IRAQ GOVERNANCE AND PERFORMANCE ACCOUNTABILITY …
Transcript of IRAQ GOVERNANCE AND PERFORMANCE ACCOUNTABILITY …
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IRAQ GOVERNANCE AND
PERFORMANCE
ACCOUNTABILITY
(IGPA/TAKAMUL) PROJECT
REVISED WORK PLAN FOR YEAR TWO (JULY 2018-JUNE 2019)
NOVEMBER 2018
This publication was produced for review by the United States Agency for
International Development. It was prepared by DAI.
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IRAQ GOVERNANCE AND
PERFORMANCE
ACCOUNTABILITY
(IGPA/TAKAMUL) PROJECT REVISED WORK PLAN FOR YEAR TWO (JULY 2018-JUNE
2019)
Program Title: Iraq Governance and Performance Accountability
(IGPA/Takamul) Project
Sponsoring USAID Office: USAID Iraq
Contract Number: AID-267-H-17-00001
Contractor: DAI Global LLC
Date of Publication: November 2018
Author: IGPA/Takamul Project Team
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Contents
Contents i
Acronyms iii
PROJECT OVERVIEW 1
IGPA/TAKAMUL STRATEGIC APPROACH 2
TECHNICAL PROGRAM OBJECTIVES AND RESULTS 8
Assistance Packages 8
Special Assistance Packages 10
Objective 1 - Service Delivery 12
Objective 2 - Provincial and National Government Public Financial Management 13
Objective 3 - Service Delivery and Public Expenditure Monitoring and Oversight 14
Objective 4 - Iraqi Change Agent Support 14
PRINCIPLES GUIDING PROGRAMMING 15
WORK PLAN ACTIVITIES AND OUTCOMES 17
Objective 1: Enhance Government of Iraq (GOI) Service Delivery Capacity 17
RESULT 1.1 - Improve service delivery outcomes in sectors with potential for high impact and
visibility. 17
RESULT 1.2 - Strengthen the strategic approach and capacity of the Federal Line ministries and
provincial directorates to better align service delivery outcomes with the priorities of provincial
governments and local populations. 22
RESULT 1.3 - Enhance regulatory and procedural certainty to attract private sector investment. 24
RESULT 1.4 - Enhance the targeting of capital investment spending in service delivery sectors that
serve vulnerable and disadvantaged populations. 26
Objective 2 - Provincial and National Government Public Financial Management 26
RESULT 2.1 - Strengthen capacities of provincial offices and support their conversion into fully
operational financial management offices. 26
RESULT 2.2 - Support the development of federal oversight mechanisms, such as financial audit
procedures, of provincial finances. 29
RESULT 2.3 - Enhance provincial revenue generation, collection, and management from outside
the oil sector. 31
RESULT 2.4 - Enhance budget-cycle planning, development and execution against decentralized
expenditure assignments. 32
Objective 3 - Service Delivery and Public Expenditure Monitoring and Oversight 35
RESULT 3.1 - Strengthen the capacity of selected provincial institutions to establish effective
citizen participation and outreach mechanisms. 35
RESULT 3.2 - Enhance public capability and willingness to participate in planning, monitoring, and
evaluating public services. 37
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Objective 4 - Iraqi Change Agent Support 39
RESULT 4.1 - Enhance Capacity of change agents. 39
RESULT 4.2 - Enhance Capacity of Women and Vulnerable Populations to Represent Their Needs
within Government Decision-Making Processes 40
Annex 1: Illustrative High-Impact Priority Projects (HIPP) 41
Annex 2: IGPA/Takamul Operational Context and Complexity Aware Monitoring: Year Two Work
Plan 43
Context and Challenges 43
Lack of Public Trust 44
Severe Intra-Group Rivalry 45
Unstable and Fluid Operational Context 45
Provincial Elections and Governance 46
Implementation Strategy 46
Foundational Assumptions and Hypothesis 46
Conflict Sensitivity and IGPA/Takamul Programming 47
Complexity- Aware Monitoring (CAM) 47
Annex 3: Work Plan Outcomes, Activities, and Timeline (non-KRI) 54
Annex 4: Work Plan Outcomes, Activities, and Timeline (KRI) 64
Annex 5: Assistance Package 1 – Baghdad Water Department 72
Annex 6: Assistance Package 2 – Basrah Water Department 84
Annex 7: Assistance Package 3 – KRG Water Supply Services 93
Annex 8: Assistance Package 4 – Support to Religious Minorities in Ninewa Plain (Concept Note)108
Draft: Assistance to the Religious Minorities in the Ninewa Plains 108
Current Situation of the Religious Minorities in the Ninewa Plains 109
Overall Strategic Approach 110
Ninewa Plains Assistance Package (NPAP) 112
Building the Capability of the District and sub-District Office: 113
Challenges and Risks 115
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Acronyms
AFAD Administrative Financial Affairs Directorate
AMEP Activity Monitoring and Evaluation Plan
AP Assistance Package
CCN Cooperating Country National
COMSEC Council of Ministers Secretariat
COP Chief of Party
CSO Civil Society Organization
DAI DAI Global LLC
DCOP Deputy Chief of Party
EY Ernst & Young
GO Governor’s Office
GOI Government of Iraq
GRB Gender Responsive Budgeting
GRI Gender Resources, Inc
HCCP Higher Coordinating Commission for Provinces
HCCPSEC HCCP Secretariat
HIPP High Impact Priority Project
IDP Internally Displaced Persons
IMF International Monetary Fund
KECC Kurdistan Electricity Control Center
KRG Kurdistan Regional Government
KRI Kurdistan Region of Iraq
M&E Monitoring and Evaluation
MEL Monitoring, Evaluation, and Learning
MoF Ministry of Finance
MoO Ministry of Oil
MoP Ministry of Planning
NGO Nongovernmental Organization
NLT Newly Liberated Territories
OSC Overseas Strategic Consulting
PC Provincial Council
PCC Provincial Council Chair
PEA Political Economy Analysis
PFM Public Financial Management
PG Provincial Government
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PMO Prime Minister’s Office
PMU Program Management Unit
PPDC Provincial Planning Development Council
PWED Provincial Women’s Empowerment Department
SWM Solid Waste Management
USAID United States Agency for International Development
USG United States Government
WTP Water Treatment Plant
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PROJECT OVERVIEW
The Iraq Governance and Performance Accountability (IGPA/Takamul) project is a five-year
initiative, organized as a two-year base period from June 2017 to July 2019 followed by three
additional option years. This work plan is for the second year of the contract.1
IGPA/Takamul grew out of war and the perceived causes for the early, rapid successes of
Da’esh. Principle among these causes was the inability of the Government of Iraq (GOI) to provide
services on an equitable basis, leaving large parts of Iraqi society with a sense that they were
disenfranchised and not full participants in the political system. The connection between services
and politics continued during the May 2018 parliamentary elections, when service delivery was
perhaps the single most important campaign theme for all parties. It continues today in the
demonstrations which reflect a general sense of disappointment in the aftermath of the election and
the widespread view that the Iraqi Government, without significant outside help, will continue to fail
in service delivery.
The IGPA/Takamul project is designed to focus on assisting the Iraqi Government in providing
services2 on a provincial basis3 which reflects the ethnic and sectarian diversity of the country and
takes into consideration the needs of vulnerable populations which previous governments have
neglected. To be successful, it is necessary to recognize that there is great disparity in the needs of
the different regions of Iraq. The Iraq of the newly liberated areas requires not only assistance in
providing services, but in establishing a new provincial government. The Iraq of Basrah requires help
in overcoming endemic corruption which has led to a lack of drinking water and waste strewn
across its streets. Baghdad must contend with rapid population growth and a complicated
governmental structure that makes overlap in services almost inevitable. The KRG faces overall
problems caused by its financial crisis in maintaining a relatively high level of services.
These illustrative factors suggest that IGPA/Takamul must work on several different levels. In the
newly liberated areas, it must work institutionally to help stand up a new government and maintain
its focus on services. In other areas, it must work within existing structures to create greater
efficiencies in the use of existing assets. In all provinces, IGPA/Takamul must not only improve but
help to find new sources of revenue that could be used to create or expand services and provide
technical expertise on developing collecting mechanisms. And lastly, at the federal level, the project
must keep a finger on the pulse of the political situation, on decentralization, and on laws which are
being considered or are passed that affect service delivery. Additionally, IGPA/Takamul must work
to ensure that whatever gains it achieves at the provincial level can be sustained for the long
term. Hence, it must be prepared to train in all areas which affect provincial finances including
budgets, the payment of salaries, planning, evaluation, and the collecting of fees and revenues. As
equally critical, it must engage civil society to provide a conduit between a government which
traditionally paid little attention to citizen demands and its constituents. Finally, it must be able to
identify individuals and institutions which will push for the transformation of the existing system.
1 IGPA/Takamul’s initial Work Plan was approved by USAID in April 2018 and covered Year 1 and Year 2. This
Work Plan supersedes Year 2 of that document. 2 “Services” are not defined in the IGPA contract; however, the top three priority public services have been
identified by IGPA as water, solid waste and electricity. USAID has approved these as the focus for Year 2. 3 IGPA/Takamul will focus on 6 provinces: Anbar, Bail, Baghdad, Basrah Erbil and Ninewa.
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IGPA/Takamul will not, by itself, change the fundamental political equation in Iraq. It is too small to
do that. It, however, can provide examples of what will work, and these examples could become, if
they can be sustained, influential on Iraq’s political system. For that reason, it is essential that the
program possess a strong Political Economy and Complexity Aware Monitoring, Communications,
and M&E strategy designed to analyze and inform the program about the ever-changing Iraqi politics
and the seesaw of GOI’s governance policies, which are influenced by political calculations, and
broadcast project successes and best practices that IGPA/Takamul has introduced through its work.
To realize these goals, IGPA/Takamul is providing technical assistance to Iraqi-led reform initiatives
that will integrate governance functions within the provinces, promote cooperation between the
central and provincial governments, and integrate civil society into this process to ensure
accountability, transparency, and citizen buy-in.
IGPA/TAKAMUL STRATEGIC APPROACH
IGPA/Takamul recognizes that GOI spending priorities have a significant political dimension and that
scarce financial resources mean that government spending on services such as water, electricity and
solid waste management (SWM) must compete with other government priorities. For example, the
table below illustrates just how small is the amount allocated to water services in the Draft 2019
Budget.
Iraq’s 2019 Draft Budget Law: Main Sector Components
Billion IQD
Energy, of which:
Oil & Gas (19,572)
Ministry of Electricity (10,733)
30,306
Security & Defense 22,586
Social Services 17,422
Federal & Local Administrations 16,533
Education 10,947
Health 5,732
Housing & Construction 2,436
Agriculture 1,506
Industry 1,314
Culture 1,177
Transportation 751
Water 493
Source: Ministry of Finance; Iraq Energy Institute reporting (29 October 2018)
The project must demonstrate its understanding of this reality by building on Year 1 efforts to devise
a Year 2 and beyond program of interventions that continue the development of capacity, processes
and tools to assist the GOI to recognize the need to make the provision of essential services such
as water a higher priority and then working with government institutions at every level to deliver
these services. In particular, IGPA/Takamul must take the lead by identifying then supporting the key
actors, understanding and adapting its approach to account for their interrelationships and
interactions, and then devising interventions and technical assistance that ultimately ensures their
capacity to deliver essential services in a sustainable manner.
Relevance & Impact of Dual-Track Interventions (Political & Budget Cycles)
In Year 1, IGPA/Takamul employed a dual-track approach that was closely aligned with the political
cycles (elections) for “quick wins” that allowed for immediate engagement with newly-elected
officials (which then also established trust based on tangible high-priority successes) and then these
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discrete activities were ultimately tied to the budgetary cycles which are inherently annual “events”
requiring long-term planning and support.
While this approach succeeded, the challenge is that in practice, elections have not strictly adhered
to a predictable calendar, whereas the Iraqi Fiscal Year is locked in place by the Budget Law and
implementing regulations. For example, the national elections of May 2018 were not confirmed to be
held until January 2018. In addition, the national elections were still subjected to political fluctuation
with the IHEC lacking proper preparations, especially for the newly liberated areas, so politically the
national elections were not confirmed until May 2018. In addition to the national elections, the
provincial elections, which were scheduled to be held concurrent with the national elections of
2018, were first postponed until December 22, 2019, then April 2019, and now IHEC has announced
that these elections will be held by the end of 2019.
In Year 1, IGPA/Takamul has refined the process of identifying HIPPs which will continue into Year
2. The project now has well-established relationships with the key decision-makers and change
agents along the critical path for services delivery, from the “top” (Federal Deputy Prime Minister,
line Ministries) to the “bottom” (utilities and consumers).
In addition, IGPA/Takamul continuously receives requests from provincial and Federal authorities for
assistance (financial and technical) since decentralization is a new concept in Iraq. The requests come
through local governments via IGPA/Takamul embedded offices, meetings with HCCP chairman and
staff, Ministries representatives and others. These requests are then discussed internally with the
COP/DCOP to validate against the project’s contract and approved focus areas; once validated,
detailed SOWs and timetables are agreed with the sponsor (change agent) and implementation
commences.
The relevance of the IGPA/Takamul dual-track approach is the feedback loop. While the HIPPs will
potentially produce high-impact, high-visibility results, their impact may only be fleeting if the
underlying systemic issues are not identified and rectified. Objective 1 will work to improve service
delivery, primarily through the development and implementation of Assistance Packages (AP) for
individual utilities. Objective 2 will work to address budget inequalities (gender, minorities,
geographic scope) along the entirety of the PFM cycle. Objective 3 will inform the citizens and give
them voice, working both within the institutional framework (Citizen Advisory Boards) as well as
outside directly with consumers (CSO). Objective 4 will identify change agents and provide them
training and support to succeed in making service delivery sustainable.
In Year 2, IGPA/Takamul will devote special attention to the Newly Liberated Territories (NLT),
starting with a proposed Special Assistance Package to Support the Religious Minorities in Ninewa
(see Annex 8). At present, there is a significant budgetary gap, which is to be expected because the
budget cycle typically lags 15-18 months behind the political cycle. The table below illustrates how
small the budget allocations are for the newly liberated areas. For example, while Ninewa constitutes
10.6% of the Iraqi population, Ninewa’s proposed budget is 12% of Dhi Qar and Babil’s budget, 40%
of Muthanna’s budget, and 16% of Diyala’s budget. IGPA/Takamul will systematically develop and
implement Special Assistance Packages to improve service delivery to underserved populations.
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Iraq’s 2019 Draft Budget Law: Allocation by Province & Population
Source: IGPA/Takamul analysis based on: COR special session convened on November 6,8, and 12, 2018 as reported via
open sources.
Assistance Packages are the “Center of Gravity” in Year Two
The majority of APs in Year 2 will be designed to support the enterprises that provide essential
services such as water and electricity (in KRG) and water and SWM (in all other regions). For ease
of understanding, this work plan refers to these providers as “utilities,” although in fact, they are
more formally known as Directorates, Departments or State-Owned Enterprises (SOE).
IGPA/Takamul also proposes “Special Assistance Packages” that target and address the special
challenges faced by women, youth, marginalized or otherwise vulnerable populations, particularly in
underserved areas, such as the Newly Liberated Territories (NLT). Prospective Special APs will
initially be identified through the PEA process, then defined in the form of a “Concept Note” (see
Annex). Once approved by USAID, the process will continue to develop an AP.
In either case, APs are integrated responses drawn from the extensive menu of tools, capabilities
and approaches already operating within the four IGPA/Takamul objectives. Assessments of
problems will be conducted rapidly by IGPA staff rather than contracted out. Support will be
provided by Objective Leads, Regional Offices, and Sector Experts who will participate fully in the
implementation of each AP. Ideally, each AP will establish an office within the sponsoring institution
and employ an on-site Iraqi project manager (who will be the IGPA/Takamul provincial coordinator)
to ensure seamless support, respond to bottlenecks as they arise, identify new gaps or requirements
and ultimately be responsible for delivering results.
Each AP will contain clear and measurable performance targets and feedback loops. The on-site
project manager will have the primary responsibility for timely performance and reporting.
The initial APs developed as of November 2018 are attached as Annexes to this work plan. The
process of developing APs is ongoing, and each AP will be implemented on the basis similar stand-
alone documents, once approved by USAID. The IGPA/Takamul contract calls for each AP to be
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accompanied by a Memorandum of Understanding (MOU); it has been recommended that these
MOUs be formally signed between IGPA/Takamul and the sponsoring Iraqi institution.
The methodology of the APs is discussed in the next section.
Top-Down/Bottom-Up Approach
IGPA/Takamul’s strategy is governed by what can best be described as a ‘top-down’ approach that
focuses on central government functions such as the development of national laws, national
development strategies, budget, revenue, expenditure combined with a ‘bottom-up’ approach that
focuses on provincial and local government functions such as service delivery, citizen engagement,
monitoring and evaluation of service delivery, planning, revenue mobilization, procurement, budget
formulation and execution.
Both approaches are intended to deal not only with the current budgetary crisis in which Iraq,
largely because of the drop of oil prices and the need to fend off Da’esh, has not disbursed its capital
investment budget for the past several years to improve services, but with a possible future scenario
in which more financial resources become available. Given the recent rise in oil prices and the end of
large-scale fighting against Da’esh, this possibility has become more real. A good example of the
preparation IGPA/Takamul is providing occurs with the Administrative and Financial Affairs
Directorates (AFADs). There, IGPA/Takamul is training not only to assist the AFADs to better
undertake their current responsibilities, largely the payment of salaries to decentralized ministry
staff, but to take on the role of a real “mini” Finance Ministry through trainings in budget planning,
preparation, and execution.
This strategic approach is detailed as follows:
The top-down approach determines if there is enough money in a budget to meet the service
delivery and development priorities of a community or stakeholder. It is at this point that the
government (national and/or subnational) relies on the development of fiscal policy objectives and a
set of integrated macroeconomic and fiscal targets and projections. This informs the budget process
wherein budget ceilings are set for individual spending entities. The objective is to allocate
resources to strategic priorities and ensure that these allocations are consistent with overall fiscal
objectives. This gives some degree of predictability to spending agencies, while ensuring overall fiscal
discipline. The IGPA/Takamul project also works with other entities that are part of the top-down
approach and that are unique to Iraq. The High Commission for Coordinating Among Provinces
(HCCP) plays a pivotal role in the determination of resource allocations and strategic priorities,
laws, and other structural reforms that impact provinces. This top-down approach when combined
with the bottom-up approach is an effective way to align planning and budgeting, particularly if all
stakeholders have the capacity to understand their roles and responsibilities in advocating for or
preparing the budget.
The bottom-up approach describes the process that line ministries, provincial governments, and
other agencies use to address planning, budgeting, prioritizing, and delivering essential services. As
noted, the Ministry of Finance will estimate budget ceilings, provide guidance, and templates for
budgeting, and will manage the process, but the line ministries, provincial governments, and other
agencies develop their own programs. In terms of the bottom-up approach, decentralization
presents requirements whereby provincial and local governments engage in the planning, budget
formulation and execution process in a similar fashion to line ministries or other government
agencies. Tight coordination between the Ministry of Finance, the line ministries, and regional and
local governments provides the structure to smooth out the process and improve the accuracy and
dependability of government programs to deliver essential services.
IGPA/Takamul also works with Civil Society Organizations (CSO) to provide input from citizens that
informs both the top-down and bottom-up approaches. CSOs play an oversight and monitoring role
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to ensure transparency and accountability and provide training to provincial entities so that they can
handle financial matters competently and in a timely manner.
IGPA/Takamul is aware of the priorities stated by USAID on September 6 which include addressing
the water crisis in Basrah, gender mainstreaming, engagement with the private sector, helping
vulnerable populations in the Ninewa Plains, and support for elections. This work plan incorporates
these priorities in a number of ways. For example, water is featured prominently throughout this
work plan. IGPA/Takamul proposes to establish a water program management unit which will both
manage the project’s own activities and help coordinate IGPA/Takamul and other donors’ activities
with the Basrah Provincial Government. On gender, the project proposes to provide support to
women candidates elected in the recent round of elections, by providing them with training that
focuses on the role of governance and civil engagement in the delivery of essential services (this may
warrant CLIN5 consideration). Under Objectives 1 and 2, IGPA/Takamul has been working to
improve the GOI’s procurement processes. This work has enabled small and medium enterprises to
participate more fully in the government contracting process (which constitutes a significant portion
of available work in Iraq) and will continue. The project will look for further ways of removing
remaining obstacles to private sector participation in improving service delivery; in particular, the
private sector already plays a bigger role in utility service in the KRI, with good improvement in
scope and quality, so this may serve as an approach that can be replicated in other provinces).
Several conferences have been planned on a provincial level to attract private investors and the
project will work to help pass and implement laws on private-public partnerships and local revenue
generation. In the Ninewa Plains, IGPA/Takamul is in the process of establishing an office in Mosul.
The project is proposing to conduct a survey of the effects of inequitable service delivery upon
vulnerable populations to better help guide future GOI decisions about the allocation of resources.
On Elections, IGPA/Takamul stands ready to build on its experiences providing support to the May
Parliamentary Elections to work on the Provincial Council Elections. The exact nature of this
assistance will depend on the timing of the elections and USAID technical guidance.
The following graphic depicts the key actors and processes involved in this approach:
GOI’s Service Delivery Structure
Revenue mobilization
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Provincial Government Service Delivery Structure
Kurdistan Region of Iraq (KRI) & Kurdistan Regional Government (KRG)
The Iraqi Constitution bestows unique legal and administrative powers upon the Kurdistan Region of
Iraq (KRI) and the Kurdistan Regional Government (KRG). In practice, this means that most of the
political and budgetary processes described above are not fully relevant to the delivery of essential
services in the KRG.
In Year 1, IGPA/Takamul established a satellite office in Erbil in order to work more closely with the
stakeholders and beneficiaries in the KRG. The initial PEA and stakeholder meetings resulted in
numerous meaningful HIPP interventions and also longer-term training and support. This continues
in Year 2, and has also produced the AP for water (and electricity soon to come).
The work plan identifies specific tasks for KRI, in the Activities & Outcomes section, below.
Governor's Office
PPDC
Planning Project
Priorities
AFAD
Allocation of
Resources
PED
Performance
Evaluation
Provincial Council
PC Committees
Legislation Monitoring and
Supervision
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TECHNICAL PROGRAM OBJECTIVES AND
RESULTS
In Year 1, IGPA/Takamul responded to HIPP opportunities as they arose (described as
“Workstream 1,” linked operationally to the Iraqi political cycle) and has also rapidly begun
addressing a plethora of systemic issues to provide longer-term strategic momentum by standing up
numerous new institutions, streamlining many business processes and building professionalism
throughout the entire PFM value chain (described as “Workstream 2,” linked to budget cycle).4
IGPA/Takamul will continue with these two Workstreams, which have been implemented largely as
separate Objectives, but beginning in the second half of Year 2, the project will turn its primary
focus to directly support utilities and related providers of essential services, in the form of
Assistance Packages (AP). Each AP will draw upon resources and know-how from the four
objectives, however, the center of gravity will now be enterprises directly providing essential
services, in partnership with a primary change agent who will “sponsor” our work and reap the
rewards of tangible high-impact improvements to service delivery. In addition, IGPA/Takamul will
also implement Special Assistance Packages, to improve the delivery of services to underserved
populations and geographic areas.
ASSISTANCE PACKAGES
Following the approval received from USAID and building upon the foundational work (PEAs) and
the robust professional relationships developed through the objectives’ activities to date, the initial
round of Assistance Packages (AP) will be:
• Water and electric utilities in the KRG, and
• Water and solid waste utilities in the other five provinces (within agreed scope of
IGPA/Takamul).
For each, the AP will address these internationally recognized areas of utility management:
• Technical: For example, does the utility have the equipment necessary to monitor its
inputs and outputs (this could include meters measuring dirty water entering and clean
water leaving the Water Treatment Plant [WTP])?
• Administrative & Human Resources: For example, do all personnel have clear job
descriptions, potentially including incentives tied to improved service delivery?
• Financial: For example, does the utility have adequate financial controls and accurate data
to prepare budgets that will be persuasive to political decision-makers?
• Customer Service: For example, does the utility offer effective channels of
communication, including complaints, reporting of outages and community outreach?
• Service Demand Management: For example, incentives for conservation.
4 Year 1 accomplishments are described in the IGPA/Takamul Annual Report (1 Oct 2017 – 30 Sep 2018).
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Since each Assistance Package will be
customized to fill the performance gaps at a
specific utility, the specific results at each one
will also be slightly different, but each
Assistance Package will clearly articulate
desired outcomes, state its own timetable and
performance indicators, and in all cases,
improve service delivery outcomes for high
impact and visibility. As a contractual
requirement, IGPA/Takamul will facilitate a
Memorandum of Understanding (MOU)
between the appropriate GOI sponsoring
institution and IGPA/Takamul for each
Assistance Package.
