadas incluyen propuestas para reformar el Código Penal y el Código Procesal Penal y crear un Código Procesal Laboral, así como cambios a la Ley de Amparo, Exhibición Personal y de Constitucionalidad y la Ley Electoral y de Partidos Políticos. El otro indicador (16) se centra en las alianzas interinstitucionales establecidas o fortalecidas en apoyo a la

Checchi and Company Consulting, Inc. viii reforma legal o la implementación de legislación clave; en esta área, el Proyecto alcanzó 10 alianzas, el doble de la meta anual.

Bajo el Sub LLR 2.5, el SJSRP proporciona equipo técnico, asistencia técnica especializada, apoyo logístico y capacitación para fortalecer la capacidad de investigar y perseguir casos de corrupción, y también crear procesos transparentes en el sector justicia para evitar corrupción. Una medida de esto es el uso de casilleros electrónicos para recibir notificaciones. Durante el año fiscal 2017, el número de casilleros electrónicos registrados por abogados privados e instituciones del sector de justicia superó el objetivo en un 16%. El número de notificaciones enviadas a través de este sistema aumentó en más de 16.200 sobre la línea de base, aunque no alcanzó el objetivo anual. (Indicador 17). El indicador 18, que se refiere al porcentaje de respuestas enviadas electrónicamente por el INACIF al Ministerio Público, a través de una plataforma respaldada por el SJSRP, será reportado en el año fiscal 2018.

El Indicador 19 mide la eficiencia del modelo integral de investigación y persecución penal en el Centro Anticorrupción del Ministerio Público, incluidas sus tres fiscalías especializadas, Corrupción, Delitos Administrativos y Asuntos Internos. Este año, la Fiscalía contra la Corrupción superó su meta anual en el número de operaciones, arrestos y personas vinculadas a procesos judiciales. La Fiscalía de Delitos Administrativos tuvo menos éxito en avanzar hacia los objetivos de este año; mientras que la Fiscalía de Asuntos Internos superó la meta anual en términos de operaciones coordinadas y alcanzó el 97.3% del objetivo establecido para las personas acusadas. El Indicador 20 reporta datos paralelos de la Fiscalía contra la Extorsión, incluida la agencia de Ciudad de Guatemala y las nuevas agencias regionales ubicadas en Jutiapa, San Marcos, Chimaltenango, Huehuetenango y Quetzaltenango. Esta Fiscalía superó sus objetivos anuales en operaciones coordinadas y en número de personas acusadas ante los juzgados.

Este año el SJSRP logró la meta del Indicador 21 al apoyar esfuerzos de sociedad civil en tres iniciativas orientadas a aumentar la transparencia en los procedimientos de nominación y elección para el Director del INACIF y el Procurador de Derechos Humanos, y promover reformas a la Ley de Comisiones de Postulación.

Finalmente, este año el Proyecto capacitó a más de 600 funcionarios judiciales, excediendo el objetivo anual en un 5% (Indicador 22).

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PERFORMANCE

MONITORING PLAN FY 2017

- RESULTS

LOWER LEVEL RESULT (LLR) 1: GREATER STATE CAPACITY TO MANAGE

SECURITY AND JUSTICE ADMINISTRATION

Sub-LRR 1.1: Adequate career system established for the police

1. Percentage of annual budget received that is executed by targeted SJSIs (disaggregated by institution)

The Guatemalan Fiscal Year is from January 1 through December 31. For this reason, the information in this indicator corresponds to SJSI budget execution from January through September 2017. The SJSIs tracked are the Public Defense Institute (IDPP), INACIF, Ministry of Governance (MINGOB), and the OJ, although 2017 data from INACIF is not yet available:

GRAPHIC 1: PROGRESS IN THE EXECUTION OF THE ANNUAL BUDGET

Institution Amount Approved in 2017 Budget

Amount Given by Ministry of Finance

(Jan-Sep 2017) Execution of the Amount Given

(Jan-Sep 2017)

IDPP Q 187,000,000.00 Q 94,916,389.49 51% Q 94,093,546.99 99.1%

INACIF Q 240,000,000.00 Pending Pending

MP Q 1,841,700,000.00 Q 1,410,458,000.00 77% Q 888,184,825.84 63.0%

MINGOB Q 5,330,283,144.00 Q 3,003,997,255.93 56% Q 3,001,084,625.65 99.9%

OJ Q 2,454,202,395.81 Q 1,563,017,992.50 64% Q 1,333,749,092.29 85.3%

The institutions reported that between January and September 2017, they have received between 51% and 77% of the approved funds, and execution is from 63% in the MP to almost 100% in the IDPP and MINGOB.