The proposed AP activities are defined in line
with USAID’s development hypothesis with the
objective to improve essential public services,
and made sustainable by enhanced public
financial management, greater transparency of
operations and monitoring/oversight to
increase citizen’s trust in their government. To
do so, IGPA/Takamul applies a Problem-Driven
Iterative Adaptation (PDIA) approach while
designing and implementing activities as stated
in the project’s overall SOW:
• Activities are tailored to the specific
and urgent needs of each utility,
identified and prioritized closest to
where the services are actually
delivered;
• Implementation is flexible, and targets
specific areas selected with well-
defined criteria related to population
density, gender and social inclusion;
• Activities are designed taking into
consideration lessons learned in Year 1
and utilizing all applicable tools
developed with the project’s support;
and
• Engagement of and coordination with
local actors (provincial and local
authorities, Civil Society Organizations
(CSOs), Social Accountability Groups (SAGs), other international agencies, etc.) is key to
ensure sustainability.
1. Review Political Economic Analysis (PEA) 2. Provincial Coordinator will arrange meeting
with provincial Utility (Water, SWM, Electricity, etc.)
3. Team for meeting consists of a Utility expert and representatives from each Objective (as inclusive as feasible)
4. Identify chain of command from the top decision-maker(s) to the lower person who makes things happen
5. Identify key champion in that Utility who can be the primary contact to push the change (change agent); avoid announcing him/her publicly; provide extra attention to that person; engage him/her in more trainings, etc. (Stronger emphasis from Objective 4)
6. Map stakeholders – collect this data at meeting, share with the IGPA team
7. Gather needs – carefully document all needs – do not limit them from citing needs, even if outside of scope of IGPA
8. Brainstorm and do gap analysis; make sure needs of vulnerable population has been collected
9. Prioritize and categorize the needs and put them into the AP framework.
10. Identify those stated requirements that match what IGPA can provide and distribute those among all four Objectives plus E&I
11. Take a clear note to identify the needs that IGPA cannot directly provide; IGPA can help Utility to advocate for funding or technical assistance from other sources, including GOI, donors or private sector (PPP)
12. Once AP is prepared, prepare budget; identify potential donors for needs that are outside of IGPA scope
13. Go back to the Utility to validate the AP and propose a Letter of Acceptance or Memorandum of Understanding (MOU)
14. Prepare a baseline of the relevant indicators for this Utility
15. Define how your success would look like 16. Identify AP project manager and orient
him/her on the timeline, start date and end date
17. Apply IGPA solutions (based on steps 8,9 and 10)
18. Provide periodic reports to IGPA and USAID, as required
19. Close the AP and report how you succeeded in achieving outcomes and impact
ASSISTANCE PACKAGE IMPLEMENTATION WORKFLOW
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The PDIA approach proved to be well adapted to the current situation in different provinces in Iraq.
For instance, during the protests and violence in Basrah in September 2018, IGPA/Takamul worked
closely with the Basrah AFAD to ensure that around 78,000 government employee salaries were
paid on time despite ongoing demonstrations and the burning down of government buildings (and
loss of paper files).
Discussions with utility senior managers to date have revealed that the resources and capabilities
that currently comprise IGPA/Takamul’s Objectives are appealing and can be used as an a la carte
menu to gain rapid traction and collaboration. These are some examples:
• Objective 1: Develop standard procedures for the operation and maintenance (O&M) of
water treatment plants and build staff capacity to implement these procedures
• Objective 2: Conduct a cost recovery analysis of water supply services; provide guidance to
improve budget preparations
• Objective 3: Develop and implement a short-term campaign to increase customers’
awareness and reduce water consumption, monitor water quality at the household level, pay
their water bills and reduce illegal use of potable water
• Objective 4: Each AP will have a “sponsor” who will also act as the primary change agent –
not just within the targeted utility, but eventually as a “mentor” to subsequent utilities.
IGPA/Takamul will support and institutionalize this with training modules and cross-utility
workshops
Each AP will clearly articulate these core elements (see first three in Annex):
• Customized SOW, developed by IGPA/Takamul experts (typically STTA), explicitly approved
by the utility’s senior leadership and IGPA/Takamul (and memorialized by MOU)
• Deliverables
• Results and indicators
• Timeframe (Gantt chart)
SPECIAL ASSISTANCE PACKAGES
Economic, political, and institutional development has historically been highly centralized in Iraq,
resulting in very uneven distribution or access to services, which is reflected today in numerous
societal schisms and readily-observed disparities in the provision of, and access to, essential services
(including water, SWM and electricity). Special Assistance Packages will be implemented to support
“remedial actions” that will accelerate service provision to vulnerable populations and politically-
sensitive geographic areas.
During Year 1, IGPA/Takamul conducted PEAs, organized stakeholder conferences and initiated the
broadest possible public outreach to identify and begin to quantify the primary service gaps.
IGPA/Takamul has also begun to establish both permanent and mobile project offices in historically
underserved areas, including Basrah and Erbil. In the Ninewa Plains, IGPA/Takamul is in the process
of establishing an office in Mosul.
11
Each Special Assistance Package will be customized to fill the performance gaps at a specific
institution, and while the specific results at institution will also be slightly different, each Special
Assistance Package will clearly articulate desired outcomes, state its own timetable and performance
indicators, and in all cases, improve service delivery outcomes for high impact and visibility.
The proposed initial Special APs will be:
• Ninewa Plains (see Concept Note in Annex 8)
• Other NLTs (Anbar)
• KRI
Additional Special APs are also anticipated in order to address systemic deficiencies that are needed
to ensure long-term sustainability of the HIPPs that have been successfully implemented or begun in
Year 1, including for example:
• Women: IGPA/Takamul support to the Governor of Erbil resulted in the first PWED in the
KRG as a quick win. The project then prepared the organizational structure and has
provided institutional and personnel capacity to ensure that the new department’s services
are designed for and reach women and girls in the province. In Year 2, IGPA/Takamul will
further assist the PWED to adopt water and electricity services as priorities for its activities,
including logical links with the APs to utilities as these are rolled out.
• Youth: IGPA/Takamul established Youth Accountability Groups (YAG) in Basrah, as an
integral part of the Social Accountability Group (SAG) methodology that helps citizens
understand the impact they can have directly to improve the delivery of essential services.
IGPA/Takamul provided technical support to the YAGs, providing training on topics such as
coalition and network building, survey design and door-to-door assessments, and data
collection. The project also helped organized YAG trash collection events in Basrah, which
were highly-visible quick wins that built community cohesion and pride. In Year 2,
IGPA/Takamul will expand training and activities that are on the critical path towards
enhanced public capability and willingness to participate in planning, monitoring and
evaluating essential services (potentially even CABs) and will provide linkages with the utility
APs in Basrah and elsewhere.
• Vulnerable Populations: IGPA/Takamul has worked closely with vulnerable populations,
engaging them in civil society oversight and accountability interventions. Such interventions
were infused in certain activities, such as the development of oversight mechanisms for key
service delivery targets by SAGs. The interventions also increase the ability of selected
CSOs to perform oversight effectively. The SAGs, for instance, gained the attention of the
governments and citizens as vulnerable populations started to monitor service delivery in
key areas that allowed them to advocate for consideration of vulnerable populations in
service delivery. In Year 2, IGPA/Takamul will identify an initial CSO to develop closer
linkages with utility APs to eliminate barriers to essential services to VPs and IDPs.
Special attention will be given to the needs of population segments such as Shabak, Yazidis, Turkmen,
Christians, widows and single parent households, people with disabilities, Sunnis in Shia-majority
areas, and Shia in Sunni-majority areas. As fighting continues to root out Da’esh, IDPs—a
disproportionate number of whom are women—have become the greatest marginalized population
12
group in Iraq. With the huge influx of IDPs, IGPA/Takamul will also work with GOI institutions and
CSOs to integrate IDPs across objectives. Drawing on VPEIs, IGPA/Takamul will promote vulnerable
populations’ participation in existing and institutionalized oversight structures, such as governorate
and local -councils, rather than create parallel, ad hoc structures. Through the Project Activities
Fund, IGPA/Takamul will support groups representing vulnerable populations to monitor services
and budget allocations.
Year 2 will also continue to capitalize on HIPPs and bolster the longer-term improvements to
systemic weaknesses through the four interconnected objectives established in Year 1:
OBJECTIVE 1 - SERVICE DELIVERY
Under this objective, IGPA/Takamul focuses on strengthening the ‘bottom-up’ functions that directly
impact on the delivery of essential services. Specifically, IGPA/Takamul works to develop key
organizations that have been identified as integral to the overall system for delivering services.
IGPA/Takamul defines success in this objective as follows:
● Relevant Iraqi institutions at the national level, particularly the High Commission for
Coordinating Among Provinces (HCCP) and at the local level, particularly the Governors Offices
(GO), the Provincial Planning and Development Council (PPDC), the Performance Evaluation
Department (PED), are organized functionally and have the capacity to fulfill their respective
roles in the process of delivering essential, decentralized services in a sustainable manner.
Provincial Councils (PC) are functionally organized to address all aspects of service delivery.
(1.1.2, 1.2.2, 1.2.3)5
● The processes required to ensure delivery of essential services are planned in accordance with
Iraqi priorities and are addressed in APs and linked with national sustainable development plans,
capital investment plans, medium term fiscal plans, and service delivery objectives. (1.1.1, 1.1.5,
1.2.4)
● Sectoral development plans are institutionalized as part of the planning process at all levels. The
plans are developed in a coordinated approach between the Iraqi government (both nationally
and provincially), the CSOs/Social Accountability Groups (SAGs), and the private sector. (1.1.3)
● Laws, regulations, and by-laws are in place that support the decentralized organizations,
activities, policies, and procedures related to the delivery of services. These include the
regulatory authorities required to support the efficient delivery of services; the development of
budgets; the execution of budgets; procurement of goods and services; the mobilization of
domestic revenues; and the monitoring and evaluation of related activities and outcomes. (1.1.4,
1.3.1)
● Civil Society maintains functional engagement with both the national and provincial governments
to promote public and democratic discussion of laws and to hold the national government
accountable for improvements in service delivery. (1.3.1)
● New revenue sources for services are found and implemented with a focus on water, electricity,
and solid waste management in line with GOI stated priority areas. The project may expand its
focus to other areas including public health, education, or other public services. (1.1.1, 1.1.2)
● The private sector is enabled and investing in opportunities related to the delivery of essential
services. A Public Private Participation (PPP) process and framework is in place and operating,
building the capability for effective privatization. (1.3.2)
5 These numbers correspond to the work plan activities, in the next section.
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Specific Results
1.1 Improve service delivery outcomes in utility sectors with potential for high impact and visibility
(water, SWM, electricity).
1.2 Strengthen the strategic approach and capacity of the ministries and provincial directorates to
better align service delivery outcomes with the priorities of provincial governments and local
populations.
1.3 Enhance regulatory and procedural certainty to attract private sector investment.
1.4 Enhance the targeting of capital investment spending in service delivery sectors that serve
vulnerable and disadvantaged populations.
OBJECTIVE 2 - PROVINCIAL AND NATIONAL GOVERNMENT
PUBLIC FINANCIAL MANAGEMENT
IGPA/Takamul work under objective 2 will be the foundation for its ‘top-down’ approach to
strengthen the institutions within the national and provincial government that perform the essential
public financial management functions that in turn ultimately directly impact on the delivery of
essential services to Iraqi citizens. These higher-level activities are key to the economic stability of
Iraq and its financial capability to support the national and local budgets. IGPA/Takamul will support
the programs that the World Bank (WB) and International Monetary Fund (IMF) are implementing in
their efforts to help the GOI meet requirements to access international financing and address Iraqi
fiscal challenges. Areas of support include public financial management, local revenue generation,
economic development, business enabling environment, and other economic reforms. IGPA/Takamul
defines success under this objective as follows:
● The Ministry of Finance, the Ministry of Planning, and the AFADs are functionally organized and
producing medium term (3-5 year) sustainable development plans that are supported by
evidence-based revenue and expenditure forecasts; multiyear budgets that are performance
based; enhanced revenue mobilization for local governments that include allocations from the
national budget and locally sourced revenue; and financial reporting. (2.4.6 to 2.4.8)
● A system for both financial and performance audits is in place that is in line with the
requirements of the Board of Supreme Audit (BSA) and that is also addressed through internal
audit within the Administrative and Financial Affairs Directorate (AFAD) and the Performance
Evaluation Department (PED). (2.1.10, 2.2.5 for internal audit) For PED please see Objective 1
● Performance-based outcomes for budgets are aligned with the needs of the Iraqi citizens and
focused on tangible, sustainable delivery of essential services. (2.4.6 to 2.4.12)
● Funding allocations are made in a timely fashion and aligned with the budget requirements for
essential service delivery.
● A system for a Treasury Single Account (TSA) is in place that allows for the collection of
national revenue to be separated from the collection of local revenues. Bank accounts for local
governments are in place and functioning. (2.2.4)
● Local revenues are mobilized and administered in accordance with international standards for
tax administration. (2.3.2, 2.3.5, 2.3.7)
Specific Results
2.1 Strengthen capacities of provincial AFADs and support their conversion into fully operational
financial management offices.
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2.2 Support the development of federal oversight mechanisms, such as financial audit procedures, of
provincial finances.
2.3 Enhance provincial revenue generation, collection and management from outside the oil sector.
2.4 Enhance budget-cycle planning, development and execution against decentralized expenditure
assignments.
OBJECTIVE 3 - SERVICE DELIVERY AND PUBLIC EXPENDITURE
MONITORING AND OVERSIGHT
Under this objective, IGPA/Takamul works with government and civil society to develop strong
accountability frameworks to help the government respond effectively to its citizens’ needs. Areas of
support include public administration, communications, inclusive budget planning, and oversight
CSOs of service delivery and budget execution. IGPA/Takamul defines success under this objective
as follows:
● CSOs and SAGs are functionally organized and empowered to provide effective oversight of
decentralized service delivery. CSOs and SAGs are engaged in all aspects of the program. Their
role is institutionalized both in law and in practice. (3.1.1, 3.1.2, 3.1.3)
● They are fully engaged with Iraqi citizens and relevant Iraqi institutions and act as an effective
conduit through which messaging flows between citizens and the Government. (3.2.3, 3.2.2)
● Mechanisms are in place that ensure transparency and accountability in the processes related to
delivery of essential services. As part of their oversight role, they ensure that the government is
responsive to citizen priorities. (3.1.3, 3.2.2)
● CSOs and SAGs can identify the service priorities of citizens and are effective in ensuring these
priorities are taken into consideration as part of the planning and budgeting process. The
information from CSOs and SAGs influences service delivery decisions made by all levels of Iraqi
government. (3.1.1 ,3.1.2)
Specific Results
3.1 Strengthen the capacity of selected provincial institutions to establish effective citizen
participation and outreach mechanisms.
3.2 Enhance public capability and willingness to participate in planning, monitoring and evaluating
public services.
OBJECTIVE 4 - IRAQI CHANGE AGENT SUPPORT6
Change agents are Iraqi citizens at all political echelons who can bolster the provision of essential
services.
IGPA/Takamul works with Iraqi change agents, seizing windows of opportunity in Iraq’s shifting
political landscape to improve governance, through targeted, high-impact technical assistance. Areas
of support include provision of public financial management technical assistance to GOI, elections
monitoring and registration of internally displaced persons (IDPs) in the 2018 elections, and other
6 The IGPA Contract explicitly ties change agent support to the issuance of task orders, stating: “Should task
orders under Objective 4 be activated, IGPA will support Iraqi change agents through supplemental technical
assistance and sub-awards across Objectives 1–3.”
15
targeted assistance as strategic opportunities arise. Under this objective IGPA/Takamul defines
success as follows:
● Women, youth and vulnerable populations are actively participating in the public sphere. Their
unique interests are fully represented in all aspects of policy design, economic planning, and
ultimately the delivery of essential services. Their priorities and feedback are included in the
oversight and accountability functions that are exercised by CSOs and SAGs. (4.2)
● Change agents are identified and given relevant training and tasks to help with the other goals of
the project. (4.1)
● Change agents are institutionalized. (4.1)
● Project management skills are developed enabling decentralized services to be rapidly, efficiently,
and effectively implemented by local governments. Lessons learned from the implementation of
activities via the IGPA/Takamul Project Activity Fund (PAF) are incorporated into the process
enabling local governments to take on opportunities for improving the delivery of essential
services as they arise. (4.1)
Specific Results
4.1 Enhance capacity of change agents.
4.2 Enhance capacity of women and vulnerable populations to represent their needs within
government decision-making processes.
PRINCIPLES GUIDING PROGRAMMING
IGPA/Takamul will address the following design parameters when proposing activities or
interventions:
1. Defining Success. The project must approach each intervention in terms of achieving the
desired ‘end state’. This goal must be clearly identified and agreed between IGPA/Takamul and
USAID, with input from the project’s counterparts and stakeholders. IGPA/Takamul’s AMEP
reporting will clearly reflect progress from the baseline and periodic routine “report cards” to
ensure that IGPA/Takamul remains focused on the goals that ultimately will define its success.
The recent planning workshop, together with the project’s PEA and ongoing coordination
activities, have provided invaluable input with respect to defining the desired ‘end state’ and
these have been summarized within each objective.
2. Assistance Packages (APs). IGPA/Takamul will design APs tailored to address the specific
capacity and performance improvement needs of each sponsoring utility in order to increase
service delivery and will adapt Iraq-tested capacity-building training modules, tools, and
methodologies already designed or utilized by the consortium members or other USAID
projects. Each AP will include training to strengthen governance for sustainability; methodologies
such as peer learning and inter-governorate exchanges; training on the application of
accountability tools such as public charters, citizen scorecards, and public expenditure tracking
surveys; and support for communication outputs such as information posters or local radio
programs. APs will be mainly focused on enterprises delivering essential services (utilities);
Special APs will focus on closing the gap in service delivery to underserved populations and
geographic areas. An AP memorandum of understanding (MOU) will be agreed with each
partner to document joint responsibilities and benchmarks for measuring performance
improvement.
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3. Incorporating Gender Mainstreaming. IGPA/Takamul will incorporate the principles of
gender mainstreaming into activity design. The project will work to assist women gain
acceptance as participants in the public sphere and meet the challenges of working in mixed
gender workplaces. Women-target training programs and business events will be used
strategically to empower female participants, while being careful not to reinforce cultural norms
that currently work against acceptance. The project must carefully balance the promotion of
women such that males (whose support is key) are not made to feel alienated and excluded
from opportunities and activities based on their sex, while finding means of giving women the
additional support they need to overcome disadvantages rooted in cultural and workplace-based
biases.
4. Scalable “game-changing” initiatives. IGPA/Takamul will seek opportunities to advance
local initiatives that are both scalable and contribute to overall project success. The IGPA budget
includes a robust Project Activities Fund (PAF) to leverage within the project scope efforts—
either to support proposals for innovative initiatives or through joint funding with the Iraqi
Government, other donor programs, or the private sector to meet immediate needs.
5. IGPA/Takamul organizational structure.7 The project has committed to being flexible and
responsive to the evolving environment in Iraq. For example, while the original plan required
IGPA/Takamul to work in six provinces, the project has successfully chad IGPA/Takamul
working across six provinces, the project includes provinces outside its target six whenever
possible and beneficial, such as expanding some of its activities to all KRI provinces instead of
only Erbil. IGPA/Takamul has also produced a comprehensive PEA in the first year of its program
and are in the process of updating it for the first half of Year 2. The project itself must be guided
by the results of the PEA and by the program that is designed for the coming year (and possibly
beyond). The work plan is ambitious, and implementation will require that IGPA/Takamul be
organized efficiently and effectively. IGPA/Takamul will revise its organizational structure to
reflect, for example, the coordinating role to be played across the communications/monitoring
and evaluating/PEACAM functions.IGPA/Takamul has restructured the work plan so that a
separate portion of it will be implemented in the KRG to be responsive to specifically identified
needs there. It will also provide greater autonomy it program implementation to its Erbil
Regional Office.
6. Utilization of local partners. The project will engage and leverage the resources and
expertise of the Iraqi CSOs, private sector, donors, and other stakeholders to enhance the
scalability and sustainability of program activities. For example, procurement is a key part of
IGPA/Takamul’s work and if the aim is to improve the system and make it more efficient with
respect to delivering services, it is important to engage with potential suppliers to determine
capabilities, financial stability, performance history, etc. In so doing, the project is able to more
efficiently identify suitable means to communicate opportunities and assess potential and even
possibly accredited suppliers. Another example will be leveraging the local knowledge and
expertise of local project partners such as Ernst and Young (EY). Aside from the technical skills
they bring to the project, they also represent a sustainable ‘link’ between the GOI and best
practices for public financial management (PFM).
7 IGPA/Takamul organizational chart is attached as Annex to this Work Plan.
17
WORK PLAN ACTIVITIES AND OUTCOMES
Objective 1: Enhance Government of Iraq (GOI)
Service Delivery Capacity
RESULT 1.1 - IMPROVE SERVICE DELIVERY OUTCOMES IN
SECTORS WITH POTENTIAL FOR HIGH IMPACT AND VISIBILITY.
ACTIVITIES
1.1.1 DEVELOPMENT OF ASSISTANCE PACKAGES (AP) AND AGREEMENT OF
MEMORANDUMS OF UNDERSTANDING (MOU).
This activity is a contractual requirement of the IGPA/Takamul project and will be coordinated
across all project objectives. Identification of key stakeholders and their relevance to the project
objectives is critical, enabling IGPA/Takamul to better align activities to their needs and to improved
service delivery. While this activity is under Objective 1, mapping stakeholders will be an integrated
process between the PEA/CS and the four objectives. In so doing, IGPA/Takamul will provide a
political and technical narrative for mapping the stakeholders not only determining the appropriate
partner for technical reasons but also for political reasons that recognize the realities of party
affiliation and potential impacts on provincial conflict.
The APs will identify a comprehensive package of activities that address capacity development and
performance enhancement. IGPA/Takamul will employ its PDIA approach and will include elements
of a ‘change management’ approach such as guided self-assessment of the organization structure,
mission statement, position requirements, and other measures. This approach encourages ownership
and a shared sense of purpose.
Objective 1 will have the lead role of developing APs for services (including the identification of the
project “sponsor,” the stakeholder mapping, conducting requirements and gap analyses). Once the
MOU is signed, the IGPA/Takamul provincial coordinator will act as the project manager for
implementation and maintain continuity between the “sponsor(s)” and all technical assistance
(including IGPA/Takamul staff and potentially subcontractors and STTAs). The provincial coordinator
will also have the primary responsibility for achieving the relevant reporting and M&E targets on a
timely basis.
KRI – This activity will be conducted in the same general manner in the KRI without additions,
focusing on KRI-specific entities.
OUTPUTS – Identification of key stakeholders, each with their own unique APs that reflect their
specific needs, followed by the agreement to partner-specific MOUs. IGPA/Takamul will prepare a
comprehensive directory that provides a profile of utility enterprises providing water, SWM and
electricity; the report will also identify the senior management of the utility as well as the relevant
“upstream” political entities that have direct command authority over each utility’s operational
decision-making, budget and spending (as well as relevant citizen/consumer groups). These will
include the Higher Commission for Coordinating among Provinces (HCCP); KRG Ministry of
Planning, Erbil Provincial Government, Governor Offices (GO); Provincial Planning and Development
Council (PPDC); Provincial Council (PC); Baghdad Provincial Government; Baghdad Amanat;
Provincial Women’s Empowerment Departments (PWEDs); Provincial Executive Council (PEC);
Civil Society Organizations (CSO) and Social Accountability Groups (SAG). IGPA/Takamul will
18
engage with the Council of Representatives as the need arises, for example when laws affecting
service delivery are being debated.
APs/MOUs will be developed for local Water, Electricity (KRI), and Solid Waste Management
Directorates. Included in the APs and reflected in the MOUs will be a comprehensive assessment of
and plan for developing capacity; decision making authorities; a communication strategy; re-
engineered business processes (particularly with respect to maintenance plans within Water and
SWM Directorates); mission statement; and the development of core learning modules.
The initial AP (Baghdad Water Department) is attached as an Annex to this work plan.
Program Priorities – The development of APs will be prioritized in accordance with
priorities – water and solid waste management; the development of project
management skills; budget execution and procurement; gender and youth
empowerment (particularly with women politicians) and the development of key
‘change agents’; and business enabling environment (including identifying and
facilitating investment and financing). The stakeholder mapping process will begin with
those institutions that directly impact these priorities and will identify the links that
exist for coordination. For example, working with the MOF to facilitate the allocation
of resources to spending units that are a priority will be coordinated with the need to
simplify and expedite the procurement process that is related to the allocation.
RESOURCE REQUIREMENTS – Project staff; short-term technical advisors (STTA) – expertise
in change management/learning, and strategic communications (Overseas Strategic Consulting
(OSC)).
OUTCOMES – Institutions are organized functionally and have the capacity to fulfill their
respective roles in the process of delivering essential, decentralized services in a sustainable manner.
1.1.2 PROVIDE ONGOING SUPPORT TO IMPLEMENTATION OF ASSISTANCE
PACKAGES INCLUDING COORDINATING RESOURCES FROM OTHER
OBJECTIVES AND LIAISON WITH RELEVANT STAKEHOLDERS SUCH AS
PROVINCIAL WOMEN’S EMPOWERMENT DEPARTMENTS (PWEDS);
GOVERNORS OFFICE (GO); PROVINCIAL PLANNING AND DEVELOPMENT
(PPDC); AND SELECTED WATER/SWM/ELECTRICITY LOCAL
DIRECTORATES.