The government’s Fiscal Year 2017 budget (Decree 50-2016) included significant increases in the budgets for all of the SJSIs, as shown in the following table:

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GRAPHIC 2: BUDGET INCREASES 2016 TO 2017

SJSI 2016 2017 % Increase

IDPP Q 151,276,607.00 Q 187,000,000.00 23.6

INACIF Q 165,000,000.00 Q 240,000,000.00 45.5

MP Q 1,490,756,991.00 Q 1,841,700,000.00 23.5

MINGOB Q 4,473,547,820.00 Q 5,330,283,144.00 19.2

OJ Q 1,911,867,311.00 Q 2,454,202,395.81 28.4

Total (Q) Q 8,192,448,729.00 Q 10,053,185,539.81 22.7 Total (approx.

USD) $1,122,253,250.55 $1,377,148,704.08

Source: Reports of the Integrated Government Accounting System.

Overall, the public funds assigned to the security and justice sector increased by 22.7% in 2017. Of all of the institutions, INACIF received the highest increase (45.5%), while MINGOB received the lowest increase (19.2%). Originally both the OJ and MINGOB were assigned higher budgets for the year, but they were later cut to the figures shown here.

2. Degree of progress in the definition, approval, and implementation of improved police career regimen.

Throughout the implementation of the SJSRP, there has been ongoing political sensitivity around the PNC Organic Law, which includes an improved police career regimen. The Project has supported PNC and MINGOB authorities in two processes of drafting technical proposals and three processes of promoting the draft law with different authorities in constant rotation. These proposals have received the necessary approvals and favorable opinions from the corresponding institutions, but have not been able to advance beyond the office of the three Presidents who have held office during the past five years; as such, the proposal has not been presented to Congress to be voted into law.

This indicator is divided into four milestones, each with a series of activities aligned with the development and presentation of the PNC Organic Law initiative to relevant authorities.

In FY 2016, the SJSRP achieved the milestones set for that year: Milestone A - Socialization of the new police norm among pertinent authorities, and Milestone B - Presented final version of the proposal. By the end of FY2016, the SJSRP had advanced in Milestone C, with the law receiving four of the six required favorable opinions in order to proceed.

For FY2017, the milestones established are as follows:

Milestone C: Statements of public support for the new police norms. This was achieved in the first quarter of FY 2017, when the Ministry of Finance and the Solicitor General’s Office (PGN) issued favorable opinions on the proposed Organic Law. With these advances, the law was ready to be presented to the Secretary General of the President.

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Milestone D: Approval of the New Police Norm. In the second quarter of FY 2017, the SJSRP accompanied the presentation of the law before the Secretary General of the President and made the technical revisions requested. At that point authorities from both MINGOB and PNC turned in the final version to the President, where currently remains. In the third quarter the SJSRP supported activities with PNC leadership in order to promote the proposal.

GRAPHIC 3: MILESTONES FOR THE PNC ORGANIC LAW

FY 2017 Status

Milestone C - Statements of public support for the new police norms

(a) Socialization of the new version of the proposal among MINGOB and

PNC authorities, among other pertinent authorities.

(b) Statements of public support of the passage of the new norm from

MINGOB and PNC officials, among other pertinent entities.

Achieved first quarter of FY2017

Milestone D - Approval of the new police norm

(c) Presentation of public support in favor of the norm to functionaries directly in charge of approving the New Police Norm, and others as considered necessary.

In process

3. Percentage of National Civilian Police officers enrolled in improved human resources and benefits systems

The SJSRP has monitored the advance of the implementation of improvements to the PNC’s Computerized Personnel System, which continues to be used in an effective manner throughout the country, under the central control of the PNC’s General Personnel Office. Progress is measured by the percent of officers enrolled in the Posthumous Benefit System.

According to data from the PNC’s General Personnel Office, the enrollment surpassed the target with 92% of the institution’s personnel enrolled in the Posthumous Benefit System. This demonstrates the sustainability of the improvements to the Computerized Personnel System, achieved with technical assistance and scanners and computer equipment donated by the SJSRP.