This activity is to ensure that the implementation of the APs in line with the MOU is able to draw
upon Objective resources as well as to engage “upstream” in the political and fiscal processes.
IGPA/Takamul focus will include the development of capacity for newly decentralized legal,
administrative and financial functions. Work is already underway with key partners, but it is essential
to ensure that it is proceeding in a logical, sequential and responsive manner that accounts for short,
medium and long term needs as reflected in the project’s vison for success. For example, training
should be coordinated with the introduction of new policies and procedures, or in support of re-
engineered business processes to ensure sustainability and continuing education. Concrete
examples include the technical training for the water station’s operators to improve their capabilities
about plant maintenance and customer support, as well as for the standard bidding document to hire
engineering contractors and mechanical components.
Program Priorities –Implementation of the AP’s will focus on the priorities that have
been identified jointly with the “sponsor” and memorialized in an MOU. However,
political and fiscal realities can and often do change in unexpected ways, so
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IGPA/Takamul must be prepared to serve as a feedback loop, proving our PEA (and
public opinion polls) insights to the “sponsor.”
KRI – As noted in the activity section, specific support will be provided to the Kurdistan Electricity
Center, including assistance supporting the SCADA8 system for the KRI general director of
electricity and other service delivery innovations.
OUTPUTS – Baghdad provincial government; Baghdad Amanat; Governor’s Office (GO);
Provincial Planning and Development Council (PPDC); Kurdistan Electricity Control Center (KECC),
and selected local directorates strengthened and reformed. This includes the implementation of
Mission Statements; organization structures in place with job descriptions and associated training
developed and implemented; plan for operationalizing mainstreaming of gender developed and
implemented; internship program for recent graduates in place; communication strategies; re-
engineered business processes; performance monitoring and evaluation capacity that includes
performance audit procedures and training in place (where applicable); operationalized links with the
M&E functions of related entities (such as the Supreme Audit Board, Inspector General (IG),
Integrity Commission (IC), Provincial Council and Governor’s Office) in place in the form of a
Coordination Commission.
RESOURCE REQUIREMENTS – Project staff; STTA – performance audit training (EY), gender
mainstreaming (GRI).
OUTCOMES – Institutional performance improved at GOI institutions (federal, regional, and local)
leading to fulfillment of respective roles in the process of delivering essential, decentralized (in the
case of the non-KRI region) services in a sustainable, inclusive manner.
1.1.3 DEVELOPMENT OF SECTORAL DEVELOPMENT PLANS FOR WATER,
ELECTRICITY AND SOLID WASTE MANAGEMENT (SWM).9
An essential element for ongoing funding and the overall success for ensuring that essential services
are provided in a sustainable manner is the function of planning. It is particularly important to link
planning at the provincial level with the national level development plans as part of the budget
formulation and budget execution processes. The capacity to plan for the implementation of services
in the short, medium and long term is necessary and quite complex. The plans must account for
current needs, new capital investment initiatives, revenue forecasting, expenditure forecasting,
operating and maintenance programs and budgets, shifting demographics and other issues. A key
component of this will be to support a broad spectrum of revenue enhancement tools.
IGPA/Takamul will work with the PPDC, KRG Ministry of Planning, KECC, PWEDs, and local water,
electricity and solid waste management directorates and the private sector to develop or improve
these sectoral development plans. The goal would be to develop a framework for regional and inter-
provincial collaboration on water, electricity and solid waste management planning in Iraq that is
responsive to the needs of all citizens. The needs of women and girls will be an integrated part of the
sectoral development plan, drawing on best practices for similar service environments. Sector-
specific gender training will be provided to key participants to facilitate responsiveness to the
priorities of women and girls. An important consideration in this process is the identification and
utilization of an appropriate format that can be used to secure outside funding for implementation of
8 Supervisory Control & Data Acquisition (SCADA) is computerized system that helps monitor and manage
electricity infrastructure. 9 Some sector plans have been completed with donor assistance in the past (for example, USAID’s Governance
Strengthening Project [GSP] Service Delivery Improvement Plans [SDIP] for Baghdad and Basrah), and
IGPA/Takamul will not duplicate; our focus will be a reliable new baseline and to define an achievable five-year
end-state as the basis for investment and budgetary planning.
20
water, electricity and solid waste management strategies. For example, the World Bank recently
provided a US$210 million loan for water infrastructure in Baghdad; the processes that made this
loan possible should be explored with other utilities and at a minimum, the relevant Project
Assessment Document (PAD) can be used as the basis for workshops (as case study) with other
utilities so they can eventually present their own “bankable” requirements. Sectoral planning across
regions/provinces offers opportunities to involve diverse stakeholders and to empower women.
IGPA/Takamul will also assess and make recommendations on the appropriate role for universities
and technical consultants outside of government agencies for participation in both water, electricity
and solid waste management sector studies.
Program Priorities - In the case of water supply, the project will meet with the
appropriate government officials to vet the idea of regional water supply plans that,
when combined and summarized, could help create a country-wide Iraq Water Supply
Plan.
KRI – In the KRI, activities will focus on water and electricity.
OUTPUTS – Sectoral Plans that are currently relevant, inclusive, and incorporate a medium and
long-term approach.
RESOURCE REQUIREMENTS - Project staff; STTA – PFM expertise related to planning, fiscal
and analysis (home office resources), gender analysis (GRI).
OUTCOMES - The processes required to ensure delivery of essential services are planned in
accordance with Iraqi priorities and are linked with national sustainable development plans, capital
investment plans, medium term fiscal plans, and service delivery objectives. Sectoral development
plans are institutionalized as part of the planning process at all levels. The plans are developed in a
coordinated approach between the Iraqi government (both nationally and provincially), the
CSOs/Social Accountability Groups (SAGs), and the private sector.
1.1.4 IMPROVEMENT OF THE PROVINCIAL AND KRG PUBLIC PROCUREMENT
SYSTEMS
This activity will be coordinated with Objective 2. Public procurement is an essential element for
improving the delivery of public services for Iraqi citizens and is also strongly linked to the creation
of a positive enabling environment for the private sector. Poor governance of public procurement
systems can turn public investments into significant political and economic liabilities, adding to the
inefficiency and costliness of delivering essential services. IGPA/Takamul has been working to ensure
that the system is simplified, transparent and accountable, particularly with respect to increasing
oversight and public engagement through CSOs under Objective 3. Under this activity,
IGPA/Takamul will continue work that has seen the simplification of the process resulting in the
increased timeliness and efficiency of the process. Year 2 will replicate this success while making
additional improvements related to oversight and audit; publication of bidding documents and
processes; engagement with the private sector to ascertain capabilities and internal systems that can
lead to certification of suppliers; and links to ICT processes, such as the IFMIS.
Program Priorities – Budget execution work under Objective 2.2.1 will be expedited to
ensure that the federal government allocates resources to water programs as soon as
possible. Concurrent to this, IGPA/Takamul will immediately begin to work with key
local government officials and water directorates to ensure that the procurement
process is simplified and expedited. Coordination with oversight, monitoring and audit
activities under each Objective will be undertaken to ensure that the process does not
lead to dysfunction and fraud and that the intended results are achieved.
21
KRI – Public procurement system support will be provided across the program, here will focus
additionally on KRI-specific institutions.
OUTPUTS – Simplified documents and processes; improved oversight and audit processes; bidding
documents and processes are publicized (KRG Portal); criteria for certification as an approved
supplier developed; list of approved suppliers developed; new ICT process that align with the MOF
chart of accounts are developed.
RESOURCE REQUIREMENTS - Project staff; STTA – PFM expertise related to procurement
and budget execution; local ICT firm(s) to provide programming assistance with chart of accounts
OUTCOMES - The processes associated with the execution of budgets and procurement of goods
and services are improved. Timeliness and efficiency of the procurement process is improved leading
to expedited delivery of essential services. The private sector is enabled and actively participating as
suppliers. The process is simplified, more transparent and accountable leading to decreased potential
for corruption.
Public procurement laws and regulations are functioning in a streamlined and simplified manner that
is both transparent and accountable.
1.1.5 BASRAH WATER PROGRAM MANAGEMENT UNIT
In response to USAID’s stated priority of providing assistance to the Basrah Provincial Government
to mitigate the effect of the water crisis there, IGPA/Takamul has been asked by the Basrah
Governor’s office to assist them to establish a water program management unit (PMU) which will
serve two purposes. The first is to provide a focal point for all GOI resources dealing with the
crisis. The second is to stand-up institutional expertise within the Provincial office on project
management, water management expertise, CSOs, finance and management expertise, budget and
procurement (both expertise for delivering TA and internal for overseeing project expenditures),
Iraqi legal expertise; oversight and audit (financial and performance). Illustrative activities are
included in Annex 1: Illustrative High-Impact Priority Projects (HIPP).
PROGRAM PRIORITIES. In addition to setting up a coordination mechanism,
IGPA/Takamul will draw from a menu of proposed activities created by the project’s
water consultant, Dr. Barney Austin. These will be medium to longer term in duration
and will include activities such as the creation of a hydrodynamic model for the Shatt al-
Arab, a water availability and reservoir management system, and training for operators
of water treatment facilities. These activities will support ongoing short-term work
being currently conducted by the Office of Foreign Disaster Assistance (OFDA).
KRI – These activities will focus on the south of Iraq and specifically on Basrah Province.
OUTPUTS – The outputs will depend on the specific measures deemed most necessary to address
the crisis. They will include a higher level of technical competence in understanding the hydrological
reasons for the crisis and the water resources available to deal with it.
RESOURCES – IGPA/Takamul will seek the support of a competent and qualified consultancy
company to provide technical assistance to the Basrah Provincial Government and relevant agencies
of the Iraqi Federal Government. The project understands that it will not be procuring equipment as
part of its support but may coordinate its efforts with other organizations that are providing such
support.
OUTCOMES – The development of a coordinated regional and national plan to deal with the
water crisis. The maintenance of a coordination body which will improve communications between
the relevant elements of the Iraqi Government and the donor community, including IGPA/Takamul.
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RESULT 1.2 - STRENGTHEN THE STRATEGIC APPROACH AND
CAPACITY OF THE FEDERAL LINE MINISTRIES AND PROVINCIAL
DIRECTORATES TO BETTER ALIGN SERVICE DELIVERY OUTCOMES
WITH THE PRIORITIES OF PROVINCIAL GOVERNMENTS AND
LOCAL POPULATIONS.
ACTIVITIES
1.2.1 FACILITATE LONG-TERM SUSTAINABILITY OF ASSISTANCE PACKAGES
(FOR UTILITIES) BY DIRECT SUPPORT AND ADVOCACY AT ALL
“UPSTREAM” POLITICAL INSTITUTIONS.
This activity actually begins before any APs are defined because contact with the utilities will need to
be “cleared” by the relevant political leadership to prevent misunderstanding; in most cases, the
foundation has already been laid in Year 1 through PEAs and IGPA/Takamul support in other areas.
The activity is “upstream” from the utilities in the realm of the statutory/political authorities and
budget mechanisms and focuses primarily on the entities that need to be aligned and strengthened
for enhanced service delivery, particularly the HCCP in the non-KRI and the KRG Deputy Prime
Minister’s (DPM) Office. The project will also focus on the development of capacity for newly
decentralized functions such as legal, administrative and financial. Additionally, the project will
support the development of innovative technical solutions, such as implementation of fleet
management systems10 to improve efficiency and expand service coverage. Work is already
underway with key partners, but it is essential to ensure that it is proceeding in a logical, sequential
and responsive manner that accounts for short, medium and long term needs as reflected in
IGPA/Takamul’s vison for success. Objective leads, in coordination with counterparts, will review
the APs, the work that is underway and the work that is proposed to ensure coordination, both
within the beneficiary organization and the within the IGPA/Takamul project (particularly between
Result 1.1 and Result 1.2). For example, training should be coordinated with the introduction of new
policies and procedures, or in support of re-engineered business processes to ensure sustainability.
KRI – Will focus specifically on KRG Deputy Prime Minister’s office, KRG Ministry, Erbil Provincial
government, and PWEDs.
OUTPUTS –PED and PWEDs established. Governorate operational manual developed. DPM’s
Xizmat project supported. Provincial Council (PC) is unified and monitoring role over service
delivery enhanced. This includes the implementation of Mission Statements; organization structures
in place with job descriptions and associated training developed and implemented; plan for
operationalizing mainstreaming of gender developed and implemented; internship program11 for
recent graduates in place; communication strategies; re-engineered business processes; performance
monitoring and evaluation capacity that includes performance audit procedures and training in place
(where applicable).
10 In Q4, IGPA/Takamul launched the Fleet Management System project in Baghdad. A total of 530 vehicles
from the Water and Municipality Directorates will now be tracked for efficient management. The project is a
result of a meeting between the Baghdad Directorates and an automobile supplier who demonstrated the
installation of GPS hardware in 400 Municipality Directorate vehicles and 200 Water Directorate vehicles. Staff
were trained on how to use this new tracking technology. The increased efficiency will improve services in
both water delivery and SWM. The devices also accurately monitor vehicle mileage, fuel consumption, and
misuse, which enables broader future coverage as a result of increased efficiency. 11 In Year 2, interns will be internal to IGPA/Takamul and receive on-the-job training on activities such as
researching existing studies on utilities, PFM, public opinion polls and statistical reporting.
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RESOURCE REQUIREMENTS – Project staff; STTA – performance audit training (EY), gender
mainstreaming (GRI)
OUTCOMES – Institutions are organized functionally and have the capacity to fulfill their
respective roles in the process of delivering essential, decentralized services in a sustainable manner.
Provincial Council (PC) is unified and monitoring role over service delivery enhanced. Provincial
Women’s Empowerment Departments have integrated role in planning process.
1.2.2 DEVELOPMENT OF SECRETARIAT FUNCTION WITHIN THE HCCP TO
SUPPORT COORDINATION ACTIVITIES.
IGPA/Takamul focus will include strengthening of the secretariat for the HCCP to ensure the
administrative and project management capability for the HCCP is more effective. The Secretariat
will continue to oversee the work under this activity, by supporting the implementation of the
relative APs, and by developing the coordination of the HCCP with related entities. The
IGPA/Takamul project will support the Secretariat in all its work with a clear goal of sustainability.
This will be accomplished through direct TA, coaching and mentoring and learning modules aimed at
developing project management skills.
KRI – HCCPSec does not engage with the KRI entities, so this is not part of activities in KRI.
OUTPUTS – Mission Statement; organization structure in place with job descriptions and
associated training developed and implemented; plan for operationalizing mainstreaming of gender
developed and implemented; internship program for recent graduates in place; communication
strategy; business processes; performance monitoring and evaluation capacity that includes
performance audit procedures and training in place (where applicable). Project management skills
developed.
RESOURCE REQUIREMENTS – Project staff; STTA – performance audit training (EY)
OUTCOMES – Institutions are organized functionally and have the capacity to fulfill their
respective roles in the process of delivering essential, decentralized services in a sustainable manner.
1.2.3 DEVELOPMENT OF RAPID ACTION TEAM TO PROVIDE TRAINING TO
NEWLY ELECTED PROVINCIAL GOVERNMENT ON DECENTRALIZATION
AND SERVICE DELIVERY.
IGPA/Takamul will organize a team to include local officials that is ready to provide the noted
training to the newly elected provincial government. The project expects that there will be a
turnover of key actors following the election and the project must be prepared to provide briefings
and/or trainings to assist them in their new responsibilities. Strategically, the earlier that
IGPA/Takamul can reach these new officials the better it will be for them to understand this
important link to their constituencies and to develop support for the service delivery program that
IGPA/Takamul is implementing.
Recognizing the particular challenges faced by female politicians in Iraq, IGPA/Takamul will provide a
specialized orientation for women provincial councilors. They would be designed to familiarize
candidates with their roles and responsibilities as provincial councilors, develop a plan to establish
their offices and commence their duties, and build inter-provincial networks.
KRI – This is not part of activities in KRI.
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OUTPUTS – Rapid action team identified and developed. Training packages developed.
Communication plan in place to support this activity. Newly elected provincial government rapidly
trained to effectively address service delivery challenges
RESOURCE REQUIREMENTS – Project staff.
OUTCOMES – Delivery of essential services is strengthened and sustainable.
1.2.4 SUPPORT THE KRG’S OVERALL REFORM INITIATIVE THROUGH ITS
XIZMAT ACTIVITY.
The Xizmat project is a part of the ongoing reform and modernization program of the Kurdistan
Regional Government (KRG). The KRG has been documenting government services and integrating
the results in one website which covers 422 public services. The whole endeavor is premised on the
hypothesis that citizens spend at least 30 percent of the total time spent on obtaining a particular
service in trying to figure out who or what office provides the service, the location of the office, the
requirements, and the procedures; the very same information provided by the website. On the
other end, the same amount of time is spent by service providers in just responding to citizen
inquiries. IGPA is assisting the KRG in the operationalization and continued sustainability of the
website and improved processes.
KRI – This is a KRI-specific activity, not relevant to the other areas of operation. Please see Annex 2
for details on this activity.
OUTPUTS - Branding strategy created and implemented. Help desk established and capacity built.
Computerization needs assessed in DPM office and ministries. Business processes re-engineered in
two key ministries.
RESOURCE REQUIREMENTS – Project staff; STTA; local firms.
OUTCOMES – Improved service delivery and enhanced customer-citizen experience in transacting
with the government. Motivation of government agencies to work for even better performance and
increase citizens’ trust in their government.
RESULT 1.3 - ENHANCE REGULATORY AND PROCEDURAL
CERTAINTY TO ATTRACT PRIVATE SECTOR INVESTMENT.
ACTIVITIES
1.3.1 LAWS, REGULATIONS AND BY-LAWS FOR UTILITY SECTORS ARE
OPTIMIZED TO EQUITABLE PROVISION OF SERVICES.
This activity addresses the initial need to conduct a legal review and gap analysis to determine the
effectiveness of current laws that impact decentralization of essential services. Resultant
recommendations will be presented to relevant counterparts and the project will provide TA to
assist in the production of new or amended legal provisions. The project will also work with
counterparts to develop the necessary regulations and by-laws needed to operationalize the legal
provisions. An example of this will include legislation and regulation support to the KRG in power
distribution, power consumption, and updates to the current system of service subscription; systems
which are in need of regulation updates and refinement. This activity will be coordinated across
project objectives.
Program Priorities – Immediate focus will be placed on the State Commission on
Water and Sewage on Law 27 year 1999 (referred to as the Water Law) together with
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implementing instructions and by-laws, to provide recommendations on immediate
legal needs (drafting executive orders) and longer-term amendments to the law.
KRI – Will focus on electricity and power in this region.
OUTPUTS – Legal gap analysis and review to determine if amendments are needed or complete
re-writes. Including, but not limited to - Revised Law of the Capital; New Solid Waste Management
Code; Revised Law 27 (Managing Water); Unified Law on Partnership Contracts; Implementing
regulations and associated by-laws, power distribution regulations and by-laws for the KRG.
RESOURCE REQUIREMENTS - Project staff; STTA – expertise in Iraqi laws, development of
regulations and associated by-laws.
OUTCOMES - Laws, regulations and by-laws are in place that support the decentralized
organizations, activities, policies and procedures related to the delivery of services. These include
the regulatory authorities required to support the efficient delivery of services; the development of
budgets; the execution of budgets; procurement of goods and services; the mobilization of domestic
revenues; and the monitoring and evaluation of related activities and outcomes. Regulatory and
procedural certainty enhanced through development or amendment of laws that promote private
sector participation.
1.3.2 IMPLEMENTATION OF PUBLIC PRIVATE PARTNERSHIP (PPP) MECHANISM
AND OTHER ALTERNATIVE FINANCING PROGRAMS.
This activity links with 1.3.1 and Objective 2 to address the implementation of this function. While
Objective 1 can work with stakeholders on the legal framework, Objective 2 will work with national
and provincial authorities to determine project selection criteria under PPP and develop a case study
to show national and provincial officials and the private sector how PPP might work. Capital
investment in infrastructure can be an attractive venture for private sector investors if an acceptable
risk/return profile is offered. A PPP model can be developed that mitigates risk while meeting the
needs of national and provincial governments. Laws must be amended or developed with suitable
regulations that address both the financial risks for investors and the interests of the public.
IGPA/Takamul will support this function by coordinating and engaging with key actors in the national
and provincial governments together with the private sector. The activity will include the legal
review and identification of suitable regulations; the determination of a suitable organizational
structure to support the provincial capability to implement PPPs and the identification of potential
projects. Each Governorate shall identify the strategic projects to which the public-private
partnership method may be applied. This latter activity will also include the development of a case
study to help illustrate the benefits of this means for investing in public infrastructure projects and to
provide guidance on implementation. IGPA/Takamul will identify a STTA expert with a primary task
to develop criteria for identifying suitable PPP projects and then assisting in the development of a
published list of these potential projects. This STTA will also provide recommendations for other
finance vehicles as may be appropriate.
Program Priorities – An immediate priority will be to identify water related projects
that can be proposed as PPP’s, expediting legal orders to remove or mitigate barriers
to private sector investment, and identifying suppliers of goods and services that have
the capability to respond to tenders or bids. This can be aligned with the Water PMU
and assistance can be offered to train on becoming a supplier, and eventually a certified
or authorized supplier to the Iraqi government.
KRI – A KRI-specific mechanism will be developed.
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OUTPUTS – Legal and institutional gap analysis. Identification and publication of potential projects.
Recommendations for the development of amendment of laws and regulations to support PPP.
Recommendations for alternative finance vehicles. Case study.
RESOURCE REQUIREMENTS - Project staff; STTA – PPP and alternative financing (EY)
OUTCOMES - The private sector is enabled and investing in opportunities related to the delivery
of essential services. A Public Private Participation (PPP) process is in place and operating.
RESULT 1.4 - ENHANCE THE TARGETING OF CAPITAL
INVESTMENT SPENDING IN SERVICE DELIVERY SECTORS THAT
SERVE VULNERABLE AND DISADVANTAGED POPULATIONS.
ACTIVITIES
1.4.1 COMMUNITY FUNDS FOR WOMEN AND VULNERABLE POPULATIONS
IGPA/Takamul will capitalize on relationships built with other donors and private sector firms (the
project has already had expressions of interest from the Swedish Embassy and several private
companies) to pool resources into a joint fund that awards small service delivery contracts that
target priorities for women and girls in the provinces. IGPA/Takamul would form a joint committee
comprised of the PWED, PC Women’s Committee, and local women leaders to identify local
priorities based on their outreach activities, develop scopes of work, and select winning bids in a fair
and transparent manner. IGPA/Takamul would manage the individual contracts in partnership with
the committee. The activity would be implemented in the six pilot PWED provinces.
KRI – A KRI-specific fund will be developed.
OUTPUTS – Multiple small projects chosen by women for services for vulnerable and
disadvantaged populations.
RESOURCE REQUIREMENTS – Additional project staff (GRI)
OUTCOMES – Improved capacity of government to identify and respond to needs of vulnerable
and disadvantaged populations
Objective 2 - Provincial and National
Government Public Financial Management
RESULT 2.1 - STRENGTHEN CAPACITIES OF PROVINCIAL
OFFICES AND SUPPORT THEIR CONVERSION INTO FULLY
OPERATIONAL FINANCIAL MANAGEMENT OFFICES.
ACTIVITIES
2.1.1 DEVELOPMENT OF ASSISTANCE PACKAGES (AP) AND AGREEMENT OF
MEMORANDUMS OF UNDERSTANDING (MOU) – ADMINISTRATIVE AND
FINANCIAL AFFAIRS DIRECTORATE (AFAD) AND ERBIL PROVINCE
This activity is a contractual requirement of the IGPA/Takamul project and will be coordinated
across all project objectives. The AP will identify a comprehensive package of activities that address
capacity development and performance enhancement. The project is already working with AFAD
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and the KRG MOFE and the development of the AP will be done concurrently to ensure that
project efforts are comprehensive and organized to produce a sustainable result The process that
IGPA/Takamul will employ will include a legal gap analysis to determine if changes are needed to
support the mission of AFAD and Erbil accounting and finance units. It will also include elements of a
‘change management’ approach such as guided self-assessment of the organization structure, mission
statement, position requirements and descriptions, and other measures. This approach encourages
ownership and a shared sense of purpose.
KRI – APs will be developed for KRI-specific institutions following the same protocols as the overall
area of responsibility.
OUTPUTS – An MOU. Included in the APs and reflected in the MOUs will be a comprehensive
assessment of and plan for legal/regulatory requirements; developing capacity; decision making
authorities; a communication strategy; business processes; mission statement; and the development
of core learning modules.
RESOURCE REQUIREMENTS – Project staff; STTA – expertise in change management/learning,
and strategic communications (OSC).
OUTCOMES – Institutions are organized functionally and have the capacity to fulfill their
respective roles in the process of delivering essential, decentralized services in a sustainable manner.
2.1.2 IMPLEMENT ASSISTANCE PACKAGES FOR THE ADMINISTRATIVE AND
FINANCIAL AFFAIRS DIRECTORATE (AFAD) AND ERBIL FINANCE AND
ACCOUNTING UNITS.
This activity is the implementation of the APs in line with the MOU and it is concurrent with the
development of the plan. IGPA/Takamul focus will include the development of capacity for newly
decentralized functions such as legal, administrative and financial. Work is already underway with this
key partner HCCPSec, MoF and AFADs, but it is essential to ensure that it is proceeding in a logical,
sequential and responsive manner that accounts for short, medium and long term needs as reflected
in the project’s vison for success. The AFAD is newly established entity that falls under the
governor’s office. It handles all budgeting, financial review, cash management and reporting for
decentralized directorates. AFAD works as a link between decentralized service delivery units and
GO in the province in one side and with MoF on the other side. AFAD’s main responsibilities were
organized and grouped into three main divisions, financial planning (budgeting), financial regulations
(financial management) and staff management (payroll). The financial planning division has two
sections, financial planning (budgeting) and revenue & expenditures. The financial planning section has
three units. One for budget preparation, one for budget transfer and a third one for information and
research. Revenue and expenditures section is also divided into three units, expenditures, local
revenues and federal revenues. A key output for this activity will be the preparation of a plan for
introducing ‘gender-based budgeting’ into the budget formulation process.
Program Priorities – Budget formulation and allocation as related to water will be the
immediate focus here. IGPA/Takamul will determine the areas within AFAD that need
assistance in these areas and the project will work to ensure that they receive
immediate training on issues related to allocation of resources as well as improving
checks and balances.
KRI – APs will be implemented for KRI-specific institutions following the same protocols as the
overall area of responsibility. Will include revising organization structure and developing and
delivering comprehensive capacity building plans (APs).
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OUTPUTS – Development and implementation of the AFAD and related Erbil entities Mission
Statement; organization structure in place with job descriptions and associated training developed
and implemented; plan for operationalizing mainstreaming of gender developed and implemented;
gender-based budget plan; communication strategy; business processes developed and in place;
performance monitoring and evaluation capacity that includes performance audit procedures and
training in place.
RESOURCE REQUIREMENTS – Project staff; STTA – Budget expert, performance audit
training (EY), gender responsive budgeting (GRI)
OUTCOMES – Institutions are organized functionally and have the capacity to fulfill their
respective roles in the process of delivering essential, decentralized services in a sustainable manner.
The AFADs and KRG provincial finance and accounting entities are functionally organized and
producing sustainable development plans that are supported by evidence-based revenue and
expenditure forecasts; budgets that are performance based are developed.
2.1.3 CREATION OF FIXED ASSET REGISTRY.12
Fixed assets represent a significant investment on the part of the GOI and as such, the government
should have a record of the asset, its location, its condition and how it is being utilized. This is an
essential step in ensuring that the appropriate maintenance plan and budget is developed under
AFAD to ensure the life and functionality of the asset is maximized. This activity will produce a
registry that properly records detail of the asset and will allow for regular updates of the asset to
ensure it is appropriately utilized. As well, the registry will inform future capital investment
requirements over the medium to long term. Ultimately this registry will be linked to the IFMIS. The
project will select 1 or 2 pilot sites to create the registry. At the initial stage, the focus will be on
assets related to water directorate, the project will provide TA and training on using the registry,
fixed assets valuations, assets replacement decisions and maintenance cost.
KRI – This activity will not take place in KRI.
OUTPUTS – Fixed asset registry and database.
RESOURCE REQUIREMENTS – Project staff; STTA – ICT, fixed asset registry expertise.
OUTCOMES – Funding allocations are made in a timely fashion and aligned with the budget
requirements for essential service delivery. GOI fixed assets effectively tracked to inform future
capital investment requirements.
2.1.4 DEVELOPMENT OF COORDINATION MECHANISM BETWEEN THE
MINISTRY OF FINANCE (MOF), MINISTRY OF PLANNING (MOP), AND
ADMINISTRATIVE AND FINANCIAL AFFAIRS DIRECTORATES (AFAD).
The essential elements of a public financial management system (PFM) are the top-down planning
process (preferably a 3-5 year medium term plan), budget formulation based on forecasted revenue
(a capability the Iraqi Government is developing) expenditures that include budget ceilings, and
expenditure of allocated funds (including capital investment and operating/maintenance and recurring
costs). These elements are the result of coordination between the MOF, MOP, and AFAD. AFAD
12 IGPA/Takamul focus will be at provincial level. We are not going to work with fixed assets registry for the
federal government.
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represents the link between this top-down approach and the bottom-up activities that allow for
service delivery directorates and stakeholders to provide input into the process. Ultimately these
service delivery entities are responsible for delivering within the approved budget. IGPA/Takamul
will work to establish and then support a coordination mechanism to ensure that the three top-
down institutions are aligning plans and budgets to meet the needs of the service delivery entities as
represented by AFAD. The sectoral plans that are developed under Activity 1.1.3 will coordinate
with this activity to ensure that budget considerations are accounted for in their implementation.
This Activity will also coordinate with Activities 1.3.2 and 2.1.3 to ensure that capital investment
projects are reviewed for potential PPP or other alternative financing approach.
Program Priorities – Coordination between the MoF, MoP and AFAD will be an
immediate priority to focus on allocation of water related resources, identification of
suitable water related priority projects, and expediting the procurement and
implementation of selected projects. This will be coordinated through the Water PMU
activity.
KRI – This activity will not take place in KRI.
OUTPUTS – Functional coordinating mechanism that ensures local government is well
represented within the national PFM institutions.
RESOURCE REQUIREMENTS – Project staff; STTA – PFM.
OUTCOMES – Funding allocations are made in a timely fashion and aligned with the budget
requirements for essential service delivery.
RESULT 2.2 - SUPPORT THE DEVELOPMENT OF FEDERAL
OVERSIGHT MECHANISMS, SUCH AS FINANCIAL AUDIT
PROCEDURES, OF PROVINCIAL FINANCES.
ACTIVITIES
2.2.1 COORDINATION OF THE INTEGRATED FINANCIAL MANAGEMENT
INFORMATION SYSTEM (IFMIS) WITH THE PROVINCIAL PUBLIC
FINANCIAL MANAGEMENT (PFM) SYSTEM.
The implementation of an Integrated Financial Management System (IFMIS) is planned at the national
level. This system will have a significant impact on how allocations are made to specific expenditures
in accordance with a standard chart of accounts (COA). The IFMIS typically supports timely
allocation of resources to all government expenditures, it can also support the budget planning
process, the budget expenditure process (including procurement), cash management, asset
management, monitoring and evaluation. The project will work with provinces and MoF to
implement interim electronic solutions at the provincial level for budget execution, monitoring, and
later on budget preparation. IGPA/Takamul believes that steps should be taken to align key elements
of the provincial PFM process with the design of the IFMIS. This will include the development of a
coordination plan to align, for example – the COA, procurement processes, cash management
processes, financial reporting and financial audit/performance audits with the design of the IFMIS.
This activity will require coordination with Activities 1.1.3, 1.1.4, 2.1.2, 2.1.3, and 2.1.4.
Program Priorities – Allocation of water related resources to priority projects and
activities can be the immediate focus here. Ensuring that the capital investment
projects are correctly identified in the COA, allocations tracked, payments made to
suppliers will be critical to keep projects funded and on track.
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KRI – This activity will focus on KRI-specific institutions.
OUTPUTS – A plan that aligns specific Provincial PFM functions with the proposed national IFMIS
implementation. ICT based system that will address the issue of monthly financial reporting between
decentralized directorates and AFADs in one hand and between AFADs and MoF on the other hand.
RESOURCE REQUIREMENTS – Project staff; STTA – IFMIS local experts.
OUTCOMES – Funding allocations are made in a timely fashion and aligned with the budget
requirements for essential service delivery.
2.2.2 IMPLEMENTATION OF A HUMAN RESOURCE MANAGEMENT (HRM)
SYSTEM.
One of the most significant expenditure items in a national budget is government salaries. The GOI
budget for 2018 allocates 33.4 percent of the budget for government salaries. Revenue mobilization
not only means finding new or improved sources of revenue, it also means controlling leakage and
ensuring more efficiency with respect to spending. This activity will introduce improved control,
accountability and oversight for this expenditure item. Ultimately it will be linked to the IFMIS for
allocation and expenditure processes but there is a need to introduce accountability and efficiency as
soon as possible and particularly with respect to local governments. Linking the system with the
pension fund and other third-party data sources (such as taxpayer identification numbers) will
mitigate the abuse of the payroll system with respect to ‘ghost employees. Ensuring the data can be
disaggregated by gender and select vulnerable groups will allow for improved employee diversity and
inclusion tracking.
KRI – This activity will not take place in KRI.
OUTPUTS – A systems development and implementation plan13 that includes user requirements,
recommendations for an appropriate system and a payroll census. ICT based system that will manage
human resources according to Iraqi labor laws.
RESOURCE REQUIREMENTS – Project staff; STTA – local ICT/HRM expert.
OUTCOMES – Reduced expenditure as a result of improved HRM system.
2.2.3 DEVELOP THE EXTERNAL AND INTERNAL FINANCIAL AND
PERFORMANCE AUDIT CAPACITY FOR THE BOARD OF SUPREME AUDIT (BSA),
MINISTRY OF FINANCE (MOF), MINISTRY OF PLANNING (MOP) AND THE
ADMINISTRATIVE AND FINANCE ADMINISTRATION DIRECTORATE (AFAD).
Governments conduct monitoring and evaluation of ministries, departments, and agencies through
both an external audit function and an internal audit function. The audit function itself focuses on
financial aspects to ensure that public monies are accounted for in accordance with laws, regulations
and procedures. They also audit programs to ascertain their performance against expected key
performance indicators (KPI) and objectives. The external audit function is carried out by the Board
of Supreme Audit (BSA) in Iraq and until recently, audits were primarily based on financial and did
not include performance audits. No gender auditing is currently being undertaken. The internal audit
function is carried out within designated offices of specific ministries. A unique aspect of the Iraqi
system around decentralized functions is that audit or evaluation of the performance of service
13 In Year 2, IGPA/Takamul will focus on a single province, on a pilot basis.
31
delivery is a separate function within the Performance Evaluation Department (PED). The financial
audit of service delivery directorates should be a function performed by the AFAD. IGPA/Takamul
will provide assistance, in coordination with the development of APs, to the BSA (focus on
performance audit) and AFAD (focus on financial audit). This activity will also coordinate the
development of performance auditing and gender auditing training working closely with Objective 1
and the AP for the PED. Coordination with activities under Result 2.4 as they develop performance-
based budgeting with a focus on developing auditable tangible outcomes for service delivery and pilot
gender responsive budgeting frameworks.
KRI – This activity will also set up an internal audit unit within Erbil province. It will focus only on
institutions that exist within KRI.
OUTPUTS – Training developed on financial and performance auditing and gender responsive
budgeting, together with new manuals and business processes.
RESOURCE REQUIREMENTS – Project staff; STTA – financial and performance audit expert.
(EY)
OUTCOMES – A system for both financial and performance audits is in place that is in line with
the requirements of the Board of Supreme Audit (BSA) and that is also addressed through internal
audit within the Administrative and Financial Affairs Directorate (AFAD) and the Performance
Evaluation Department (PED). A system for both financial and performance audits is in place that is
in line with the requirements of the BSA and that is also addressed through internal audit within the
Administrative and Financial Affairs Directorate (AFAD) and the Performance Evaluation
Department (PED). Increased transparency, accountability and reduced corruption. Basic gender
auditing is introduced.
RESULT 2.3 - ENHANCE PROVINCIAL REVENUE GENERATION,
COLLECTION, AND MANAGEMENT FROM OUTSIDE THE OIL
SECTOR.
ACTIVITIES
2.3.1 IMPLEMENTATION OF THE LOCAL REVENUE LAW.
Law 21 in Iraq provided for the decentralization of specific functions to local governments. The law
also provides for the power of local governments to develop sources for local revenue. There was
recently a law passed that adds more specificity to the power of provinces to collect non-tax
revenue in the form of fees, fines, and other administrative levies. The law defines what must be
done with this non-tax revenue, how budgets should be developed and restricts provinces from
assessing or collecting any federal taxes or fees. Under this activity, IGPA/Takamul will assist
provinces in identifying potential sources for non-tax revenue based on international practice;
development of regulations and by-laws that implement the process to collect these; development of
non-tax revenue administration including financial processes; development of organizational
requirements; implementation of revenue benchmarking among provinces; development of a
community of practice among provincial revenue officials; analysis and estimation of revenue
capacity; development of assessment/collections mechanisms.
KRI – Will focus specifically on local revenue generation, which is currently mobilized and
administered in accordance with applicable laws in the region.
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OUTPUTS – Schedule of non-tax revenue for each province that includes all fees, fines, levies, and
other sources. Revenue estimates models. Implementing regulations and by-laws.
RESOURCE REQUIREMENTS – Project staff; STTA – non-tax revenue and revenue forecasting.
OUTCOMES – Funds available for improved service delivery are increased.
2.3.2 DIVERSIFICATION OF FINANCING AND POTENTIAL REVENUE STREAMS
THROUGH ENGAGEMENT WITH THE PRIVATE SECTOR.
This activity will be coordinated with activity 1.3.2. Provincial authorities are recognizing that
revenue mobilization should go beyond the collection of non-tax revenues and the dependence on
revenue sharing arrangements with the federal government, particularly with respect to oil revenues.
The private sector and other investors can be a potential source for capital investment in public
infrastructure and in turn, the knock-on effect will develop alternate sources for revenue particularly
with respect to increased employment, enhanced services and savings associated with public
expenditures. IGPA/Takamul will prepare a study of the main types of government and private
sector-based instruments and incentives that can be utilized in Iraq to boost the mobilization of
financial resources for medium- to long-term investments. The analysis of the potential for public
intervention to increase private sector participation in infrastructure financing will help drive the
need for new instruments and tools within fledgling Iraqi financial markets in order to attract capital
from investors (life insurance companies, pension funds, sovereign wealth funds, foundations).
Program Priorities – This activity speaks directly to the USAID priority related to
engaging with the private sector on capital investment and other related projects.
While PPP is important and addressed under Objective 1, alternative financing and
investment solutions exist and should be reviewed for the Iraqi market.
KRI – Will conduct a feasibility study of fee structures for a selected number of services.
OUTPUTS – Report with recommendations for alternative sources of funding for local
governments.
RESOURCE REQUIREMENTS – Project staff; STTA – financial instruments, commercial
banking, investments.
OUTCOMES – The private sector is enabled and investing in opportunities related to the delivery
of essential services. A Public Private Participation (PPP) process is in place and operating, building
the capability for effective privatization.
RESULT 2.4 - ENHANCE BUDGET-CYCLE PLANNING,
DEVELOPMENT AND EXECUTION AGAINST DECENTRALIZED
EXPENDITURE ASSIGNMENTS.
ACTIVITIES
2.4.1 STRENGTHENING PROVINCIAL BUDGET FORMULATION AND DEBT
MANAGEMENT FUNCTION.
The Ministry of Finance (MOF) in Iraq manages the federal budget process and coordinates its
development with line ministries and the AFAD. The MOF sets the overall budget ceiling, and which
33
in turn leads to proposed ceilings for the ministries and provincial governments, through the AFAD.
The local governments and directorates must develop proposed budgets that include estimates for
line items. The Ministry of Planning also plays a key role in budgeting for large scale multi-year
infrastructure projects and capital investment and this must be supported through the PPDC, AFAD,
and local budget committees. In the KRG, Debt Management is a concern and a Debt Management
Office (DMO) will be established and linked to budget formulation. IGPA/Takamul will support the
as outlined in the AP, focusing on continued training for budget preparation, revenue and
expenditure forecasting, procurement planning, and support to the Iraq Development Management
System (IDMS).
Program Priorities – The water crisis will likely require modifications of existing
budgets and will also need to ensure that operating and maintenance costs are
adequately accounted for. The immediate priority for the project under this activity will
be to prepare the MOF, MOP, and AFAD to amend existing budgets and ensure that
new budget formulation is conducted with a view to longer term operating and
maintenance and recurring costs are in place. Resolving a water supply issue in the
short term but failing to accommodate medium to longer term costs will mean that
solutions are unsustainable.
KRI – Will focus on creation of Debt Management Office (DMO).
OUTPUTS – Core learning modules. Training-of Trainers. Budget preparation manuals. IDMS has
improved functionality to track invoices, arrears and commitments. KRG DMO established.
RESOURCE REQUIREMENTS – Project staff; STTA – Budget expert and ICT (home office and
local advisors).
OUTCOMES – The Ministry of Finance, the Ministry of Planning, and the AFADs are functionally
organized and capable of producing medium term (3-5 year) sustainable development plans that are
supported by evidence-based revenue and expenditure forecasts; multiyear budgets that are
performance based; enhance revenue mobilization for local governments that include allocations
from the national budget and locally sourced revenue; and financial reporting.
Performance-based outcomes for budgets are aligned with the needs of the Iraqi citizens and focused
on tangible, sustainable delivery of essential services.
2.4.2 SUPPORT THE IMPLEMENTATION OF A TREASURY SINGLE ACCOUNT
(TSA) AND KURDISTAN DEVELOPMENT MANAGEMENT SYSTEM (KDMS).
The IMF Stand By Arrangement (SBA) calls for the implementation of a Treasury Single Account
(TSA) in Iraq. Implementation of a TSA will benefit the GOI as it frees up cash, facilitates improved
cash management, lowers potential borrowing costs, reduces bank transaction costs, and allows for
spare cash to be invested and earn a return. Improving cash management makes more funds available
to the government, and these funds can be spent on service delivery instead of being used to
maintain idle balances in accounts. IGPA/Takamul will work with the MOF, Central Bank of Iraq, and
AFAD to develop a strategy for implementation of the TSA to include a legal review to identify gaps
and any needed amendments such as provision for zero balance accounts, implementation plan and
the technical requirements to ‘sweep’ cash into the Central Bank. This activity must be coordinated
with activity 2.2.1.
Program Priorities – This activity will free up cash reserves allowing for investment in
the proposed water projects without the need to seek additional loans.
KRI – Will support line ministries and provinces to better track budget execution through KDMS.
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OUTPUTS – Implementation plan.
RESOURCE REQUIREMENTS – Project staff; STTA – PFM expert, ICT (home office).
OUTCOMES - A system for a Treasury Single Account (TSA) is in place that allows for the
collection of national revenue to be separated from the collection of local revenues. Bank accounts
for local governments are in place and functioning. Improved cash management as a result of
implementing Treasury Single Account; increased funding to support service delivery.
2.4.3 GENDER BUDGETING PILOT
IGPA/Takamul believes that Gender Responsive Budgeting (GRB) represents the best practice for
ensuring public services for women are fully funded, however, the project team is cognizant of the
past difficulties the UN and other organizations have faced in attempting GRB activities. Parallel to
the GRB training that will be included in financial trainings above and below, IGPA/Takamul will
identify an interested provincial government and jointly select a local funding stream for a pilot
Gender Responsive Budgeting project. Staff in the select province and/or work unit will receive
more intensive training on GRB, with a specific mechanism established for gender audits under
activity 2.2.4 above. This activity will be supported by an international expert in GRB.
KRI – Pilot will not occur in KRI.
OUTPUTS – Pilot GRB (Basrah)
RESOURCE REQUIREMENTS – Additional project staff; STTA – GRB expert (GRI).
OUTCOMES – Improved government capacity to target spending to women and vulnerable
populations
2.4.4 BUILD CAPACITY OF PLANNING AND BUDGETING UNITS AT LINE
MINISTRIES AND PROVINCES.
Internal capacity in the planning and budgeting is critical not only at the top layers of government,
but within the individual units for ministries and within provinces. In order for revenue flow between
governmental units to remain unimpeded, the finance and planning units must understand the overall
budget cycle, what Finance Ministry reporting requirements are, and how to develop revenue
estimates.
KRI – This is a KRI-only activity.
OUTPUTS – Reporting templates on budgeting and planning process.
RESOURCE REQUIREMENTS – Embedded advisors (EY) and STTAs.
OUTCOMES – Improved line ministry and provincial capacity to make necessary reports to
Ministry of Finance.
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Objective 3 - Service Delivery and Public
Expenditure Monitoring and Oversight
RESULT 3.1 - STRENGTHEN THE CAPACITY OF SELECTED
PROVINCIAL INSTITUTIONS TO ESTABLISH EFFECTIVE CITIZEN
PARTICIPATION AND OUTREACH MECHANISMS.
ACTIVITIES
3.1.1 IMPLEMENT ASSISTANCE PACKAGES FOR CIVIL SOCIETY
ORGANIZATIONS (CSO), SOCIAL ACCOUNTABILITY GROUPS (SAG), AND
CITIZENS ADVISORY BOARDS (CAB).
This activity is the implementation of the APs in line with the MOU and it is concurrent with the
development of the plans. This activity focuses primarily on the entities, such as directorate
communication offices and provincial citizen affairs departments, that need to be strengthened for
enhanced capabilities to effectively deliver outreach and educational programs; conduct advocacy for
improved service delivery; provide effective oversight and accountability of institutions, budget
development and execution, and other programs aimed at delivering services to citizens. Work is
already underway with key partners, such as SAG in Basrah and Babil; water and municipality
directorates in Anbar, Babil, Basrah, Erbil, Baghdad, and Ninewa. It is essential to ensure that it is
proceeding in a logical, sequential, and responsive manner that accounts for short, medium, and long
term needs as reflected in the project’s vison for success.
KRI – Will occur in KRI with local CSOs and groups. Service delivery focus will be on water and
electricity.
OUTPUTS – Implementation of Mission Statements; organization structures in place with job
descriptions and associated training developed and implemented; plan for operationalizing
mainstreaming of gender developed and implemented; business processes developed; performance
monitoring and evaluation capacity that includes performance audit procedures and training in place.
RESOURCE REQUIREMENTS – Project staff; STTA – performance audit training (EY)
OUTCOMES – CSOs and SAGs are functionally organized and empowered to provide effective
oversight of decentralized service delivery. CSOs and SAGs are engaged in all aspects of the
program. Their role is institutionalized both in law and in practice.
They are a fully engaged with Iraqi citizens and relevant Iraqi institutions and act as an effective
conduit through which messaging flows between citizens and the Government.
Mechanisms are in place that ensure transparency and accountability in the processes related to
delivery of essential services. As part of their oversight role, they ensure that the government is
responsive to citizen priorities.
CSOs and SAGs can identify the service priorities of citizens and are effective in ensuring these
priorities are taken into consideration as part of the planning and budgeting process. The
information from CSOs and SAGs influences service delivery decisions made by all levels of Iraqi
government.
36
3.1.2 STRENGTHENING PUBLIC OUTREACH AND ENGAGEMENT.
This activity has been identified by the project as a critical need in support of the CSO and local
government function and has a direct impact on issues related to water management and solid waste
management. The recent workshop with CSO members and the private sector repeatedly
highlighted the need to address the role of the CSO in oversight and in advocacy; the need to
educate the public on conservation and other environmental concerns; and the need to educate
government counterparts, particularly at the local level as to the role of CSOs. The activities that
will be implemented under this section will include the development of communication strategies by
CSOs and relevant local and government institutions that address the use of social media as a tool
for interaction between citizens and local government officials; the use of ‘citizen satisfaction
surveys’ that are conducted in ‘real time’ to address issues in a timely manner (using mechanisms
such as ‘survey monkey’); publication of information such as annual service budgets, costs of service
related projects, timelines for these projects; a system for legalizing and operationalizing ‘access to
information’. It will be important to include outreach activities that serve to identify the
‘link’ between revenue and the provision of services.
KRI – Will occur in KRI with local CSOs and groups. Service delivery focus will be on water and
electricity. Some KRI-specific campaigns will be conducted, including an awareness campaign for the
Erbil Water Directorate on its new payment system and SCADA with the MoE.
OUTPUTS – Communications strategy that includes social media. Learning modules developed.
Campaigns relating to a variety of topics including revenue mobilization and service delivery.
RESOURCE REQUIREMENTS – Project staff; STTA – expertise in strategic communications
(OSC).
OUTCOMES – CSO’s are a fully engaged with Iraqi citizens and relevant Iraqi institutions and act
as an effective conduit through which messaging flows between citizens and the Government.
CSOs and SAGs can identify the service priorities of citizens and are effective in ensuring these
priorities are taken into consideration as part of the planning and budgeting process. The
information from CSOs and SAGs influences service delivery decisions made by all levels of Iraqi
government.
3.1.3 DEVELOPMENT OF A ‘COMMUNITY OF PRACTICE’ AND ENHANCED
COORDINATION BETWEEN PROVINCES AND THE FEDERAL
GOVERNMENT.
This activity has been identified by the project and by participants in the recent workshop14 as a way
to improve the capacity of both CSO’s and local governments through a formal means to share
‘lessons learned’. In this manner IGPA/Takamul can ensure that unsuccessful efforts are mitigated
and not repeated by other entities. It will also lead to leveraging successful efforts that can then be
implemented elsewhere and enhance the chances for achieving this success by, for example, pooling
resources or sharing outputs. IGPA/Takamul will work directly with CSO’s and local government
counterparts to develop an appropriate mechanism for achieving the goals of this activity and will
also work with the HCCPSec. Use of social media in the KRG will be a focal point under this
activity. Networking mechanisms will be developed and may include periodic workshops; social
media and other web-related services; and ICT integration where warranted.