Current targets and the results achieved during FY 2017 are as follows:

GRAPHIC 4: CUMULATIVE PERCENTAGE OF PNC AGENTS ENROLLED IN

THE POSTHUMOUS BENEFIT SYSTEM

Baseline (2015) Target FY 2017 Achieved FY 2017

PNC agents enrolled in the posthumous benefit system 70% 90% 92%

(33,156)

Women 83% Maintain at 100% 100% (5,281)

Men 68% 90% 91% (27,875)

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Source: PNC’s General Personnel Office, October 2017

Currently, the total PNC staff consists of 36,070 people, of which 14.6% (5,281) are women and 85.4% (30,789) are men.

Sub-LRR 1.2: SJSIs’ financial management systems strengthened

4. Number of SJSIs’ financial processes improved in compliance of financial standards set by the Ministry of Finance

This indicator measures progress in improving SJSIs’ internal financial processes to complement the processes required by the Integrated Financial Administration System, as well as reinforcing financial planning (best practices in budget execution, streamlining of purchasing processes, timely management of accounts, electronic authorizations, etc.).

In FY 2016, the SJSRP supported INACIF in achieving improvements in two financial processes in accordance with ISO 9001:2008 norms and Ministry of Finance standards. Since the target was one process improved per year, the Project advanced in reaching the 2017 target ahead of schedule.

During FY 2017, the SJSRP supported the implementation of the improvements in these same two processes (Purchases and Financial Processes), which were consolidated with the implementation of a Quality Management System in INACIF and ISO 9001:2008 certification (discussed in more detail in the following indicator), which includes various processes.

24,981 30,698 33,156

5,000

10,000

15,000

20,000

25,000

30,000

35,000

FY2015 FY2016 FY2017

GRAPHIC 5: % OF PNC AGENTS ENROLLED IN THE

POSTHUMOUS BENEFIT SYSTEM (CUMULATIVE)

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5. Number of processes within SJSIs that receive ISO certification or accreditation.

(Disaggregated by institution and type of process)

In FY 2017, the SJSRP advanced towards the target for this indicator, with INACIF receiving ISO 9001:2008 certifications in three processes, supported by the Project. The processes certified are as follows:

GRAPHIC 6: ADMINISTRATIVE PROCESSES CERTIFIED ISO 9001:2008

IN INACIF (FY2017)

Main processes:

1. Provision of services in the Recruitment and selection of staff

2. Procurement of goods and services

3. Management of payments

Source: Certificate issued by ICONTEC International and IQ-Net (International Certification Network), January 2017.

INACIF’s certifications in ISO 9001:2008 norms.

These three main processes include other strategic areas that support the functioning and accreditation of the Quality Management System, including the following:

• Management Processes: Strategic Direction and Quality Management

• Supporting Processes: Maintenance, Training and Information Technology (IT)

The SJSRP supported INACIF in achieving these certifications through a process which began in November 2015, which included the provision of a consultant and support staff in order to provide required training to INACIF staff, as well as document and implement a Quality Management System based on ISO 9001:2008 norms.

The SJSRP also provided technical and financial assistance for the certification process of INACIF’s toxicology, ballistics and genetic laboratories, via the Guatemalan Accreditation Office.

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Due to the change in INACIF director in June 2017, this activity is still pending completion; as such, the Project was unable to meet the FY 2017 target of five processes improved.

LLR 2: GREATER STATE CAPACITY TO PROVIDE SECURITY AND JUSTICE

FOR CITIZENS

Sub-LRR 2.1: SJSIs’ performance, efficiency, & accountability improved

6. Number of people reached by a USG funded intervention providing GBV services (e.g ., health, legal, psycho-social counseling, shelters, hotlines, other) “F”

This indicator provides information on attention to victims of gender-based violence through the Public Ministry’s 24 Hour Court and Integrated Attention Model for Victims of Violence against Women (MAI) – which are both located in the MP headquarters in Gerona – as well as the Comprehensive Attention System (SAI) of the Specialized Courts located in the Center of Justice for Crimes of Femicide and Violence against Women on Diagonal 6, Guatemala City. The indicator also includes a report on sentences achieved by the Prosecutor’s Office for Women, with the goal of capturing the results of these judicial processes.

In FY2017, 12,772 victims of gender based violence (GBV) were personally attended to in the targeted institutions, which represents 88.8% of the established target of 14,376 victims.