Gender Safety Audits: IGPA/Takamul will work with the SAGs, CSOs, and local government to
conduct women’s safety audits in to better identify community priorities for government response.
14 IGPA/Takamul organized the CSO - COMSec coordination mechanism workshop in September 2018 which
launched the formal coordination mechanism between government and CSOs.
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The GSA is a process whereby participants and community or government organizers research local
areas and determine which places or services are unsafe or feel unsafe or inaccessible for women.
Once a place or service has been identified as insecure, a group of local women - preferably regular
users of the space or resource - walk through it with a checklist, observing and identifying factors
such as inadequate or absent lighting or signage, or negative graffiti messages, which make them feel
unsafe or unwelcome. After walks have been completed, a report is produced and presented to local
government officials and other key decision-makers, and communities (with IGPA/Takamul
assistance) will advocate for government intervention. Beyond encouraging physical environmental
changes, the women’s safety audit aims to empower women to take ownership of public space and
participate in local decision-making.
KRI –Will be conducted as described with a special focus on the use of social media.
OUTPUTS – Implementation strategy developed. Networking mechanisms developed.
RESOURCE REQUIREMENTS – Project staff; STTA – Social Media, ICT (OSC), GRI.
OUTCOMES – CSOs are a fully engaged with Iraqi citizens and relevant Iraqi institutions and act as
an effective conduit through which messaging flows between citizens and the Government. Improved
coordination and communication between provincial and federal government involving CSOs.
RESULT 3.2 - ENHANCE PUBLIC CAPABILITY AND WILLINGNESS
TO PARTICIPATE IN PLANNING, MONITORING, AND EVALUATING
PUBLIC SERVICES.
ACTIVITIES
3.2.1 DEVELOPMENT OF OVERSIGHT MECHANISMS FOR KEY PROVINCIAL AND
REGIONAL SERVICE DELIVERY TARGETS BY CIVIL SOCIETY
ORGANIZATIONS (CSO); AND SOCIAL ACCOUNTABILITY GROUPS (SAG)
IGPA/Takamul will continue to strengthen then expand the capabilities of SAGs and CSOs to
provide effective oversight of the institutions that deliver services to Iraqi citizens. These activities
will include oversight of the budget preparation process; the execution of the budgets; the
development of plans and setting of priorities; the outputs, outcomes and satisfaction of citizens with
respect to the delivery of essential services, and the fairness and enforcement of local revenue
mobilization. Mechanisms will be developed in collaboration with relevant government agencies, such
as water and municipality directors, and, governor’s offices when appropriate. The activity must also
address issues related to the legal basis for these groups to conduct oversight activities. The
workshop conducted on this topic identified weaknesses in Law 12 of 2010 that need to be
addressed in order to fully operationalize and institutionalize this result and will be addressed under
this activity in coordination with activity 1.3.1.
KRI – Will be conducted as described in KRI with a specific focus on local CSOs and regional
government institutions. Service delivery focus will be on water and electricity.
OUTPUTS – Law and implementing instructions supporting oversight responsibilities of these
organizations implemented. Mechanisms are in place that ensure transparency and accountability in
the processes related to delivery of essential services. As part of their oversight role, they ensure
that the government is responsive to citizen priorities.
38
RESOURCE REQUIREMENTS – Project staff; STTA – expertise in performance audit, legal
(including instructions and by-laws).
OUTCOMES – CSOs and SAGs can identify the service priorities of citizens and are effective in
ensuring these priorities are taken into consideration as part of the planning and budgeting process.
The information from CSOs and SAGs influences service delivery decisions made by all levels of Iraqi
government.
3.2.2 CREATION AND OPERATIONALIZATION OF RAPID RESPONSE
COMMUNITY ACTION CAPABILITY.
This activity is designed to assist in organizing community events that include the participation of
citizens, CSO’s and local government officials. The objective will be to target issues that need to be
addressed quickly. The issues will be addressed by surveys, community meetings, and other methods
developed in coordination with provincial government leaders. This activity can serve as a more
constructive way to focus frustrations over service delivery issues. Examples are organizing
neighborhood clean-ups, or assisting in making clean water available to disadvantaged areas, or
women’s safety audits, etc. The project will organize a trash pickup event in a pilot area, with CSOs
and citizens collecting and sorting trash and the local government providing removal to collection
sites. The pilot will be used as a model to develop other activities, leveraging successes and sharing
outputs. IGPA will work directly with CSO’s and local government counterparts to develop an
appropriate mechanism for achieving the goals of this activity. Networking mechanisms will be
developed and may include periodic workshops; social media and other web-related services. This
activity may be funded by project activities fund (PAF) which supports CSOs to implement these
programs directly. The sustainability of this project is rooted in the ongoing capacity development
that will be provided to the CSOs throughout this process. It will also focus on low-cost volunteer-
based activities that CSOs should be able to maintain once the project has ended.
KRI – Will be conducted as described in KRI with a specific focus on local CSOs and regional
government institutions. Service delivery focus will be on water and electricity.
OUTPUTS – Implementation strategy developed. Networking mechanisms developed.
RESOURCE REQUIREMENTS – Project staff. STTA – women’s safety audit (GRI)
OUTCOMES – CSO’s are a fully engaged with Iraqi citizens and relevant Iraqi institutions and act
as an effective conduit through which messaging flows between citizens and the Government.
Increased collaboration and coordination among citizens, CSOs, and local government to address
local service delivery challenges.
3.2.3 DEVELOPMENT OF AN INTERACTIVE PROCESS FOR PROVIDING
INFORMATION AND RECEIVING COMPLAINTS RELATED TO SERVICES.
As part of IGPA/Takamul’s strategy to directly link the delivery of services to effective governance,
particularly with respect to revenue mobilization and taxpayer compliance, the project will develop a
means for citizens to interact directly with local government service providers. IGPA/Takamul will
focus on developing a ‘call center’ or ‘chat’ capability that can provide information to citizens and
receive complaints. This activity will create a tangible link between citizens and service providers,
empowering citizens to hold their government accountable for their promises. It will also allow the
government the opportunity to ensure that there is a means for citizens to obtain the correct
information related to services and not have to rely upon other less accurate sources.
IGPA/Takamul believes that this capability will help to channel frustration in a more constructive
manner. As well, the World Bank has recently concluded a study that provides strong evidence that
39
revenue is enhanced when it can be related directly to a service that citizens have direct input into.
There will be a need to develop training material and manuals that will allow call center employees
the capability to provide accurate information quickly and learn how to handle irate callers through
conflict mitigation.
KRI – Will be conducted as described in KRI with a specific focus on local CSOs and regional
government institutions for the water and electricity directorates.
OUTPUTS – Information and complaint call center implemented. Core training modules
developed. Training material developed. Website developed.
RESOURCE REQUIREMENTS – Project staff; STTA – Social Media, ICT (OSC).
OUTCOMES – CSOs are a fully engaged with Iraqi citizens and relevant Iraqi institutions and act as
an effective conduit through which messaging flows between citizens and the Government. Improved
engagement between citizens and service providers to foster communication and accountability.
Objective 4 - Iraqi Change Agent Support
RESULT 4.1 - ENHANCE CAPACITY OF CHANGE AGENTS.
ACTIVITIES
4.1.1 METRICS DEVELOPMENT FOR CHANGE AGENTS.
Change agents will be empowered to improve the provision of essential services like water,
electricity and SWM. Change agents provide the crucial element of sustainability for the systems and
the procedures that IGPA/Takamul puts in place. Change agents are identified through the full range
of IGPA/Takamul’s activities in the other three Objectives and are selected according to criteria
developed by the project.
Change agents need metrics to measure progress and change. Measurement and reporting allows
operating units to understand if stakeholders have implemented the change as intended and make
course corrections where needed. Evaluation and monitoring must continue post-implementation to
ensure the organization does not lapse into old behavior. IGPA/Takamul will conduct surveys,
workshop sessions, and external expert researches to assess the impact of the change process upon
service delivery related to the change agent’s area of impact.
KRI – Will be conducted as described in KRI.
OUTPUTS – Key Performance Indicators (KPI) established. Monitoring and evaluation process in
place.
RESOURCE REQUIREMENTS – Project staff.
OUTCOMES – Change agents are provided with KPI that identify the current state (baseline) and
memorialize progress towards the provision of essential services such as water, electricity and
SWM. Institutional performance assessed to determine influence of change agents and other project
or non-project related interventions.
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RESULT 4.2 - ENHANCE CAPACITY OF WOMEN AND
VULNERABLE POPULATIONS TO REPRESENT THEIR NEEDS
WITHIN GOVERNMENT DECISION-MAKING PROCESSES
ACTIVITIES
4.2.1 WOMEN’S LEADERSHIP AND DIVERSITY MANAGEMENT FOR IMPROVED
SERVICE DELIVERY (WELEAD)
IGPA/Takamul plans to develop a pilot Women’s Leadership and Diversity Management for
Improved Service Delivery in Iraq (WeLEAD).15 WeLEAD is proposed activity that will comprise
two key parallel elements: 1) women’s leadership develop for service delivery and 2) workplace
diversity development for service sectors. It will target service delivery providers in Erbil, Iraq. The
women’s leadership development program will be a four-month part-time development curriculum,
which will enhance women’s leadership skills and guide them through a process of applying those
skills for the development of services delivery initiatives that target women and girls. The workplace
diversity and inclusion program will work with senior managers and HR employees through a one-
month part-time curriculum (two full days) that will focus on developing a workplace culture that
gives women leaders the opportunity to consistently apply their skills in the service delivery sector.
In the remainder of Year 2, IGPA will develop a complete curriculum, recruit and train trainers,
conduct a first round of the diversity and inclusion training, and conduct pilot abbreviated trainings
for women leaders. The full leadership curriculum will commence in Year 3. The program will be
undertaken in partnership with IGPA subcontractor Gender Resources, Inc., and the Kurdistan
Institute for Public Administration (KIPA), which is responsible for the training of all government
staff in the KRI.
KRI – This is a KRI-only activity.
OUTPUTS – The WeLEAD pilot16 in Erbil will graduate approximately 89 women leaders and 105
male and female senior managers and HR professionals. It will produce approximately 25 participant-
designed women’s service delivery initiatives and three workplace diversity initiatives.
RESOURCE REQUIREMENTS – Multiple additional project staff and STTA (GRI)
OUTCOMES – A new cohort of women leaders have the skills and opportunity to represent the
needs of women and girls in government decision-making and enhance the targeting of capital
investment spending in service delivery sectors that serve vulnerable and disadvantaged populations.
15 IGPA/Takamul is preparing to propose this activity under CLIN5 (Task Order). 16 As WeLead is a proposed activity, subject to discussion and approval by USAID, these outputs are
illustrative, based on information gathered as of November 2018.
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Annex 1: Illustrative High-Impact Priority
Projects (HIPP)
Per IGPA/Takamul’s contractual obligations as stated under Section C.2.4.e, the project will maintain
dual workstreams. This section is intended to provide illustrative examples of High Impact Priority
Projects in a number of areas.
TAWASUL MOBILE CITIZEN COMPLAINT DESK
A key challenge to service delivery in rural areas is the lack of a physical presence for service
delivery. This forces residents to travel long distances to obtain services, especially water for their
households. Trash management is a major issue in rural areas, and, due to the lack of large trash
containers and limited to no trash collection, trash accumulation has become unbearable. To address
this issue, IGPA/Takamul established a mobile service delivery response team in Babil called
“Tawasul” (Communication in Arabic). Tawasul brings together key Babil government and civil
society representatives to receive and address citizen complaints. Due to the success of Tawasul
during year one and requests from Babil community (both government and citizens) to continue its
progress, Tawasul will expand its work into year two.
FLEET MANAGEMENT SYSTEM
Previously, neither the Baghdad Municipalities Directorate and Baghdad Water Directorates had an
established system for effectively tracking and managing their machinery and trucks. This negatively
impacted service provision, with drivers following inefficient routes and wasting limited
resources. IGPA/Takamul worked with these directorates to improve resource management. The
project hired a vendor to supply, install, and test GPS devices for 400 Municipalities Directorate
vehicles and 200 Water Directorate vehicles. The vendor also trained staff on using the new
technology. These GPS devices will allow the directorates to monitor mileage and fuel consumption,
using this information to optimize efficient service provision and reduce misuse of government
vehicles. IGPA/Takamul will also work with the directorates to assess and better organize truck
routes, based off the baseline assessments of the existing routes from the GPS tracking devices.
Once this activity is completed, IGPA/Takamul can use the lessons learned and replicate this success
during year two in other provinces to improve the efficiency of service provision and provide
broader coverage to their citizens.
WATER PROGRAM MANAGEMENT UNIT (PMU)
1. Water Education - Develop a work plan for educating the public on water issues. There are
several models out there, including WaterIQ in Texas. Other examples exist all over the world.
The water agencies should be involved and possibly take the lead with support from USAID/DAI.
Activities could include seminars with CSOs and government agencies which could be
videotaped for further distribution. Universities could also play a key role in organizing these
meetings.
2. Water Quality - Water quality standards for public water supply systems need to be revisited
and enforcement of those standards eventually promised to the Iraqi people.
3. Water Testing – In conjunction with CSOs, work to ensure operators in testing labs have
adequate training, so that operators and the public can be confident that water going into supply
42
meets the national standards. Review will be conducted initially, to see how deficient current
water testing is, and why. Training for WTP operators and lab technicians will be developed.
4. Wastewater: Similar to the situation with water treatment, the existence and effectiveness of
wastewater treatment infrastructure should be assessed.
5. Mainstreaming Gender: Determine if there are more meaningful roles for women at each of
the water agencies, particularly in the area of water supply planning.
SOLID WASTE MANAGEMENT TRASH COLLECTION CAMPAIGNS
1. In selected provinces, assist municipality directorates in preparing a maintenance plan for trash
collection trucks.
2. In selected provinces, assist water directorate prepare a maintenance plan for the water
network to ensure the flow of water.
GENDER MAINSTREAMING
1. Orientation for Newly Elected Women Provincial Councilors
IGPA/Takamul would hold orientation workshops and on-going mentoring for women provincial
councilors from each of the 18 provincial councils in Baghdad and Erbil. The orientations would be a
five-day training program and would familiarize candidates with their roles and responsibilities as
provincial councilors, develop a plan to establish their offices and commence their duties, and build
inter-provincial networks.
2. WELEAD
IGPA/Takamul will propose to implement a pilot Women’s Leadership and Diversity
Management for Improved Service Delivery in Iraq (WeLEAD). WeLEAD is an activity comprising
two key parallel elements: 1) women’s leadership develop for service delivery and 2) workplace
diversity development for service sectors. It will target service delivery providers in Erbil, Iraq. The
women’s leadership development program is a four-month part-time development curriculum, that
will enhance women’s leadership skills and guide them through a process of applying those skills for
the development of services delivery initiatives that target women and girls. The workplace diversity
and inclusion program works with senior managers and HR employees through a one-month part-
time curriculum (two full days) that focuses developing a workplace culture that gives women
leaders the opportunity to consistently apply their skills in the service delivery sector. The program
will be undertaken in partnership with IGPA/Takamul subcontractor Gender Resources, Inc., and the
Kurdistan Institute for Public Administration (KIPA), which is responsible for the training of all
government staff in the KRI.
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Annex 2: IGPA/Takamul Operational Context
and Complexity Aware Monitoring: Year Two
Work Plan
CONTEXT AND CHALLENGES
IGPA/Takamul’s year two work plan strategy includes the integration of a ‘top-down’ approach
which focuses on central government functions such as the development of national laws, national
development strategies, budget, revenue, expenditure. This is combined with a ‘bottom-up’ approach
which focuses on provincial and local government functions such as service delivery, citizen
engagement, monitoring and evaluation of service delivery, planning, revenue mobilization,
procurement, budget formulation and execution. The “bottom up” approach necessitates
engagement between CSOs and their local governments. The project accordingly empowers civil
society to fill the gap between government institutions and bureaucracies and citizens’ demands,
providing mechanisms to facilitate citizens’ inputs and government response. IGPA/Takamul will build
CSO capacity to collaborate with provincial governments in planning, budgeting, monitoring, and
evaluating services as a ‘bottom up’ approach to encourage communities to voice their priorities to
their provincial institutions.
Accordingly, this approach’s success depends on governmental institutions’ stability at both the
central and more local levels. The success of this approach is also dependent on sound
implementation of the decentralization process, a stable security situation, and effective political
reform that addresses under-performing bureaucracies, corruption, and partisan intervention.
At the time of this work plan’s development, Iraq remains very much in the grip of the May 2018
national election aftermath and without a clear path to new government formation. While the issues
of inadequate service delivery were a major theme in the elections, the ensuing political paralysis has
meant that these issues remain largely unresolved. This has deepened political discontent, resulting
in large scale demonstrations in much of Iraq.
Beyond the immediate political questions, the future of decentralization is also at stake. While
IGPA/Takamul is not a decentralization project per se, it relies heavily on decentralization as an
important tool for pushing down service delivery decisions to a more local level. The underlying
theory is that local decision makers are better placed to understand local needs so that decisions
about services are better informed about local needs and resourcing them reflect a broad political
consensus. While no one expects decentralization to disappear completely as a government policy
(it is still enshrined in Iraqi law and in the Constitution), it remains unproven as a theory for
improving services in Iraq, a rentier state which has long relied upon a heavily centralized form of
government which has historically sought to monopolize decision-making. Without sustained
support from the center, it is unclear to what extent the project will be able to utilize
decentralization as a continued tool for improving services.
Compounding further the still unresolved question of who will govern Iraq at the national level is the
issue of provincial elections. These were originally intended to be held concomitantly with
parliamentary elections. These are now scheduled to be held in December 2018. However, as of the
publication of the work plan, the general consensus is that provincial elections will be postponed
until April or May 2019.
IGPA/Takamul adopted several measures and best practices throughout its year one work plan
implementation to be responsive Iraq’s fluid and changing political and governance context. For
example, the project aimed to work at the provincial level to help the Iraqi government deliver
44
better services, but to do so the political uncertainty required an adjustment in strategy, activity
design, and implementation. IGPA/Takamul has thus intensified its efforts to work with institutions
which are likely to be able to withstand any change in government to mitigate the impact of the likely
turnover in senior personnel due to the national elections, starting with the governors in most
provinces. As a result, the project continued its support and focus of effort with the Administrative
and Financial Affairs Directorates (AFADs) which were instituted through USAID assistance and
remain one of the main resources available to make provincial governments continue to function, at
least in terms of decentralized ministries. In addition, the project has intensified efforts its work with
civil society organizations. Taking advantage of the tradition of civil society or voluntary
organizations in Iraq, IGPA/Takamul worked closely with them to maintain a focus on oversight and
accountability, improved service delivery, and providing a bridge between the government and its
constituents.
Building on these best practices and lessons learned, the following sections provide a brief overview
of major factors and dynamics predicted to pose challenges and risks, impact the project’s
implementation, and might require a change in strategy.
LACK OF PUBLIC TRUST
The impact and consequences of the controversial National Elections of May 2018 will continue to
dominate Iraq’s context during the first half, if not the whole of 2019. The delayed government
formation will affect the schedules to hold the provincial elections. It will also prolong the political,
economic, and security crises besetting the country and further decrease Iraq’s already perilous
ability to provide services to its citizens.
Iraqis had high expectations for the outcome of the National Elections; hoping for a non-sectarian
government that would launch economic and development projects in post-Da’esh Iraq. However,
political fragmentation continues to exacerbate the daily challenges of ordinary Iraqis, sowing
disappointment and distrust in the ability of the current political establishment to provide practical
solutions. In addition to the political fragmentation, rivalries among legislative, executive, and
judiciary institutions have politicized interpretations of the foundational legal framework, such as the
constitutional articles and elections laws. This has further alienated the public from the ruling parties
and government institutions and decreased domestic legitimacy. Frustrated by perceived inaction,
citizens took to the streets in Karbala, Najaf, Babil, Diyala, Wasit, and Basrah to protest the
deterioration of services. The demonstrations in Basrah have developed to create a critical crisis,
with the Iraqi Security Forces’ (ISF) excessive use of force resulting in the demonstrations’ shift to
violence. Government inaction further instigated public anger and deepened their distrust in the
government’s ability to manage Iraq’s challenges.
Public distrust and anger pose a risk and challenge IGPA/Takamul’s programing and implementation.
Continuous and sporadic demonstrations are predicted to evolve throughout 2019, which will
jeopardize the work of the provincial government and further delay service delivery improvements.
In addition, ISF’s lack of proper trainings and expertise in dealing with civil unrest and peaceful
demonstrations resulted in excessive use of force, deaths, and injuries. For example, ISF practices
instigated further confrontations in Basrah, which led to burning of the Basrah PG and Municipality
Buildings. The angry public’s actions also resulted in the destruction of the payroll and financial
records of Basrah’s AFAD This created an enormous pressure for IGPA/Takamul to recover the
records and work closely with AFAD personnel to assist them to deliver public salaries in Basrah on
time, lest a delay create another wave of demonstrations. Thus, IGPA/Takamul faces the risk of a
repeated context, whereby public anger against the government inaction leads to public unrest,
demonstrations, and violent activities.
45
SEVERE INTRA-GROUP RIVALRY
Political rivalries among and within Sunni, Shia, and Kurdish political parties were the main source of
Iraq’s political impasse. This fragmentation has made creating viable alliances able to deal with Iraq’s
manifold crises ever more difficult and has prompted politicians to resort to sectarian and ethnically
based politics that have dominated Iraq since 2003. Looking forward, few Iraqis see cause for
optimism as the electoral impasse continues and the formation of a new government remains
elusive. Perhaps even more importantly, Iraqis do not see solutions for the severe problems of
services, upon which politicians campaigned in the run up to the election, anywhere on the horizon.
Each of the rival parties, especially within the ruling Shia lists, control two or more of the federal and
provincial governments’ institutions. They therefore can move, direct, and exploit these institutions
based on their political calculations. Analysts agree that the current political stalemate is a
manifestation of this severe intra-group conflict within the Shia bloc, as the major Shia lists, e.g.,
Hakim’s Hikma, Amiri’s PMFs/Hashed Fatih, and Sadr’s Sayroon lists, are consolidating their efforts
to deny the Dawa party the premiership position. Dawa uses its control of the various parts of the
Government of Iraq’s (GOI) institutions to delay or expedite the process of government formation,
based on narrow political calculations centered primarily around improving the chances of PM Abadi
returning to power for a second term.
In brief, the complicated outcomes of the National Elections in May 2018 have added to the political
uncertainty; strengthened the intra-political rivalry; deepened parties’ control of state institutions;
and distorted the legal foundation of the Iraqi political system. These dynamics have kept the
provincial governments and councils paralyzed in the current political impasse and have contributed
to the deterioration of service delivery in diverse areas, including electricity, water, and health.
IGPA/Takamul faces the risk of such dynamics continuing, resulting in delays to critically needed
service delivery projects and other crucial decisions pending a resolution of the political situation.
UNSTABLE AND FLUID OPERATIONAL CONTEXT
Iraq has faced a rocky path since the liberation of its major cities from Da’esh occupation. The GOI
missed the opportunity to capitalize on the public enthusiasm after defeating Da’esh and Iraqis’
newfound trust in their politicians to steer the country away from sectarian policies towards the
implementation of the anti-corruption campaign, economic development, and service delivery
focused programs. The political uncertainty and fragmentation, polarization, unstable legal
framework and politicization of the judiciary and governance institutions have contributed to
unstable national policies and stalled PGs. The southern provinces are divided among key power
bases, while the Sunni newly liberated areas are still in shambles, and the KRG is moving in a
different direction; trying to shield the KRG’s progress attained thus far from the impact of the
deterioration in the rest of the country. This context has created disparity in Iraq’s political,
economic security, and development sector and blurred the line between politics and governance.
Hence, decisions to use power, advance governance policies, or achieve consensus have been based
on political calculations rather than real efforts to reach solutions to Iraqis’ demands for better
service delivery and governance policies. This has created an extremely unstable operational context
for IGPA/Takamul.
The seesaw of the Iraqi politics affects government officials, bureaucrats, and institutions. The rapid
changes in institutions’ policies and personnel, and sudden changes in provincial institutions, deprives
IGPA/Takamul from long-term strategic planning for programming. Furthermore, the stakeholders
and partners, with whom IGPA/Takamul has invested considerable time and effort to cultivate
relations and build an understanding of the project, are often replaced. The fluctuations in legal
interpretations of fundamental constitutional articles, laws, and regulations that provide the
framework for the decentralization process based on the status and power of the adversarial also
46
pose another challenge affecting the operational framework for IGPA/Takamul. Uncertainties around
the new government formation process and the unknown nature of the coalition that will form the
new government will continue to pose as a risky operational context for IGPA/Takamul throughout
much of 2019.
PROVINCIAL ELECTIONS AND GOVERNANCE
While much of 2018 was dominated by the political impasse to hold or postpone the national
elections, a similar scenario is predicted to dominate Iraq at least during the first half of 2019. This
time, it will be over whether to hold or postpone the provincial elections. In other words, the
political uncertainty that impacted IGPA/Takamul’s year one work plan, will continue to dominate
the Iraqi context. As of developing the year two work plan, the political uncertainty is still about a
stalled government formation process, with more uncertainty over the now delayed provincial
elections (scheduled to be held at the same time as the national elections, but then postponed until
December 2018). Both issues directly affect provincial level governments and hinder tangible
progress in governance issues in a state with weak institutions like Iraq.
Uncertainty about the provincial elections stems from two factors. First, the lack of clarity about the
coalition that will form the new government, which will play a vital role in deciding the nature of the
coalitions and candidates for provincial elections. Second, the uncertainty about the ability of the
Iraqi parties to meet the constitutional timeline and form the government before October 2018. The
fluctuation about these dates adds to the uncertainty about whether the provincial elections will be
held on time. Such complicated political calculations amidst deep party fragmentations hinder
proactive implementation of government projects to develop various services, especially electricity
and water, because any move can cost the political party or candidate national positions or
provincial loss.
IMPLEMENTATION STRATEGY
The following sections will illustrate how IGPA/Takamul will account for the challenges and risks
explained in the aforementioned sections, and the tools the project will adopt to address such
threats, challenges, and difficulties.
FOUNDATIONAL ASSUMPTIONS AND HYPOTHESIS
Political complications, extreme deterioration in service delivery, and subsequent public
demonstrations stemming from underperforming government entities, support IGPA/Takamul’s logic
underlying its activities and strengthen their importance and impact. Underpinning IGPA/Takamul
project logic is the following USAID development hypothesis:
IF Iraqi Government service delivery capacities are enhanced, PFM is improved, monitoring and
oversight of service delivery and public expenditures are strengthened, and key champions for
change in Iraq are supported, THEN the government’s response to its citizens’ needs will be
improved at the local and national levels.
In addition to IGPA/Takamul’s hypothesis and foundational assumptions, the project’s
implementation strategy utilizes the problem-driven iterative adaptation (PDIA) approach to enhance
the project’s capability of coping with Iraq’s fluid and unstable political climate. IGPA/Takamul does
this by implementing activities with long term technical impact and short-term improvements to PG
capacity.
This approach is rooted in IGPA/Takamul’s understanding that to make an impact in a fragile state
like Iraq, IGPA/Takamul must rapidly improve citizen access to critical services while simultaneously
building government capacity over a longer period in order to re-establish the social contract
47
between citizens and government. An understanding that is clearly manifested in the development of
the project’s work-plan for year two.
Objective Three Activities of (3.1.1): Implement APs for Civil Society Organizations (CSO), social
accountability groups (SAG), and Citizens Advisory Boards (CAB), and (3.1.2): Strengthening public
outreach and engagement provide a clear example of this approach. The overall strategy behind
these activities is aimed at engaging the CSOs and SAGs fully with Iraqi citizens and relevant Iraqi
institutions, to act as an effective conduit through which messaging flows between citizens and the
government. In addition, the aim is to improve the CSOs and SAGs’ functionality whereby they can
effectively identify citizen service priorities and ensure these priorities are taken into consideration
as part of the planning and budgeting process.
CONFLICT SENSITIVITY AND IGPA/TAKAMUL PROGRAMMING
IGPA/Takamul adopted an agile implementing strategy mainstreaming the principle of “Do No
Harm” throughout activity design, plan, and implementation. Thus, while IGPA/Takamul’s core
activities are related to technical expertise and capacity building of the PGs, the project will continue
to operationalize the notion of maximizing the positive impact of its activities. IGPA/Takamul will do
that by expanding activities whenever possible beyond its six target provinces to Iraq’s various
provinces and regions that are still suffering from protracted conflicts and disparities. For example,
Iraq still faces the impact of Da’esh sleeper cells possessing the capability to wage terrorist attacks;
rapid conflict escalation, targeting various communities; the shallow nature of GOI’s national
reconciliation efforts; and conflicts’ variability in nature, intensity, history, and possible future
solutions from one province to another.
In 2019, Iraq will still suffer from the same conflict dynamics that jeopardized its political process,
governance policies, and social development throughout much of 2018. As a fragile state, Iraq’s main
challenges are Da’esh sleeper cells, political fragmentation, electoral fraud, protracted conflicts’
impact on service delivery, and tribal conflicts. Consequently, IGPA/Takamul will continue to
streamline the notion of acting with a conflict-sensitive lens, i.e. mainstreaming conflict sensitivity
throughout project interventions. To transform these abstract notions into practical implementation,
the project has developed a framework to track and respond to conflict sensitivity indicators since
year one. This begins with the project’s unified format for activity scopes of work (SOW) through
which IGPA/Takamul’s technical teams build in practical measures to include CSA considerations in
IGPA/Takamul’s programming. The CSA considerations have been developed to cover the rest of
activity phases through an in-house integration process among the following three related units:
Political Economy Analysis (PEA), Monitoring & Evaluation (M&E), and Communications.
COMPLEXITY- AWARE MONITORING (CAM)
The following section describes the development and use of the Complexity Aware Monitoring
(CAM) evaluation approach to meet IGPA/Takamul’s accountability and learning requirements during
Year 1 and plans to meet CAM evaluation requirements in year 2. This section will include the
following sub-sections:
1. IGPA/Takamul and Complexity Aware Monitoring Objectives
2. IGPA/Takamul and the Application of Complexity Aware Monitoring Evaluation:
a. Context Monitoring Tools
b. Complexity Monitoring Five Approaches
48
1. IGPA/Takamul and Complexity Aware Monitoring Objectives
CAM can be briefly defined as the method to unpack non-linear causal paths between program
intervention and program outcomes for those programs operating in complex systems and contexts.
Complex systems and contexts mean simply that the program operational context includes factors
that can operate independently of each yet combine to create an outcome which cannot be
predicted from the outset. This is true even if each factor by itself could be considered, in
accordance with complexity theory, either simple or complicated. This implies that program results
and outcomes may well be different from those initially intended. Thus, CAM identifies clusters of
outcomes to which the program has contributed, within program areas of change.17
As explained in the risk assessment sections, the operational context of IGPA/Takamul in Iraq is
complex with layers of complicated variables and complex dynamics. In such a complex context,
there is rarely a one-size-fits-all intervention that yields the same outcome and impact in all
institutions, provinces, or regions. For example, a training for the Administrative and Financial Affairs
Directorate (AFAD) training in Basrah will not yield the same impact and outcome as it is delivered
for AFAD in Anbar or for the financial department in Erbil. On one hand, AFAD in Anbar had just
been established, and the agency still needs to build the staff, introduce the mandate, and obtain the
federal government approval. The Erbil Governor’s Office, on the other hand, has a different
structure and has not been introduced to the AFADs that have been established in the south for
three years now. CAM, therefore, needs to understand how various aspects of IGPA/Takamul
interventions work and impact diverse Iraqi contexts. These complex contexts can be geographical,
such as the different outcomes of IGPA/Takamul’s trainings conducted in Erbil and that in Basrah for
the same type of bureaucrats. These complex contexts can be institutional and systematic as well,
e.g., IGPA/Takamul’s different capacity building impact on the governance and institutions of the
Kurdistan Regional Government (KRG), or Baghdad versus those in the newly liberated areas.
The CAM evaluation compares the outcome trajectories of IGPA/Takamul with program underlying
causal premises and how program implementation adapts accordingly. The approach aims to
empower IGPA/Takamul’s objectives leads and staff with the tools to understand how their
interventions are working to reach larger numbers of beneficiaries, influence broader systems, and
develop deeper and more sustainable influence. CAM also aims to identify and learn which parts of
the program are working and have the potential, if supported and scaled, to make a bigger
difference, and communicate them to the technical team. In addition, CAM evaluation addresses
USAID’s requirements for operational studies to address future programming needs to design
effective interventions in Iraq’s complex context.
2. IGPA/Takamul and the Application of the Complexity Aware Monitoring Evaluation
IGPA/Takamul uses an integrated approach in accounting and applying CAM evaluation. The
evaluation depends on the inputs of the political economy (PEA) and conflict sensitivity analyses
(CSA) provided by the Political Economy and Complexity Aware Unit (PEACAMU). The unit will be
established within the program organization chart18 to work in cooperation with the project’s M&E
and Communications units.
The performance-based M&E concentrates on establishing the worth of program interventions in
terms of output, participation, ability to transfer know-how and best practices to the stakeholder
and beneficiaries. Communications, on the other hand, focuses on communicating the impact of the
17 Astbury, Brad, and Frans L. Leeuw. "Unpacking black boxes: mechanisms and theory building in evaluation." American
journal of evaluation 31, no. 3 (2010): 363-381.
https://pdfs.semanticscholar.org/2097/836b832fe93938565ae987d89e17fd7f64ef.pdf 18 The IGPA/Takamul program organizational chart is attached as Annex to this Work Plan.
49
program interventions to a wider audience on the national level. The PEACAMU, in turn, explains
the subtle and nuanced dynamics underling the activities and interventions, accounting for the
complex and non-linear causal paths between program intervention and program outcome.
The implementation of IGPA/Takamul utilizes Problem-Driven Iterative Adaptation (PDIA) approach
which incorporates adaptive management into program implementation. At its heart is a complexity-
aware planning cycle, which, as mentioned in above, draws from the PEA, and CSA, and integrates
with M&E and COM. According to USAID updated note on CAM and Program Cycle Operational
Policy in August 2018, the combination of PEA, CSA, and CAM analyses and evaluation conclude a
Context Monitoring (CM), which is “the systematic collection of information about conditions and
external factors relevant to the implementation and performance of an operating units (OU’s)
strategy, projects, and activities.”19
Similar to year 1, IGPA/Takamul will adopt the following tools and approaches to account for the
CAM and inform the program implementation and evaluation in year 2. These combined approaches
provide a nuanced political and technical understanding of governance issues and system process
thinking to facilitate adaptive activity implementation in a complex environment such as Iraq.
Accordingly, IGPA/Takamul’s CAM deploys the following approaches in year 2:20
1. Context Monitoring (CM) Tools
A. Foundational Activity PEA: For year 1, IGPA/Takamul submitted a national level PEA at the
beginning of program implementation with data gathered from Iraq’s 18 provinces. The study
was a guiding document, mapping out the operational context in Iraq and the selected six
provinces, accounting for the interaction among political, governance, and economic
dynamics on the national and provincial levels.21 For year 2, IGPA/Takamul will conduct two
ad-hoc PEAs; a) Post-election PEA: to account for the post-election dynamics and
complications and their impact on service delivery, and b) The Political Economy of the
Ninewa Plains: to address the complexities of the political economy dynamics affecting the
faith-based communities in the Ninewa Plains.
B. Foundational Conflict Sensitivity Analysis (CSA): For year 1, IGPA/Takamul provided an
overall and comprehensive analysis of conflicts incentives, drivers, and types in each region
and six target provinces.22 For year 2, the program will provide an update CSA that will
account for the new conflict drivers and implications.
C. Weekly political reports (WPR): The IGPA/Takamul will continue submitting the weekly
political report to capture the main political, economic, and governance issues, and GOI’s
decisions emerging in Iraq. They explained the evolving context and political analysis of the
evolving context on a weekly basis.23
D. Ad-hoc political briefs on critical political developments, new legislation and amendments,
governance decisions, and economic policies in Iraq on national, provincial, and regional
levels. These short reports focus on the issues that impact IGPA/Takamul’s enabling
environment, objectives, and implementation. For example, this has included issues related
19 Updated USAID’s Program Cycle Operational Policy: https://www.usaid.gov/sites/default/files/documents/1870/201.pdf
p114-120; and Updated USAID note on Complexity Aware Monitoring July 2018:
https://usaidlearninglab.org/sites/default/files/resource/files/cleared_dn_complexity-aware_monitoring.pdf 20 Updated USAID note on Complexity Aware Monitoring July 2018:
https://usaidlearninglab.org/sites/default/files/resource/files/cleared_dn_complexity-aware_monitoring.pdf 21 IGPA/Takamul’s National and Provincial Level PEA was submitted in February 2018 and approved by USAID in May
2018. 22 IGPA/Takamul’s CSA was submitted in January 2018 and approved by USAID in February 2018. 23 Please refer to IGPA/Takamul’s weekly political report for samples of such reports.
50
to COR’s laws and amendments about the implementation of decentralization, GOI’s
policies and measures addressing public demands for better service delivery, and political
interactions that affect government formation.
E. Brief regional and provincial updates about issues of the newly liberated areas, religious
communities in the Ninewa Plains, and federal versus regional relations.
F. Short issue-based PEAs: In addition to the foundational activity PEA, IGPA/Takamul will
continue to produce an issue-based PEA that focuses on explaining and analyzing a specific
issue either in Iraq, as a whole, or in a specific province, e.g., the PEA of elections in the
newly liberated areas.
2. Complexity Aware Monitoring (CAM) Tools
a) Sentinel Indicators
In Iraq, political considerations dominate decision making about how resources are distributed. The
consequence has been an often-inequitable allocation of government resources leading to
marginalization of certain communities and overall insecurity. In addition, in a fragile state like Iraq,
government economic institutions are not genuinely independent and are subject to tactical political
decisions to reward or punish a particular community. Similarly, economic motivations permeate the
political environment, encouraging systematic corruption schemes, and resulting in public unrest and
calls for better services and accountable government institutions.
Working in this context, and similar to the approach in year 1, IGPA/Takamul will use sentinel proxy
indicators in year 2 as a flagging mechanism to inform project implementation ahead of time about
the implications of certain political or governance decisions, security developments, and social
trends.
In year 1, the project had identified certain aspects of the aforementioned issues as indicators with
possible integral implications on IGPA/Takamul’s operational environment and processes and
systems at the national and provincial levels.
The impact of the sentinel indicators was two-fold: a) concurrent impact; they influenced the project
during the implementation reporting period, or b) long-term impact; IGPA/Takamul anticipated their
early impact during the implementation reporting period, but their influence also continued beyond
the implementation period and over several reporting periods.
As an example of the important and impact of the sentinel indicators, IGPA/Takamul, based on its
continuous CM reporting, identified that the GoI modified its decentralization process to gradual
decentralization implementation contingent upon the PGs convening and conducting meetings in
their specific provinces for four months in a row and the ability of AFAD’s to conduct their mandate
at the GO. This is a prime example of the impact of using the sentinel indicators as a bellwether for
indicating that greater changes could occur within a complex system. The decision was a concurrent
sentinel indicator that the decentralization process will soon resume in the newly liberated areas of
which IGPA/Takamul works: Ninewa and Anbar. Accordingly, IGPA/Takamul’s Public Financial
Management (PFM) team adapted to this indicator and conducted a training for the AFADs of Salah
al-Din, Ninewa, and Anbar under work plan activity number 2.1.2 “Roll-out of AFAD training on
decentralized financial management system using Excel” to prepare these newly established units at
GOs to receive new authority, jurisdiction, and responsibilities prior to the actual decentralization
process in these areas. This training, which included MoF officials to promote central government
buy-in, worked to demonstrate to the GoI the serious measures these provinces are taking to prove
that they are ready for increased responsibility as part of the decentralization process.
51
In addition, the PFM team conducted coordination and joint workshops between Ninewa’s AFAD,
HCCPSec, and the MoF to facilitate the requirements to expedite the transfer of authority and
functions to the province. These authorities are critically needed to expedite the reconstruction and
rehabilitation projects. Identifying the sentinel indicator of GoI’s decentralization plans and
conditions, and IGPA/Takamul’s agile adaptation for such an indicator by conducting early trainings
and empowering the newly established AFADs with the required skills and capacity building trainings
led to success. IGPA/Takamul’s agile and adaptive intervention expedited GoI’s decision to launch
decentralization in Ninewa, improving the complex governance system in the province. As a result,
the HCCPSec issued an official letter in August 2018 approving the start of the decentralization
process in Ninewa ahead of GoI’s schedule.
For a comprehensive overview of all the sentinel indicators and their impact on IGPA/Takamul’s
implementation in year please refer to IGPA/Takamul’s Annual report-Annex 1: IGPA/Takamul’s
aggregated CAM sentinel indicators in 2018. The annex provides an aggregated study of all the
tracked concurrent and long-term impact sentinel indicators captured by IGPA/Takamul’s CAM
during the reporting period.
b) Outcome Evidencing
Outcome Evidencing is one of CAM’s tools that include Stakeholder Feedback, Process Monitoring
of Impact, and Outcome Harvesting (SFPMOH) approaches. The stakeholder feedback seeks diverse
perspectives of partners, beneficiaries, or those excluded from a project, about the program activity.
The process monitoring tracks predicted and emergent processes transforming outputs to results,
captures broad range results, and makes diverse perspectives explicit. Outcome harvesting works
backward to describe and verify contributions.
The overarching IGPA/Takamul’s theory of change is based on the premise that the program is a
primary vehicle for supporting the Iraqi Government to shore up fiscal stability while rapidly and
visibly improving service delivery in geographic focus areas. Because of the urgency—and the need
to demonstrate results within the context of the Iraqi budget cycle—interventions in the short-term
must necessarily be high-impact and high-visibility. Concurrently IGPA/Takamul must also strengthen
the Iraqi Government’s capacity and accelerate decentralization to provide for increasingly
responsive and accountable public sector functions that are sustainable.24 However, issues related to
measure the outcome of IGPA/Takamul’s technical intervention are often complex because the
program activities are conducted in partnership with the Iraqi institution or the civil society and
other stakeholders characterized by deep-rooted, complex, interrelated processes that operate
across and between different scales from regional, local, provincial to federal, and cannot be
understood by separating them out for analysis by single method.25 SFPMOH approaches are post-
activity qualitative indicators that IGPA/Takamul will utilize for several of its implemented activities.
Given the complexities of these systems and processes and the complicated nature of the technical
expertise provided for the Iraqi institutions, stakeholders, bureaucrats at different regional,
provincial, and federal levels, in addition to the fluctuating and evolving political and governance
situation throughout 2018, the implementation of the SFPMOH approach will be implemented in the
first quarter of 2019. Furthermore, the timeline also depends on the nature of the activity. For
example, if IGPA/Takamul establishes a new unit within the Governor’s Office, that unit will not be
immediately fully functional. It is more effective to conduct the focus group discussions (FGD) after
24 IGPA/Takamul Technical Proposal P 1 25 Davoudi, Simin, Jacek Zaucha, and Elizabeth Brooks. "Evolutionary resilience and complex lagoon systems." Integrated
environmental assessment and management 12, no. 4 (2016): 711-718.
https://setac.onlinelibrary.wiley.com/doi/epdf/10.1002/ieam.1823
52
six to eight months when the stakeholders – unit personnel, unit director, and the governor, are
able to evaluate the benefits once the unit is fully integrated into the rest of the institution.
The implementation of SFPMOH method is based on the notion that to trigger change in complex
systems it must support emerging patterns of positive outcomes resulting from program
intervention, and at the same time, dampen down changes detrimental to the program’s
beneficiaries.26 Accordingly, SFPMOH will be conducted in a form of sequential FGDs held about
specific technical activities provided by IGPA/Takamul throughout year one (Fiscal Year 2018).
Participants at these FGDs will vary from one activity to another, depending on the type of
intervention, technical expertise, and institution or agency. The overall SFPMOH discussion will be
guided by the following questions:
1. What types of outcomes is IGPA/Takamul contributing to?
2. Do these provide evidence that the overall program theory of change is credible, and how
do they help us understand why (or why not)?
However, tailored questions will be developed to capture the specificities, nature, and essence of
each specific activity, taking into consideration the specifics of the geographical differences - whether
the activity is implemented at the provincial, regional, or national level.
The data collected from the FGD discussions will be compiled in a unified CAM report about
SFPMOH indicators for the related activities. IGPA/Takamul has selected specific activities for the
SFPMOH indicators based on the nature of the activity that focus on system process impacts. As
mentioned, the timeline to conduct these SFPMOH FGD is the first quarter of 2019 concurrent with
M&E’s data collection of the performance indicators.
The preliminary structure and framework of the SFPMOH’s FGDs is based on Boru’s “Evaluating
complex interventions: A theory-driven realist-informed approach" methodology.27 It consists of the
following sequential steps:
Steps Description
Agree on evaluation questions
and use of evaluation results
Involves program staff agreeing on the evaluation
questions, e.g., what are the areas of change to which the
program is contributing, and how is it doing so?
Identify key areas of change Identify areas of change to which the program is
contributing, e.g., emerging socio-technical-bureaucratic
skills.
Identify and describe outcomes Identify and describe outcomes occurring within the
identified areas of change, e.g., AFAD preparing provincial
budget.
Identify outcome trajectories Evaluate the program theory of change, identifying the
patterns of change that the program is generating within
the areas of change.
Identify most significant
outcomes and critical linkages in
the outcomes
Identify the critical outcomes and linkages within outcome
trajectories upon which the program’s claim to have made
a contribution most depend.
26 Snowden, David. "Naturalizing sensemaking." Informed by knowledge: Expert performance in complex situations (2010): 223-
234. 27 Douthwaite, Boru, John Mayne, Cynthia McDougall, and Rodrigo Paz-Ybarnegaray. "Evaluating complex interventions: A
theory-driven realist-informed approach." Evaluation 23, no. 3 (2017): 294-311.
53
Critically reflect on who is
experiencing change, and who
isn’t
Involves analyzing outcome trajectories in terms of social
and gender equity, inclusion and power. It catalyzes,
supports, and modifies outcome trajectories to favor
poor, vulnerable, and marginalized groups, and correct the
course of and even curtail potentially harmful ones.
Identify immediate implications Identity outcome in the immediate
beneficiary/stakeholder/institution rather than the
system/or the whole process.
Plan and carry out
substantiation; analyze the
results
Provide sufficient information to plan and carry out the
substantiation of the outcome trajectories.
Analyze and use findings Analyze the findings from the substantiation to complete
the CAM/SFPMHO report. The IGPA/Takamul’s SFPMOH
is designed to be repeated annually or bi-annually to
inform its adaptive management.
Repeat Outcome Evidencing
cycle
Repeat the SFPMOH cycle annually, which allows
IGPA/Takamul to explore how the outcome trajectories
first identified have evolved and grown.
IGPA/Takamul’s PEACAMU selected the following activity for the SFPMOH’s FGDs. However, based
on further discussions with the Objectives leads and technical staff, PEACAMU may add additional
activities to be evaluated by the second half of 2019:
Obj. Activity Implementation
Date
FGD Date
First Quarter
of 2019
FGD participants
1 1.1.7 Service delivery
process improvement/
re-engineering for
water supply and solid
waste management,
including at least one
process each focusing
on women and
vulnerable population.
January 16-17,
2018
April 2019 Participants from Baghdad,
Qadisiya, and Wasit. This
activity will be replicated
in other provinces like
Anbar. Newly included
provinces will also be
targeted.
2 2.1.1 AFAD
introductory training
on decentralized
financial management
system.
November 26-29,
2017
April 2019 AFAD finance and
accounting staff from
Basrah, Babil, Baghdad,
and Anbar.
3 3.1.6 Development of
decentralization
communication plan
for HCCPSec
March 18, 2018 April 2019 Participants from the PG,
water and municipality
directorates in Baghdad,
Basrah, Babil.
54
Annex 3: Work Plan Outcomes, Activities, and Timeline (non-KRI)
No. ACTIVITIES OUTCOMES Proposed
Location
YEAR 2 BY QUARTER
1 2 3 4
OBJECTIVE 1: ENHANCE GOVERNMENT OF IRAQ (GOI) SERVICE DELIVERY CAPACITY
Result 1.1 Improve Service Delivery Outcomes in Sectors with High Impact/Visibility
1.1.1
Development of Assistance Packages (AP)
and agreement of memorandums of
understanding (MOU).
Utilities have been assessed for capacity to deliver essential
services (water, SWM) to the public; MOU formalizes SOW
to jointly improve essential services; consumers perceive
improvements in essential services.
Anbar,
Baghdad, Babil,
Basrah, Ninewa
1.1.1.i Conduct PEA Report that describes political context of utility operations,
noting both Federal as well as Provincial drivers and priorities
1.1.1.ii Produce stakeholder mapping
Report that traces the chain-of-command from top (Ministry)
to bottom (utility) and notes statutory authorities,
responsibilities
1.1.1.iii Produce Profile of sponsoring utility in
preparation for first visit
Report that includes legal authorities (laws), budget details,
existing relationships with CSOs, SAGs, USAID (previous
programs) and other donors (WB, UNICEF, etc.)
1.1.1.iv Initial discussions to identify sponsor
Most discussions will likely start in Provincial Governor’s
office, and ultimately conclude with Director General of utility
(Department, Directorate or SOE).
1.1.1.v In-depth discussions with sponsor
Report on meeting, covering: situational awareness
(capabilities) and baseline characteristics; definition of what
success will look like; discussion of what IGPA “menu” of
offerings (including technical STTA, training, public outreach
campaigns, etc.)
1.1.1.vi Gap analysis Report that identifies gaps and prioritizes actions/solutions,
notes risks/dependencies, and establishes timetables.