Targets and annual results for each of these sub-indicators are presented below:

GRAPHIC 7: PEOPLE REACHED BY USG-FUNDED INTERVENTIONS IN FY2017

Institution Target

FY2017

Achieved

FY2017

% of Target Achieved

6.a. MAI / MP 10,602 8,106 76.5% Women 10,602 8,106 76.5% 6.b. Specialized Femicide Courts (SAI & Gerona) 3,774 4,666 123.6% Women 3,689 4,606 124.9% Men 85 60 70.6%

6.c. Total people reached by a USG funded intervention providing GBV services 14,376 12,772 88.8%

Women 14,291 12,712 89.0% Men 85 60 70.6%

Source: SJSRP M&E with data from the MAI/MP and SAI Diagonal 6 & Gerona 24 Hour Court.

Although the number of people reached in the MAI/MP does not reach the annual target, it is important to note that these numbers include only victims receiving attention in the MAI, and not people receiving advice via telephone from the MP. The MP has been promoting the services offered by telephone, which may have contributed to the lower number of victims going to the MAI for in-

Checchi and Company Consulting, Inc. 7 person attention. The Specialized Femicide Courts, which form part of the judicial process for victims, received 4,666 people this year, surpassing their annual target by 23.6%.

With regard to sentences achieved by the MP, 78% of the target for this year was achieved. This is likely due to the backlogs of cases in the specialized courts for femicide and violence against women, as many cases face delays and are pending final hearings to conclude the process. During this period, 339 men were convicted and 169 absolved for crimes of violence against women, addressed in specialized courts.

GRAPHIC 8: SENTENCES FOR VIOLENCE AGAINST WOMEN IN FY2017

Prosecutor’s Office for Women Target FY2017 Total % of Target Achieved

6.d. Sentences achieved 798 619 77.6%

Source: SJSRP M&E with data from the MP.

7. Increase of citizen satisfaction with service delivery by MAI / MP in Guatemala City

In July 2017, a second survey on user satisfaction was carried out in the Integrated Attention Model for Victims of Violence against Women (MAI), located in the MP headquarters in Gerona.1 The survey involved 321 users, which corresponds to 15% of the people who used MAI services related to criminal proceedings in the first quarter of FY 2017. Under the monitoring plan, the results of the first survey (FY 2016) established the baseline for this indicator, and the results of the second survey demonstrate the change in level of user satisfaction for those who use the MAI services.

The survey was conducted during day and night shifts on weekdays and weekends, and covered the following topics, among others: Access, Infrastructure, Emergency attention (medical and psychological), Security and protection, Reception of the complaint, and Quality service rating (quantitative measuring).

The below graphs present a comparison between the results of the survey both years. It is worth noting that in FY2017, the survey coincided with a remodeling of the MAI headquarters, which was temporarily relocated to the area designated for the Prosecutor’s Office for Children and Adolescents, also located in the MP Gerona Headquarters.

In Graphic 7, below, one can see the level of satisfaction according to the time period in which the interviewed users received attention.

1 The survey was carried out under an SJSRP subcontract by an independent academic entity, the Center for Studies of Conflict, Power and Violence (CENDES).

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Source: Survey of MAI Users - July 2017

As the chart demonstrates, the level of satisfaction with MAI services remained high, with 77.6% of users reporting high satisfaction. This was a slight decrease (less than 2%) from the percentage of users who reported a high level of satisfaction in FY 2016. It is worth noting, however, that 91.2% of users during the night period expressed high satisfaction, compared to just 77.4% the previous year.

In FY 2017, 77.6% of women surveyed expressed a high level of satisfaction; 18.7% expressed an intermediate level of satisfaction, and 3.1% expressed dissatisfaction with the services provided.

According to the surveying entity, this demonstrates “general acceptance and approval of the services provided, while still demonstrating a need to pay attention to those unsatisfied in order to improve services and making adjustments to strengthen efficiency and quality of services provided.”

The following graphic, demonstrates user perception/valuation of the specific services provided by the MAI. As demonstrated, there is consistency in high satisfaction among the various services provided.

81.9 78.0 77.4 79.576.0 73.9 91.2

77.6

Morning period (8 AM - Noon)

Afternoon period (Noon - 6 PM)

Night period

(6 PM - 8 AM)

General average

GRAPHIC 9: OVERALL LEVEL OF SATISFACTION

OF MAI USERS

(% REPORTING HIGH SATISFACTION)

FY 2016

FY 2017

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Source: Survey of MAI Users - July 2017

According to an analysis by CENDES (the surveying entity), the results indicate “The importance of a high-quality attention is that: a) the victim receives dignified and humane treatment, as is deserved;

b) it favors criminal investigation because all possible investigation methods can be used; and c) it strengthens a culture of reporting crime, triggering a domino effect of social diffusion among other victims. These are some of the factors that reinforce the credibility of the Public Ministry in attention to victims of crimes.”

8. Number of high impact cases with final verdicts (disaggregated by type of court)

This indicator measures the productivity of courts and tribunals that handle high risk crimes. The indicator is divided into the following:2

• 8.a. High Risk First Instance Courts: 8.a.1. number of cases assigned; 8.a.2. number of imputed persons; 8.a.3 number of persons processed; 8.a.4. number of trial ready orders and sentence per abbreviated (fast track) process.

• 8.b. High Risk Sentencing Courts: 8.b.1 number of cases assigned; 8.b.2 number of persons convicted; 8.b.3. number of sentences, disaggregated by final decisions of the High Risk courts:

2 Wording of some sub-indicators under Indicator 8 was modified to improve clarity and accuracy.

78.5

89.6

82.0

69.7

77.2

83.6

85.6

77.6

82.2

83.8

75.2

78.2

83.5

82.6

Confidence in the MP to resolve the case

Encouraged to continue

Comfort and privacy

Perception of greater safety

Legal advice

Attention during the complaint

Support and understanding

GRAPHIC 10: LEVEL OF SATISFACTION OF MAI USERS

OF SPECIFIC SERVICES

(% REPORTING HIGH SATISFACTION IN EACH AREA)

FY 2017 FY 2016

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Trial ready orders (First Instance Court), and Sentences (Sentencing Court) and type of sentences (guilty/not guilty). Information is also provided separately by sex of persons prosecuted.

During 2017, there was an increase in the number of courts and tribunals with competency over high risk processes, following recommendations from the SJSRP in order to reduce the backlog of cases.

Currently there are four groups (each consisting of a court and a tribunal) in Guatemala City – A, B, C and D – and one group in the department of Quetzaltenango.

8.a. High Risk First Instance Courts:

The data from the five high risk first instance courts is as follows:

GRAPHIC 11: CASES IN HIGH RISK FIRST INSTANCE COURTS (8.a.1 and 8.a.2)

Cases Assigned (8.a.1) Persons Imputed by MP (8.a.2) People Linked to Process

Court Total FY2017 Women Men Total

FY2017 Women Men Total

FY2017

Court A 11 31 42 73 27 80 107 Court B 2 0 2 2 1 5 6 Court C 9 10 70 80 14 71 85 Court D 5 1 12 13 4 42 46 Court Quetzaltenango 9 0 4 4 0 3 3

Total 36 42 (24.4%)

(75.6%) 172 46

(18.6%)

(81.4%) 247

Source: SJSRP M&E with data from the High Risk First Instance Courts.

In FY 2017, the total number of cases that the Supreme Court assigned to high risk courts was only

36. This is 60% lower than the number from FY 2016, when 89 were cases sent to high risk courts.

The SJSRP’s technical team is currently carrying out a study on the distribution of cases between the high risk courts and tribunals, in order to determine the reasons for the difference in cases assigned to each one. The low number of cases in Court B this year is likely due to the complexity of cases that this court has been handling for the past two years, which involve a high number of suspects in positions of political power in Guatemala, including owners and representatives of important companies.

In the graphic above, the difference between the number of people imputed (172) and the number of people linked to a process (247) is because they are not necessarily from the same judicial processes.

(That is, the FY 2017 data of people linked to a process includes cases that were assigned to these courts in prior years.) However, the number of people imputed does correspond to the cases assigned to these courts in FY 2017.

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The resolutions in the five high risk first instance courts were as follows. The targets are not broken out by court given that it is impossible to predict the number of cases assigned to each court, as discussed above.