1.1.1.vii Consensus building SOW agreed and approved by beneficiaries and USAID; MOU
between sponsor at appropriate institutional level and USAID
1.1.1.viii IGPA project manager (provincial
coordinator)
Provide ongoing visibility to IGPA/Takamul and facilitate
contact with consumers to raise awareness about progress;
coordinate with Objective leads; manage on-site STTAs, staff
and subcontractors; QC; generate progress reports to USAID
55
No. ACTIVITIES OUTCOMES Proposed
Location
YEAR 2 BY QUARTER
1 2 3 4
1.1.2 Implement Assistance Packages (AP) for
utilities
Improved delivery of essential services by the utility (water,
SWM) and improved perception of essential service
Institutional performance improved at GOI Institutions
(federal and local) leading to fulfillment of respective roles in
the process of delivering essential, decentralized services in a
sustainable, inclusive manner.
Anbar
Babil, Baghdad,
Basrah, Ninewa
1.1.2.i Initial AP implemented by end of Year 2 Outcomes will be customized for each utility; each AP will
clearly state outcomes and timetables.
Baghdad,
Basrah
1.1.2.ii Initial AP implemented by end of Year 2 Outcomes will be customized for each utility; each AP will
clearly state outcomes and timetables.
Anbar, Babil,
Ninewa
1.1.3 Development of sectoral development
plan for water and SWM
The processes required to ensure delivery of essential
services are planned in accordance with Iraqi priorities and are
linked with national sustainable development plans, capital
investment plans, medium term fiscal plans, and service
delivery objectives. Sectoral development plans are
institutionalized as part of the planning process at all levels.
The plans are developed in a coordinated approach between
the Iraqi government (both nationally and provincially), the
CSOs/Social Accountability Groups (SAGs), and the private
sector. Sector plans are standardized in terms of data and
format and optimized to support investment and budget
requirements.
Anbar,
Baghdad, Babil,
Basrah, Ninewa
1.1.3.i Establish baselines
Report that assesses current state of play for each utility
sector (water, SWM), identifying all existing plans from all
sources (including donors, notably WB, UNICEF, UNDP).
Baghdad
56
No. ACTIVITIES OUTCOMES Proposed
Location
YEAR 2 BY QUARTER
1 2 3 4
1.1.3.ii Organize workshops for stakeholder input Publish workshop proceedings and recommendations;
publicize events in official websites, social media
Anbar, Babil,
Baghdad,
Basrah, Ninewa
1.1.3.ii.a Federal plus Provincial Governors (in
Baghdad)
Report that summarizes workshop proceedings and
recommendations; publicize events in official websites, social
media
Baghdad
1.1.3.ii.b
Hosted by Provincial Governors (in
capitals) as forum for CSOs, SAGs and the
private sector
Report that summarizes workshop proceedings and
recommendations; publicize events in official websites, social
media
Anbar, Babil,
Baghdad,
Basrah, Ninewa
1.1.3.iii
Assist Provincial and Federal Ministries to
prepare sector plans (future state 2019-
2024)
Reports that can guide the development of each sector,
provide redress to disparities (social, geographic) and
strengthen support for adequate internal funding (federal, user
fees, PPP) as well as external sources (WB, ADB, other IFIs)
Baghdad
1.1.4 Improvement of the Provincial Public
Procurement System.
The processes associated with the execution of budgets and
procurement of goods and services are improved. Timeliness
and efficiency of the procurement process is improved leading
to expedited delivery of essential services. The private sector
is enabled and actively participating as suppliers. The process is
simplified, more transparent and accountable leading to
decreased potential for corruption. Public procurement laws
and regulations are functioning in a streamlined and simplified
manner that is both transparent and accountable.
Anbar,
Baghdad, Babil,
Basrah, Dhi
Qar, Ninewa
1.1.5 Basrah Water Program Management Unit
The facilitation of a coordinated regional and national plan to
deal with the water crisis. IGPA support to a coordination
body (if established) which will improve communications
between the relevant elements of the Iraqi Government and
the donor community, including IGPA/Takamul.
Basrah
57
No. ACTIVITIES OUTCOMES Proposed
Location
YEAR 2 BY QUARTER
1 2 3 4
Result 1.2 Strengthen the strategic approach and capacity of the ministries and provincial directorates to better align service delivery outcomes with the
priorities of provincial governments and local populations.
1.2.1
Facilitate long-term sustainability of
Assistance Packages (for utilities) by direct
support and advocacy at all “upstream”
political institutions: High Commission for
Coordinating Among Provinces (HCCP),
Performance Evaluation Department
(PED), Provincial Women’s Empowerment
Departments (PWEDs); Provincial
Executive Council (PEC); and Provincial
Council (PC).
A Concept Note is prepared for each named GOI institution
as the basis upon which a relevant AP may follow. At a
minimum, IGPA will identify a suitable sponsor, conduct PEA
and highlight opportunities for interventions that have the best
chances for improving delivery of essential utility services).
Recommendations will be made to GOI so that:
(1) Institutions are organized functionally and have the capacity
to fulfill their respective roles in the process of delivering
essential, decentralized services in a sustainable manner; (2)
Provincial Council (PC) is unified and monitoring role over
service delivery enhanced; (3) Provincial Women’s
Empowerment Departments have integrated role in planning
process.
Anbar, Babil,
Baghdad,
Basrah, Ninewa
1.2.1.i Workstream1: Identify & Implement High-
Impact Priority Projects (HIPP)
IGPA/Takamul will respond to unique opportunities for
change to 1) support fiscal and social stabilization, 2) create
momentum for capacity development activities under
Workstream 2, and 3) support Iraqi change agents.
Workstream 1 interventions will focus on the rapid
achievement and communication of results that are high-
impact, of high priority for citizens, and highly visible (which
will also make them more likely to be replicated elsewhere).
These HIPPs will be implemented by providing critical
technical assistance and/or awarding subcontracts. HIPPs will
tap into existing constituencies that are ready for action.
1.2.1.ii Workstream 2: Address systemic issues
HIPPs that directly improve delivery of utility services or close
the gap in services to women, youth or vulnerable populations
will be advanced as a Concept Note for consideration as a
Special Assistance Package.
58
No. ACTIVITIES OUTCOMES Proposed
Location
YEAR 2 BY QUARTER
1 2 3 4
1.2.2
Development of secretariat function
within the HCCP to support coordination
activities.
IGPA/Takamul will provide advisor to HCCP as liaison with
relevant GOI institutions to facilitate their respective roles in
the process of delivering essential, decentralized services in a
sustainable manner. IGPA/Takamul advisor will provide
support to all APs to raise the visibility of provision of
essential services.
Baghdad
1.2.3
Development of rapid action team to
provide training to newly-elected
Provincial government on decentralization
and service delivery.
Newly-elected officials are educated about essential services
and make support to utilities a priority (political, fiscal).
Anbar, Babil,
Baghdad,
Basrah, Ninewa
1.2.4 Support to the KRG’s Overall Reform
Initiative through its Xizmat Activity. See Annex 4: KRI Work Plan
1.3 Enhance regulatory and procedural certainty to attract private sector investment.
1.3.1
Laws, regulations and by-laws for utility
sectors are optimized to equitable
provision of services.
Laws, regulations and by-laws are in place that support the
decentralized organizations, activities, policies and procedures
related to the delivery of services. These include the
regulatory authorities required to support the efficient
delivery of services; the development of budgets; the
execution of budgets; procurement of goods and services; the
mobilization of domestic revenues; and the monitoring and
evaluation of related activities and outcomes. Regulatory and
procedural certainty enhanced through development or
amendment of laws that promote private sector participation.
Baghdad
1.3.1.i Assessment (baseline) &
Recommendations
Report that identifies existing laws, regulations and by-laws
relevant to the provision of essential utility services and makes
recommendations for improvement.
Baghdad
1.3.1.ii Workshop on Legal Barriers to Improved
Delivery of Utility Services
Workshop as forum for general public (CSO, SAG) and
private investors (PPP) to determine best way forward;
Recommendations to be presented to relevant Federal
Ministries for action.
Baghdad
59
No. ACTIVITIES OUTCOMES Proposed
Location
YEAR 2 BY QUARTER
1 2 3 4
1.3.2
Implementation of Public Private
Partnership (PPP) mechanism and
alternative financing opportunities in the
utility sector.
Private sector participation in the utility sector is enabled and
investment opportunities related to the delivery of essential
services are publicized and facilitated. A Public Private
Participation (PPP) process is in place and a pilot project is
identified. Provide support to advance at least one PPP as
template that can be replicated.
Baghdad,
Basrah
1.4 Enhance the targeting of capital investment spending in service delivery sectors that serve vulnerable and disadvantaged populations.
1.4.1 Community Development Fund for
Women and Vulnerable Populations
Improved capacity of government to identify and respond to
needs of vulnerable and disadvantaged populations
6 Pilot PWED
Provinces TBD
No. ACTIVITIES OUTCOMES Proposed
Location
YEAR 2 BY QUARTER
1 2 3 4
OBJECTIVE 2: IMPROVE PROVINCIAL AND NATIONAL GOVERNMENT PUBLIC FINANCIAL MANAGEMENT
2.1 Strengthen capacities of provincial offices and support their conversion into fully operational financial management offices.
2.1.1
Development of Assistance Packages (AP)
and agreement of Memorandums of
Understanding (MOU) – Administrative
and Financial Affairs Directorate (AFAD).
Institutions are organized functionally and have the capacity to
fulfill their respective roles in the process of delivering
essential, decentralized services in a sustainable manner.
Baghdad,
Basrah, Babil,
Anbar,
Ninewa, Erbil
2.1.2
Implement Assistance Packages (AP) for
the Administrative and Financial Affairs
Directorate (AFAD).
Institutions are organized functionally and have the capacity to
fulfill their respective roles in the process of delivering
essential, decentralized services in a sustainable manner. The
AFADs are functionally organized and producing sustainable
development plans that are supported by evidence-based
revenue and expenditure forecasts; budgets that are
performance based are developed.
Baghdad,
Basrah, Babil,
Anbar,
Ninewa, Erbil
2.1.3 Creation of Fixed Asset Registry.
Funding allocations are made in a timely fashion and aligned
with the budget requirements for essential service delivery.
GOI fixed assets effectively tracked to inform future capital
investment requirements.
2 pilot
provinces
2.1.4
Development of coordination mechanism
between the Ministry of Finance (MOF),
Ministry of Planning (MOP) and
Funding allocations are made in a timely fashion and aligned
with the budget requirements for essential service delivery.
Nationwide
60
No. ACTIVITIES OUTCOMES Proposed
Location
YEAR 2 BY QUARTER
1 2 3 4
Administrative and Financial Affairs
Directorate (AFAD).
2.2 Support the development of federal oversight mechanisms, such as financial audit procedures, of provincial finances.
2.2.1
Coordination of the Integrated Financial
Management Information System (IFMIS)
with the Provincial Public Financial
Management (PFM) system.
Funding allocations are made in a timely fashion and aligned
with the budget requirements for essential service delivery.
2 pilot
provinces and
MoF
2.2.2 Implementation of a Human Resource
Management (HRM) system. Reduced expenditure as a result of improved HRM system.
2 pilot
provinces
2.2.3
Develop the external and internal financial
and performance audit capacity for the
Board of Supreme Audit (BSA), Ministry of
Finance (MOF), Ministry of Planning (MOP)
and the Administrative and Finance
Administration Directorate (AFAD).
A system for both financial and performance audits is in place
that is in line with the requirements of the BSA and that is also
addressed through internal audit within the Administrative and
Financial Affairs Directorate (AFAD) and the Performance
Evaluation Department (PED). A system for both financial and
performance audits is in place that is in line with the
requirements of the BSA and that is also addressed through
internal audit within the Administrative and Financial Affairs
Directorate (AFAD) and the Performance Evaluation
Department (PED). Increased transparency, accountability and
reduced corruption. Basic gender auditing is introduced.
Baghdad,
Basrah, Babil,
Anbar,
Ninewa, Erbil,
MoF, FBSA
2.3 Enhance provincial revenue generation, collection and management from outside the oil sector.
2.3.1 Implementation of the Local Revenue Law. Local revenues are mobilized and administered in accordance
with international standards for tax administration.
Baghdad,
Basrah, Babil,
Anbar, Ninewa
2.3.2
Diversification of financing and potential
revenue streams through engagement with
the private sector.
The private sector is enabled and investing in opportunities
related to the delivery of essential services. A Public Private
Participation (PPP) process is in place and operating, building
the capability for effective privatization.
3 pilot
provinces
2.4 Enhance budget-cycle planning, development and execution against decentralized expenditure assignments.
61
No. ACTIVITIES OUTCOMES Proposed
Location
YEAR 2 BY QUARTER
1 2 3 4
2.4.1
Strengthening provincial budget
formulation and creation of debt
management function.
The Ministry of Finance, the Ministry of Planning, and the
AFADs are functionally organized and capable of producing
medium term (3-5 year) sustainable development plans that are
supported by evidence-based revenue and expenditure
forecasts; multiyear budgets that are performance based;
enhance revenue mobilization for local governments that
include allocations from the national budget and locally sourced
revenue; and financial reporting. Performance-based outcomes
for budgets are aligned with the needs of the Iraqi citizens and
focused on tangible, sustainable delivery of essential services.
Baghdad,
Basrah, Babil,
Anbar,
Ninewa, Erbil,
MoF, MoP
2.4.2
Support to the implementation of a
Treasury Single Account (TSA) and KRG
KDMS.
A system for a Treasury Single Account (TSA) is in place that
allows for the collection of national revenue to be separated
from the collection of local revenues. Bank accounts for local
governments are in place and functioning. Improved cash
management as a result of implementing Treasury Single
Account; increased funding to support service delivery.
MoF, MoP, 5
provinces
2.4.3 Gender Responsive Budgeting Pilot Improved government capacity to target spending to women
and vulnerable populations
TBD (Karbala?)
2.4.4 Build Capacity of Planning and Budgeting
Units at the Line Ministries and Provinces See Annex 4: KRI Work Plan
No. ACTIVITIES OUTCOMES Proposed
Location
YEAR 2 BY QUARTER
1 2 3 4
OBJECTIVE 3 - SERVICE DELIVERY AND PUBLIC EXPENDITURE MONITORING AND OVERSIGHT
3.1 Strengthen the capacity of selected provincial institutions to establish effective citizen participation and outreach mechanisms.
62
No. ACTIVITIES OUTCOMES Proposed
Location
YEAR 2 BY QUARTER
1 2 3 4
3.1.1
Implement assistance plans (AP) for Civil
Society Organizations (CSO), Social
Accountability Groups (SAG), and Citizens
Advisory Boards (CAB).
CSOs and SAGs are functionally organized and empowered to
provide effective oversight of decentralized service delivery.
CSOs and SAGs are engaged in all aspects of the program. Their
role is institutionalized both in law and in practice.
They are a fully engaged with Iraqi citizens and relevant Iraqi
institutions and act as an effective conduit through which
messaging flows between citizens and the Government.
Mechanisms are in place that ensure transparency and
accountability in the processes related to delivery of essential
services. As part of their oversight role, they ensure that the
government is responsive to citizen priorities.
CSOs and SAGs can identify the service priorities of citizens and
are effective in ensuring these priorities are taken into
consideration as part of the planning and budgeting process. The
information from CSOs and SAGs influences service delivery
decisions made by all levels of Iraqi government.
8 provinces
3.1.2 Strengthening public outreach and
engagement.
CSO’s are a fully engaged with Iraqi citizens and relevant Iraqi
institutions and act as an effective conduit through which
messaging flows between citizens and the Government.
CSOs and SAGs can identify the service priorities of citizens and
are effective in ensuring these priorities are taken into
consideration as part of the planning and budgeting process. The
information from CSOs and SAGs influences service delivery
decisions made by all levels of Iraqi government.
4 provinces
3.1.3
Development of a ‘Community of Practice’
and enhanced coordination between
provinces and the federal government.
CSOs are a fully engaged with Iraqi citizens and relevant Iraqi
institutions and act as an effective conduit through which
messaging flows between citizens and the Government.
Improved coordination and communication between provincial
and federal government involving CSOs.
6 provinces
3.2 Enhance public capability and willingness to participate in planning, monitoring and evaluating public services
3.2.1
Development of oversight mechanisms for key
service delivery targets by Civil Society
Organizations (CSO); and Social
Accountability Groups (SAG)
CSOs and SAGs can identify the service priorities of citizens and
are effective in ensuring these priorities are taken into
consideration as part of the planning and budgeting process. The
4 provinces
63
No. ACTIVITIES OUTCOMES Proposed
Location
YEAR 2 BY QUARTER
1 2 3 4
information from CSOs and SAGs influences service delivery
decisions made by all levels of Iraqi government.
3.2.2 Creation and operationalization of rapid
response community action capability.
CSO’s are a fully engaged with Iraqi citizens and relevant Iraqi
institutions and act as an effective conduit through which
messaging flows between citizens and the Government.
Increased collaboration and coordination among citizens, CSOs,
and local government to address local service delivery
challenges.
4 Provinces
3.2.3
Development of an interactive process for
providing information and receiving
complaints related to services.
CSOs are a fully engaged with Iraqi citizens and relevant Iraqi
institutions and act as an effective conduit through which
messaging flows between citizens and the Government.
Improved engagement between citizens and service providers to
foster communication and accountability.
4 Provinces
No. ACTIVITIES OUTCOMES Proposed
Location
YEAR 2 BY QUARTER
1 2 3 4
OBJECTIVE 4 - IRAQI CHANGE AGENT SUPPORT
4.1 Enhance Capacity of Change Agents.
4.1.1 Metrics development for Change Agents.
Change agents are institutionalized. Institutional
performance assessed to determine influence of change
agents and other project or non-project related
interventions.
Baghdad, Anbar,
Ninewa, Erbil,
Basrah, Babil
4.2 Enhance Capacity of Women and Vulnerable Populations to Represent Their Needs within Government Decision-Making Processes.
4.2.1 Women’s Leadership and Diversity
Management (WeLEAD) See Annex 4: KRI Work Plan
64
Annex 4: Work Plan Outcomes, Activities, and Timeline (KRI)
No. ACTIVITIES OUTCOMES Proposed
Location
YEAR 2 BY QUARTER
1 2 3 4
OBJECTIVE 1: ENHANCE GOVERNMENT OF IRAQ (GOI) SERVICE DELIVERY CAPACITY
Result 1.1 Improve Service Delivery Outcomes in Sectors with High Impact/Visibility
1.1.1
Development of Assistance Packages (AP)
and agreement of memorandums of
understanding (MOU).
Utilities have been assessed for capacity to deliver essential services
(water, electricity) to the public; MOU formalizes SOW to jointly
improve essential services; consumers perceive improvements in
essential services.
Erbil
1.1.1.i Conduct PEA Report that describes political context of utility operations, noting both
Federal as well as Provincial drivers and priorities
Erbil
1.1.1.ii Produce stakeholder mapping: Report that traces the chain-of-command from top (Ministry) to bottom
(utility) and notes statutory authorities, responsibilities
Erbil
1.1.1.iii Produce Profile of sponsoring utility in
preparation for first visit
Report that includes legal authorities (laws), budget details, existing
relationships with CSOs, SAGs, USAID (previous programs) and other
donors (WB, UNICEF, etc.)
Erbil
1.1.1.iv Initial discussions to identify sponsor
Most discussions will likely start in Provincial Governor’s office, and
ultimately conclude with Director General of utility (Department,
Directorate or SOE).
Erbil
1.1.1.v In-depth discussions with sponsor
Report on meeting, covering: situational awareness (capabilities) and
baseline characteristics; definition of what success will look like;
discussion of what IGPA “menu” of offerings (including technical STTA,
training, public outreach campaigns, etc.)
Erbil
1.1.1.vi Gap analysis Report that identifies gaps and prioritizes actions/solutions, notes
risks/dependencies, and establishes timetables.
Erbil
1.1.1.vii Consensus building SOW agreed and approved by beneficiaries and USAID; MOU between
sponsor at appropriate institutional level and USAID.
Erbil
1.1.1.viii IGPA project manager (provincial
coordinator)
Provide ongoing visibility to IGPA/Takamul and facilitate contact with
consumers to raise awareness about progress; coordinate with
Objective leads; manage on-site STTAs, staff and subcontractors; QC;
generate progress reports to USAID
Erbil
65
1.1.2 Implement Assistance Packages (AP) for
utilities
Improved delivery of essential services by the utility (water, electricity)
and improved perception of essential services.
Institutional performance improved at GOI Institutions (federal and
local) leading to fulfillment of respective roles in the process of
delivering essential, decentralized services in a sustainable, inclusive
manner.
Erbil
1.1.3 Development of sectoral development
plan for water and electricity
The processes required to ensure delivery of essential services are
planned in accordance with Iraqi priorities and are linked with national
sustainable development plans, capital investment plans, medium term
fiscal plans, and service delivery objectives. Sectoral development plans
are institutionalized as part of the planning process at all levels. The
plans are developed in a coordinated approach between the Iraqi
government (both nationally and provincially), the CSOs/Social
Accountability Groups (SAGs), and the private sector.
Erbil
1.1.3.i Establish baselines
Report that assesses current state of play for each utility sector (water,
electricity), identifying all existing plans from all sources (including
donors, notably WB, UNICEF, UNDP).
Erbil
1.1.3.ii Organize workshops for stakeholder input Publish workshop proceedings and recommendations; publicize events in
official websites, social media
Erbil
1.1.3.ii.a Federal plus Provincial Governors Report that summarizes workshop proceedings and recommendations;
publicize events in official websites, social media
Erbil
1.1.3.ii.b
Hosted by Provincial Governors (KRG) as
forum for CSOs, SAGs and the private
sector
Report that summarizes workshop proceedings and recommendations;
publicize events in official websites, social media
Erbil
1.1.3.iii Assist Ministries to prepare sector plans
(future state 2019-2024)
Reports that can guide the development of each sector, provide redress
to disparities (social, geographic) and strengthen support for adequate
internal funding (federal, user fees, PPP) as well as external sources (WB,
ADB, other IFIs)
Erbil
66
1.1.4 Improvement of the KRG public
procurement system
The processes associated with the execution of budgets and
procurement of goods and services are improved. Timeliness and
efficiency of the procurement process is improved leading to expedited
delivery of essential services. The private sector is enabled and actively
participating as suppliers. The process is simplified, more transparent
and accountable leading to decreased potential for corruption. Public
procurement laws and regulations are functioning in a streamlined and
simplified manner that is both transparent and accountable.
KRI
1.1.5 Activity in general work plan not conducted in KRI. Please see Annex 3 for details on this activity.
Result 1.2 Strengthen the strategic approach and capacity of the ministries and provincial directorates to better align service delivery outcomes with the priorities of
provincial governments and local populations.
1.2.1
Identify Assistance Packages (AP) for
Deputy Prime Minister’s Office, selected
KRG Ministries; Provincial Women’s
Departments (PWEDs); Provincial Council
Institutions are organized functionally and have the capacity to fulfill
their respective roles in the process of delivering essential,
decentralized services in a sustainable manner. Provincial Council (PC)
is unified and monitoring role over service delivery enhanced. Provincial
Women’s Empowerment Departments have integrated role in planning
process.
KRI
1.2.1.i Workstream1: Identify & Implement High-
Impact Priority Projects (HIPP)
IGPA/Takamul will respond to unique opportunities for change to 1)
support fiscal and social stabilization, 2) create momentum for capacity
development activities under Workstream 2, and 3) support Iraqi
change agents. Workstream 1 interventions will focus on the rapid
achievement and communication of results that are high-impact, of high
priority for citizens, and highly visible (which will also make them more
likely to be replicated elsewhere). These HIPPs will be implemented by
providing critical technical assistance and/or awarding subcontracts.
HIPPs will tap into existing constituencies that are ready for action.
1.2.1.ii Workstream 2: Addressing systemic issues
HIPPs that directly improve delivery of utility services or close the gap
in services to women, youth or vulnerable populations will be advanced
as a Concept Note for consideration as a Special Assistance Package.
1.2.2 Activity in general work plan not conducted in KRI. Please see Annex 3 for details on this activity.
1.2.3 Activity in general work plan not conducted in KRI. Please see Annex 3 for details on this activity.
67
1.2.4 Support the KRG’s overall reform initiative
through its Xizmat activity
Improved service delivery and enhanced customer-citizen experience in
transacting with the government. Motivation of government agencies to
work for even better performance and increase citizens’ trust in their
government.
KRI
1.3 Enhance regulatory and procedural certainty to attract private sector investment.
1.3.1
Laws, regulations and by-laws for utility
sectors are optimized to equitable
provision of services.
Laws, regulations and by-laws are in place that support the
organizations, activities, policies and procedures related to the delivery
of services. These include the regulatory authorities required to
support the efficient delivery of services; the development of budgets;
the execution of budgets; procurement of goods and services; the
mobilization of domestic revenues; and the monitoring and evaluation
of related activities and outcomes. Regulatory and procedural certainty
enhanced through development or amendment of laws that promote
private sector participation.
KRI - MoP
1.3.1.i Assessment (baseline) & Recommendations Report that identifies existing laws, regulations and by-laws relevant to
the provision of essential utility services and makes recommendations
for improvement.