GRAPHIC 12: TRIAL READY ORDERS/SENTENCES PER FAST TRACK/

PROVISIONAL CLOSURES (SUB INDICATORS 8.a.3 AND 8.a.4)

High Risk First Instance Court

Target

FY2017

Achieved

FY2017

(8.a.4)

Women Processed

Men Processed

Total Persons Processed

(Sent to Trial) (8.a.3)

Court A - 30 18 62 80 Court B - 9 6 51 57 Court C - 32 98 108 206 Court D - 72 30 137 167 Court Quetzaltenango - 3 0 3 3

Total 66

(221.2% of target)

(29.6%)

(70.4%) 513

Source: SJSRP M&E with data from the High Risk First Instance Courts.

As shown in this graphic, the productivity of the high risk first instance courts increased significantly in FY 2017, in large part due to Court D, which was newly created this year following recommendations from the SJSRP in order to reduce the backlog of cases. In FY 2016, these courts issued 53 trial ready orders, representing an advance of 88% towards the goal. In comparison, in FY 2017 they issued 146 trial ready orders, which surpassed the target by 121%.

The number of people sent to trial also increased significantly this year. In FY 2016, 190 people were processed, while in FY 2017 this increased to 513. Another difference was in the gender of people processed: in FY 2016 it was 16.3% women and 83.7% men, while in FY 2017 the percent of women increased to 29.6% while men represented 70.4%.

8.b. High Risk Sentencing Courts:

The following table shows the workload assigned to these tribunals from October 2016 through September 2017:

GRAPHIC 13: HIGH RISK SENTENCING COURTS (8.b.1)

Tribunal Cases Assigned FY2017 % of Total Cases

Tribunal A 36 48.0% Tribunal B 23 30.7% Tribunal C 15 20.0% Tribunal D 1 1.3% Tribunal Quetzaltenango 0 0 Total 75 100% Source: SJSRP M&E with data from the High Risk Sentence Courts.

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The total of 75 cases is ten cases more than the last year. High Risk Tribunal D began functioning in the final quarter of FY 2017. The processes heard in these tribunals come from the High Risk First Instance Courts, but the distribution between the tribunals is assigned by the Supreme Court.

The below table shows the number of people processed in each of these tribunals:

GRAPHIC 14: # OF PERSONS PROCESSED IN HIGH RISK

SENTENCING COURTS in FY2017 High Risk Sentencing Tribunal

Women Men Total

Tribunal A 68 198 266

Tribunal B 40 116 156

Tribunal C 10 36 46

Tribunal D 1 0 1

Total 119 (25%)

(75%) 469

Source: SJSRP M&E with data from the High Risk Sentence Courts.

The following table shows the number of sentences achieved in FY 2017:

GRAPHIC 15: SENTENCES IN HIGH RISK SENTENCING TRIBUNALS

(SUB INDICATOR 8.b.3)

Target Not guilty sentences

Guilty sentences

Mixed sentences* Total

Tribunal A - 3 12 7 22 Tribunal B - 1 7 15 23 Tribunal C - 6 8 7 21 Tribunal D - 0 0 0 0 Tribunal Quetzaltenango - 0 0 0 0

Total 50 10 27 29

(132% of the target)

*Mixed sentences include both guilty and not guilty verdicts.

Source: M&E SJSRP with data from the High Risk Sentence Courts.

The total of 66 sentences is 20 more than in FY 2016, and surpasses the annual target by 32%.

A comparison of the types of sentences issued in FY 2016 and FY 2017 shows that there was an increase in mixed sentences, meaning that they had both acquittals and convictions:

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GRAPHIC 16: TYPE OF VERDICTS ISSUED IN HIGH RISK

SENTENCING COURTS

Type of Verdict FY2016 FY2017

Not Guilty Sentences 15% 5% Guilty Sentences 48% 20% Mixed Sentences 37% 75% Total number of sentences 48 66 Source: SJSRP M&E with data from the High Risk Sentencing Courts.

Of the 276 persons who received a sentence in FY2017 in the High Risk Courts, 79.0% (218) were condemned and 21.0% (58) were absolved. The below table disaggregates this data according to the gender of the persons sentenced:

GRAPHIC 17: HIGH RISK SENTENCING COURTS: # OF PERSONS CONVICTED (8.b.2)

Period Women Guilty

Men Guilty

Total Guilty

Women Not Guilty

Men Not Guilty

Total Not

Guilty Total Persons

Sentenced

Oct. – Dec. 2016 10 30 40 1 11 12 52 Jan. – Mar. 2017 5 50 55 1 19 20 75 Apr. – Jun. 2017 2 22 24 0 4 4 28 Jul. – Sept. 2017 8 91 99 2 20 22 121

Cumulative 25 (11.5%)

(88.5%) 218 4

(6.9%)

(93.1%) 58 276

Source: M&E SJSRP with data from the High Risk Sentencing Courts.

The total number of sentences (276) was lower than in FY 2016 (when there were 646 sentences issued). However, this does not necessarily imply lower productivity in the tribunals, as it is more related to the number of people that were sent for sentencing in the corresponding processes.

The below graphic demonstrates the type of sentence by gender:

Source: SJSRP M&E with data from the High Risk Sentencing Courts.

86%

14%

78%

22%

Women guilty Women not guilty

Men guilty Men not guilty

GRAPHIC 18: SENTENCES BY GENDER-

FY2017

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The data shows that this year a higher percentage of women were found guilty than men (86% compared to 78%). This is the reverse of what was reported in FY 2016, when 66% of women sentenced were found guilty, compared to 75% of men.

9. Percentage of decrease in the number of cases dismissed in 24 Hour Courts due to lack of evidence (lack of merits) for annual period (October - September)

This year’s data for Indicator 9 reflects that the Project surpassed its annual target in one of the seven 24 Hour Courts with defined targets. The remaining six courts experienced difficulties in achieving the target of reducing the number of cases dismissed due to lack of evidence presented by the National Civilian Police and the Public Ministry.

The following table shows the results of the seven 24 Hour Courts, of which four are located in the department of Guatemala and one each in Escuintla, Sacatepéquez (Antigua), and Quetzaltenango.

GRAPHIC 19. PERCENT OF CASES DISMISSED IN 24 HOUR COURTS

24 Hour Court % of

Cases Dismissed in FY2016

Target

FY2017

Total Cases

FY2017

Number of Cases

Dismissed in

FY2017

% of Cases Dismissed in

FY2017

Progress towards target

Torre de Tribunales 15.22% 11.86% 2,200 351 15.95% + 4.09

Gerona (Femicide) 2.61% 1.75% 4,121 143 3.47% + 1.72

Villa Nueva 6.11% 6.11% 2,065 167 8.09% + 1.98

Mixco 6.86% 6.86% 1,303 103 7.90% + 1.04

Escuintla 11.51% 7.15% 1,590 241 15.16% + 8.01

Antigua 15.93% 14.00% 1,806 234 12.96% - 1.04

Quetzaltenango 11.47% 10.50% 2,211 260 11.76% + 1.26

Source: Judicial Branch’s Center for Information and Judicial Statistics (CIDEJ), October 2017.

As shown above, only the 24 Hour Court in Antigua reduced the percentage of cases dismissed due to lack of merit beyond the established target, while the courts in Gerona (Femicide), Mixco, Villa Nueva and Quetzaltenango had dismissal rates slightly higher than the targets (1 to 2% higher). The court in Escuintla, which did not meet the target in FY 2016, had a dismissal rate 8% higher than the target, and the 24 Hour Court in the Torre de Tribunales also did not meet the target.

The SJSRP’s technical team considers that the increase in cases dismissed due to lack of merit cannot be blamed on the 24 hour court judges, but rather to the successive changes that have been seen in the prosecutor’s offices and the PNC, entities which should coordinate to ensure the presentation of evidence to support the detention of the accused persons.

During this period SJSRP support has focused on implementation of the second phase of Decree 7- 2011 regarding misdemeanor crimes in the courts of Villa Nueva, Escuintla, Sacatepéquez and

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Quetzaltenango. In addition, the Project provided technical support to the 24 Hour Courts in strengthening the Permanent Model for Criminal Justice.

Achievements as a result of SJSRP support and accompaniment include an increase in the number of judges assigned to these courts to handle initial hearings, which improves compliance with constitutional guarantees. The SJSRP also supported a cooperation agreement between the Mixco transit police and the PNC so that the blood alcohol tests can be carried out in the court, to avoid loss of evidence. The coordination meetings supported by the SJSRP in all of the 24 Hour Courts have allowed justice sector staff to identify challenges and propose solutions to improve the functioning of these court bodies.

10. Number of USG-assisted courts with improved case management systems. “F” (cumulative)

The SJSRP provided support to a total of 154 courts, which exceeds the FY 2017 target (120 courts) by 28.3%.