Erbil
1.3.1.ii Workshop on Legal Barriers to Improved
Delivery of Utility Services
Workshop as forum for general public (CSO, SAG) and private
investors (PPP) to determine best way forward; Recommendations to
be presented to relevant Federal Ministries for action.
Erbil
1.3.2
Implementation of Public Private
Partnership (PPP) mechanism and other
alternative financing programs.
The private sector is enabled and investing in opportunities related to
the delivery of essential services. A Public Private Participation (PPP)
process is in place and operating.
KRI - MoP
1.3.3 Activity in general work plan not conducted in KRI. Please see Annex 3 for details on this activity.
1.4 Enhance the targeting of capital investment spending in service delivery sectors that serve vulnerable and disadvantaged populations.
1.4.1 International Donor Conference
IGPA/Takamul will facilitate a conference of international experts and
International Financial Institutions and donors (USAID, WB, ADB,
UNICEF, UNHCR) to discuss best practices in capital investment
spending to serve vulnerable populations and IDPs.
Erbil
1.4.2 Community Development Fund for
Women and Vulnerable Populations
Improved capacity of government to identify and respond to needs of
vulnerable and disadvantaged populations.
Erbil
68
No. ACTIVITIES OUTCOMES Proposed
Location YEAR 2 BY QUARTER
1 2 3 4 OBJECTIVE 2: IMPROVE PROVINCIAL AND NATIONAL GOVERNMENT PUBLIC FINANCIAL MANAGEMENT
2.1 Strengthen capacities of provincial offices and support their conversion into fully operational financial management offices.
2.1.1
Development of assistance plan (AP) and
agreement of Memorandums of
Understanding (MOU) – Erbil provincial
government, MOP, MOF, Board of
Supreme Audit
Institutions are organized functionally and have the capacity to fulfill
their respective roles in the process of delivering essential services in a
sustainable manner.
KRI
2.1.2
Implement assistance plans (AP) for Erbil
provincial government, MOP, MOF, Board
of Supreme Audit
Institutions are organized functionally and have the capacity to fulfill
their respective roles in the process of delivering essential services in a
sustainable manner. The MOF is functionally organized and producing
sustainable development plans that are supported by evidence-based
revenue and expenditure forecasts; budgets that are performance based
are developed.
KRI
2.1.3 Activity in general work plan not conducted in KRI. Please see Annex 3 for details on this activity. 2.1.4 Activity in general work plan not conducted in KRI. Please see Annex 3 for details on this activity. 2.2 Support the development of provincial oversight mechanisms, such as financial audit procedures, of provincial finances.
2.2.1
Coordination of the Integrated Financial
Management Information System (IFMIS)
with the Provincial Public Financial
Management (PFM) system.
Funding allocations are made in a timely fashion and aligned with the
budget requirements for essential service delivery.
Erbil
2.2.2 Activity in general work plan not conducted in KRI. Please see Annex 1 for details on this activity.
2.2.3
Building the capacity of the Board of
Supreme Audit (BSA), develop a model
specialized financial audit manual
A system for both financial and performance audits is in place that is in
line with the requirements of the Board of Supreme Audit (BSA), to
ensure the local revenues in oil and gas sector is mobilized and
administered per international standards of auditing. Increased
transparency, accountability, and reduced corruption.
Erbil
2.3 Enhance provincial revenue generation, collection and management from outside the oil sector.
2.3.1 Implementation of the Local Revenue Law
Local revenues are mobilized and administered in accordance with
applicable laws and regulations in the region and international best
practices.
Erbil
2.3.2
Diversification of financing and potential
revenue streams through engagement with
the private sector.
Cost analysis from actual revenue/expenditure and budget execution
reports for selected service delivery units and recommend new fee
structures for services with negative yields with periodic updates to fee
structures based on projected changes in service delivery cost
structures.
Erbil
69
No. ACTIVITIES OUTCOMES Proposed
Location YEAR 2 BY QUARTER
1 2 3 4
2.3.3 Activity in general work plan not conducted in KRI. Please see Annex 1 for details on this activity.
2.4 Enhance budget-cycle planning, development and execution against decentralized expenditure assignments.
2.4.1
Strengthening provincial budget
formulation and creation of KRG debt
management function.
The Council of Ministries to envision the amount of debt, cash flow, and
financial obligation of the cabinet toward strategic planning.
Erbil
2.4.2 Support the implementation of a KRG
KDMS.
Support MoP plans to engage line ministries and provinces in the budget
formulation, execution, and monitoring through granting them access to
KDMS. IGPA/Takamul will train line ministries and provinces on using
KDMS.
KRI
2.4.3 Activity in general work plan not conducted in KRI. Please see Annex 1 for details on this activity.
2.4.4 Build the capacity of Planning and Budgeting
units at line ministries and provinces Support the ministries and governorates on budget planning, execution,
and reporting to improve public service expenditures
KRI
No. ACTIVITIES OUTCOMES Proposed
Location
YEAR 2 BY QUARTER
1 2 3 4
OBJECTIVE 3 - SERVICE DELIVERY AND PUBLIC EXPENDITURE MONITORING AND OVERSIGHT
3.1 Strengthen the capacity of selected provincial institutions to establish effective citizen participation and outreach mechanisms
3.1.1
Implement assistance plans (AP) for Civil
Society Organizations (CSO), Social
Accountability Groups (SAG), and Citizens
Advisory Boards (CAB).
CSOs and SAGs are functionally organized and empowered to provide
effective oversight of decentralized service delivery. CSOs and SAGs are
engaged in all aspects of the program. Their role is institutionalized both
in law and in practice.
They are a fully engaged with Iraqi citizens and relevant Iraqi institutions
and act as an effective conduit through which messaging flows between
citizens and the KRG
Mechanisms are in place that ensure transparency and accountability in
the processes related to delivery of essential services. As part of their
oversight role, they ensure that the government is responsive to citizen
priorities.
CSOs and SAGs can identify the service priorities of citizens and are
effective in ensuring these priorities are taken into consideration as part
of the planning and budgeting process. The information from CSOs and
SAGs influences service delivery decisions made by all levels of KRG
KRI
70
No. ACTIVITIES OUTCOMES Proposed
Location
YEAR 2 BY QUARTER
1 2 3 4
3.1.2 Strengthening public outreach and
engagement.
CSOs are a fully engaged with Iraqi citizens and relevant KRG institutions
and act as an effective conduit through which messaging flows between
citizens and the Government.
CSOs and SAGs can identify the service priorities of citizens and are
effective in ensuring these priorities are taken into consideration as part
of the planning and budgeting process. The information from CSOs and
SAGs influences service delivery decisions made by all levels of the KRG.
KRI
3.1.3
Development of a ‘Community of Practice’
and enhanced coordination between
provinces and the federal government.
CSOs are a fully engaged with Iraqi citizens and relevant KRG institutions
and act as an effective conduit through which messaging flows between
citizens and the Government.
KRI
3.2 Enhance public capability and willingness to participate in planning, monitoring and evaluating public services.
3.2.1
Development of oversight mechanisms for
key service delivery targets by Civil Society
Organizations (CSO); and Social
Accountability Groups (SAG).
CSOs and SAGs can identify the service priorities of citizens and are
effective in ensuring these priorities are taken into consideration as part
of the planning and budgeting process. The information from CSOs and
SAGs influences service delivery decisions made by all levels of the KRG.
KRI
3.2.2 Creation and operationalization of rapid
response community action capability.
CSOs are a fully engaged with Iraqi citizens and relevant KRG institutions
and act as an effective conduit through which messaging flows between
citizens and the Government.
KRI
3.2.3
Development of an interactive process for
providing information and receiving
complaints related to services.
CSOs are a fully engaged with Iraqi citizens and relevant KRG institutions
and act as an effective conduit through which messaging flows between
citizens and the Government.
KRI
No. ACTIVITIES OUTCOMES Proposed
Location YEAR 2 BY QUARTER
1 2 3 4 OBJECTIVE 4 - IRAQI CHANGE AGENT SUPPORT
4.1 Enhance Capacity of Change Agents.
4.1.1 Metrics development for Change Agents.
Change agents are institutionalized. Institutional performance assessed to
determine influence of change agents and other project or non-project
related interventions. Change agents support Xizmat and other KRI
reform initiatives
KRI
4.2 Enhance Capacity of Women and Vulnerable Populations to Represent Their Needs within Government Decision-Making Processes
71
No. ACTIVITIES OUTCOMES Proposed
Location YEAR 2 BY QUARTER
1 2 3 4
4.2.4
Women’s Leadership and Diversity
Management for Improved Service Delivery
(WeLEAD).
A new cohort of women leaders have the skills and opportunity to
represent the needs of women and girls in government decision-making
and enhance the targeting of capital investment spending in service
delivery sectors that serve vulnerable and disadvantaged populations.
Erbil
72
Annex 5: Assistance Package 1 – Baghdad
Water Department
Assistance package for water supply services in Baghdad
Background
The USAID-funded IGPA/Takamul project is designed to focus on assisting the Iraqi Government in
improving water supply and solid waste management services (water supply and electricity service
provision in the KRG) to all citizens, on a provincial basis. The project recognizes that there is a
great disparity in the needs of the different regions of Iraq - and among different groups within
regions. While newly liberated areas require assistance in establishing a new provincial government
and in providing services, Baghdad must contend with rapid population growth. Providing basic
services on an equitable basis to all citizens in its service area demonstrates accountability on the
part of Baghdad water directorate and gives all communities a stake in good governance. The project
is hence designing this assistance package in ways to help ensure that gains at the provincial level will
serve as models for others and be sustained over the long term.
Given the great needs in Iraq and the urgency to create a proper enabling environment for
decentralization, IGPA/Takamul provided in its first-year capacity building and continued support to
the Higher Commission of Coordination among Provinces Secretariat (HCCPSec), the government
agency responsible for supporting provinces in their response to service delivery. HCCPSec has
been instrumental in explaining relevant decentralization regulations to provinces, operationalizing
the Provincial Evaluation Department (PED), promoting communications between the GOI and
decentralized directorates, and coordinating the foundations for local revenue generation with
Administrative and Financial Affairs Directorates (AFAD). IGPA/Takamul successfully built and
utilized this relationship to push through service delivery reforms and strengthen local government’s
ability to provide decentralized services to its citizens.
In its second year of implementation, the project will build on year 1 activities and lessons learned
and will provide technical support to local government officials to understand the concept of
decentralized service delivery. The project will also work with citizens and civil society to monitor
services and held the government accountable. Accordingly, IGPA/Takamul has planned activities
focusing on water supply service delivery with the objective to improve the performance of the
Baghdad provincial water directorate, the only agency mandated by law to provide these services,
and to create an appropriate enabling institutional environment.
To do so, the project will address multiple aspects of service delivery including mechanisms by which
citizens and the government can hold each other accountable for functioning systems. By focusing on
social inclusion, it is more likely that the water directorate, its customers, and citizens at large will
be willing to protect water resources and support the water sector. Civil society and the provincial
gender units have critical roles to play making sure that Baghdad provincial water directorate is
aware of the diverse needs of an ever-changing population. IGPA/Takamul saw this as an opportunity
and designed these interventions in a way that links service delivery to more detailed understanding
of service demand, and the diversity of service needs and users across the service area.
The Baghdad assistance package includes activities described below that cover the four
internationally recognized areas of water utility management, i.e. technical, administrative/human
resources, financial and customer service. IGPA/Takamul added a fifth area designed to begin
understanding and mapping various aspects of service demand. Activities included in this assistance
package have been identified based on the performance in these five areas and have the overall
objective to implement an integrated performance improvement program that incorporates IGPA’s
three key objectives and will have a positive impact on water service delivery and customer
satisfaction. Whenever required due to proximity, the project will continue to support and facilitate
coordination between the Baghdad Provincial Water Directorate and the water directorate of the
“Amanat” region, which began in year 1.
73
Overall strategic approach
IGPA’s overall approach consists of proposing high impact activities during year 2 to improve water
supply services and prepare the ground for longer-term activities that would, gradually, ensure more
systemic and sustainable change. Proposed activities are defined in line with USAID’s development
hypothesis with the objective to improve water supply services, public financial management and
transparency, and monitoring/oversight to increase citizen’s trust in their government. To do so,
IGPA applies a Problem-Driven Iterative Adaptation (PDIA) approach while designing and
implementing activities as stated in the project’s overall SOW:
- activities are tailored to the specific and urgent needs to improve water services in Baghdad;
- implementation is flexible, and targets specific areas selected with well-defined criteria
related to population density, gender and social inclusion;
- activities are designed taking into consideration lessons learned in year 1 and tools
developed with the project’s support; and
- engagement of and coordination with local actors (provincial and local authorities, Civil
Society Organizations (CSOs), Social Accountability Groups (SAGs), other international
agencies, etc.) is key to define local solutions.
The PDIA approach proved to be well adapted to the current situation in different provinces in Iraq.
For instance, during the protests and violence in Basra in September 2018, IGPA/Takamul worked
closely with the Basrah AFAD and ensured that around 78,000 government employee salaries were
paid on time despite ongoing demonstrations and the burning down of government buildings.
1. Develop standard procedures for the operation and maintenance (O&M) of
water treatment plants, and build staff capacity to implement these procedures
The objective of this activity is to increase water supply hours and reduce the maintenance and
repair cost of water treatment plants in Baghdad. Specific objectives are as follows:
- Identify maintenance and repair needs of the plants.
- Introduce technically sound operation and maintenance procedures of water treatment
plants.
- Train operators to implement these procedures.
To achieve the above-mentioned objectives, IGPA/Takamul will undertake the following tasks:
Meet with the Baghdad provincial water directorate and identify priority water
treatment plants: The project team will meet with the water directorate’s technical team to
present the activity and identify water treatment plants to target according to well defined criteria
based on impact measured by population served (disaggregated to ensure social inclusion28),
availability of water sources, etc. The meeting will establish the profile of staff to participate in this
activity and collect the following information (to the extent information is available):
- technical documents such as as-built drawings, operation manuals, etc.
- financial data related to the maintenance cost of treatment plants.
- technical data such as pumps run-time.
- Other information.
Conduct a technical assessment of water treatment plants: IGPA/Takamul, with the support
of its technical short and long-term staff, will visit target water treatment plants and conduct a
detailed technical assessment including mechanical, electro-mechanical, electrical and civil
components. The team will examine current operation and preventive/routine maintenance
practices, as well as maintenance records and information if available such as pump run-time, water
flows in case meters are available, etc.
28
This becomes one of the base layers of the ‘mapping’ exercise. To be used to justify investment choices, as a baseline against which to
measure accountability to different audiences, etc.
74
Conduct a training needs assessment (TNA) for water treatment plants operators:
IGPA/Takamul will organize meetings with all plant operators to better understand their roles and
assess their capacities and training needs to better perform their tasks. The training needs
assessment will be conducted through group and/or individual discussions, in addition to simple tests
and observations during their daily tasks.
Present recommendations to improve current O&M practices: Based on the assessment,
IGPA/Takamul’s technical team will prepare a report highlighting existing technical issues in water
treatment plants, current O&M practices, and recommendations to improve the performance of
these plants and O&M procedures. The report and recommendations will be presented to the water
directorate’s management team for comments and approval.
Design SOPs for O&M of water treatment plants and build operators’ capacities: Based
on the observations and discussions with plants operators, IGPA/Takamul will develop standard
operating procedures for the operation and routine/preventive maintenance of water treatment
plants. These procedures will be designed in the form of simple reference documents and guidelines
to be used during an on-the-job training to build operators capacities and improve O&M. The
training will be delivered to staff designated by the water directorate, and will take place on-site, in a
water treatment plant, to remain practical and address issues operators face in their day-to-day
work.
Provide follow-up support to water treatment plant operators in their daily work: To
ensure the sustainability of this activity beyond the training, IGPA/Takamul technical team will
conduct regular visits to the plants over a period of 3 months at a frequency to be determined with
the water directorate management and treatment plant operators. The objective of these visits is to
provide additional assistance and make sure the newly-introduced O&M procedures are applied.
Regular visits to the treatment plants will also serve to monitor the overall maintenance expenses
and pump run-time to assess the impact of the activity on operations. In parallel, and to the extent
possible given the directorate’s internal policies and procedures, IGPA/Takamul will share the SOPs
with the human resources department and provide support to integrate them in the induction
program (if applicable) of newly recruited technical staff. Finally, IGPA’s technical team will also seek
this opportunity to identify (if applicable) one or more of the staff from the water directorate who
fully understand and systematically apply these procedures to continue to lead efforts in ensuring
O&M procedures are adhered to. These staff members will receive support from the project as
“change agents” to sustain IGPA’s support to the water directorate.
Deliverables
Deliverables of this activity are as follows:
- Technical assessment report highlighting current repair needs of water treatment plants and
current O&M procedures.
- Simple guidelines and standard operating procedures of water treatment plants.
- Training sessions for plants operators.
Results and indicators
Proposed activity performance indicators AMEP indicators
- Increase/Change of total run time of each
plant
- Reduction of total annual maintenance and
repair costs of each target treatment plant
- Indicator 3 (result 1.2): Score on Provincial
Evaluation Departments’ Index (we must
make sure these indicators are included in
the index)
- Indicator 14 under cross-cutting: number of
participants trained by IGPA
- Indicator 4 (result 1.3): Number of
improved/reengineered processes or
regulatory procedures implemented by
provincial governments as a result of IGPA
support (Disaggregated by provinces and
type of process
75
Timeframe
Depending on the availability of additional funds from USAID and the exercise of IGPA/Takamul’s
option years, this activity can be expanded to cover additional treatment plants within the Baghdad
provincial water directorate.
Task 11/18 12/18 01/19 02/19 03/19 04/19 2019
Identify target water treatment plants
Conduct a tech assessment of the water
treatment plants
Conduct TNA
Present recommendations to improve current
O&M
Design SOPs for O&M and train operators
Provide follow-up support
2. Provide technical assistance to Baghdad provincial water directorate to develop
a rehabilitation plan for water treatment plants
The objective of this activity is to provide technical assistance to the water directorate to improve
the operational performance of water treatment plants through the development and
implementation of a capital repair and replacement program. While IGPA/Takamul has no funds for
repair works or for the procurement of equipment and/or spare parts, this activity aims at providing
the necessary assistance to the water directorate to conduct studies to develop a plan and mobilize
funds from the federal government or other donors to execute these works.
To reach the above stated objective, IGPA/Takamul will undertake the following tasks that are
informed by the technical assessment mentioned under activity 1 above.
Assist the water directorate to develop a scope of work and conduct a procurement for
engineering/design professional services: The technical assessment conducted under activity 1
above will identify specific needs for repair and replacement works to improve the operational
performance of treatment plants. Accordingly, IGPA/Takamul will provide technical assistance to the
Baghdad water directorate to develop a detailed scope of work, conduct a procurement and identify
a qualified engineering company to undertake the design/engineering studies required to refurbish
the plants. The support for the development of this scope of work and during the procurement
process will build on IGPA/Takamul’s assistance in the area of standard bidding procedures to date.
Assist the water directorate to manage the engineering company and review
engineering design and studies: In coordination with the Ministry of Finance and the Ministry of
Planning, the water directorate will select a qualified engineering company to conduct the studies
and design according to its own procedures and with its own (internal or external funding). During
this phase, IGPA/Takamul will provide continuous support to review studies, designs and other
deliverables and assist the directorate in managing its engineering company and performing quality
control.
Assist the water directorate to mobilize funds and execute works: As mentioned above,
USAID does not provide funds through IGPA/Takamul for the execution of infrastructure repair and
replacement works. However, IGPA/Takamul will provide assistance to the water directorate to
mobilize funds and finance these works. Funding can be provided through the federal government or
through other donors.
Deliverables
Deliverables of this activity are as follows:
- SOW and tender documents for engineering/design services for the repair of water
treatment plants.
- Detailed studies and design (with technical specifications, Bill of Quantities (BOQs) and cost
estimates) for the rehabilitation and maintenance of water treatment plants.
76
Performance indicators
Proposed activity performance indicators AMEP indicators
- SOW for capital repair and replacement
OR detailed engineering studies for capital
repair and replacement in case USAID
exercises an option year.
- Indicator 5 (result 1.3): Number of
contracts awarded (by GOI) as a result of
IGPA support.
Note: Output indicator that could be linked to indicator 5 under objective 1. A good study with
financial and technical assistance from IGPA/Takamul could encourage the federal GOI or donors to
fund the execution. IGPA/Takamul is supporting provinces with local revenue laws but this will have
a longer-term impact.
Timeframe
Task 11/18 12/18 01/19 02/19 03/19 04/19 2019
Develop a SOW and procurement for
engineering/design
Assist in managing the engineering company
and reviewing deliverables
Assist in fund mobilization
3. Conduct a cost recovery analysis of water supply services in Baghdad
IGPA/Takamul team conducted a quick assessment of the current financial management practices at
the Baghdad water directorate on October 16, 2018. The team noted the following points based on
discussions with staff of the financial department:
- The water directorate has no financial autonomy - operational expenses are subsidized by
the federal government. The ministry of finance transfers, monthly, the overall amount
required to cover all staff salaries and associated benefits.
- The water directorate does not pay its electricity bills. However, the power company does
not disconnect water facilities from the power grid given the social nature of water supply
services and the need to serve the population.
- The water directorate covers other operations cost, such as maintenance, consumables and
fuel for generators with its own revenues. However, these revenues are not stable and vary
depending on the collection efficiency. Therefore, spending depends on the availability of
funds generated by collections, and not based on operational needs and sound financial
projections.
- The water directorate estimates that only 15% of its customers pay against water services.
- The overall fees collected are recorded per year with a clear distinction between collections
for the year versus collection of receivables from previous years.
These points indicate that financial management at the water directorate is not in line with
international accounting standards. The current financial management practices hinder the
generation of a sound cost-recovery ratio that reflects real costs and constitutes the basis for
proper financial planning, budgeting, and, on the long-term, the introduction of a proper tariff system
to achieve full cost recovery.
IGPA/Takamul will provide technical assistance to the water directorate, particularly the financial
department, to properly document its revenues and expenses on accrual basis and generate a cost
recovery ratio for proper evidence-based financial planning, decision-making and reporting. While
public institutions in Iraq operate on a cash basis by law, the introduction of accrual principles to
manage revenues and expenses in this case is important for costing and financial planning purposes.
The main objective of this activity is to generate an accurate cost-recovery ratio and measure the
performance of the Baghdad provincial water directorate. Specific objectives are as follows:
- Generate a baseline financial performance of the water directorate in view of developing a
performance improvement program on the longer term.
- Introduce international financial/accounting standards to the water directorate.
77
- Improve financial reporting to AFAD and the ministry of finance that will inform the
allocation of subsidies.
To achieve these objectives, IGPA/Takamul will provide technical assistance according to the
following tasks:
Develop data collection forms and templates: IGPA/Takamul will work with staff of the
financial department of the water directorate to better understand their budget structure/items and
will develop simple, excel-based data collection forms to document all fixed and variables expenses
from January 2017 to date, on accrual basis.
Collect all operational expenses related to water supply services on accrual basis:
IGPA/Takamul will support staff of the water directorate to collect all financial expenses related to
water supply operations from 2017 to date, on accrual basis. This includes all fixed and variable
costs, regardless if they were covered through subsidies from the federal government, through
direct funds generated by the water directorate’s revenues, or if they have not been paid and remain
a liability (debt).
Collect data related to overall revenues and fee collection against water services:
Currently, the water directorate has no billing system for water supply services and does not issue
bills to registered customers. Fees against water services are collected based on an outdated
customer database29. Revenue collectors visit registered customers once every two months to
collect fees and issue a receipt against payments. IGPA/Takamul will support the water directorate in
estimating its annual “theoretical” revenues based on the number of registered customers in
different categories (residential, commercial and public institutions), from January 2017 to date.
Calculate cost recovery ratios for 2017 and 2018: Operational cost recovery is defined
according to the International Water Association (IWA) as the percentage of actual expenses
incurred covered by collections during a certain period of time. The tasks described above will allow
to generate cost recovery ratios on an accrual basis, for 2017 and 2018. This ratio will give the
water directorate an indication of its financial performance in terms of (1) collection efficiency, and
(2) tariff efficiency. Another benefit of this exercise is that the water directorate will have a better
understanding of its overall operation and maintenance cost structure and estimate its expenses to
prepare a budget based on actual, accrual expenses and revenues. This will improve annual financial
reporting to AFAD and allow the water directorate, AFAD and the ministry of finance to better
estimate the financial performance of the sector and take actions accordingly.
Provide technical assistance to the water directorate to analyze results and define next
steps: In coordination with AFAD, the water directorate will present results and develop a
performance improvement program in line with the current structure of the sector, responsibilities
of every institution, and acceptability given existing political and cultural sensitivity.
Deliverables
Deliverables of this activity are as follows:
- Accurate documentation of operational expenses for 2017 and 2018 on accrual basis.
- Cost-recovery ratios for 2017 and 2018 that allow the development of a financial
improvement program.
Performance indicators
Proposed activity performance
indicators
AMEP indicators
- Cost recovery ratio - Indicator 3 (result 1.2): Score on Provincial Evaluation Departments’
Index (we must make sure these indicators are included in the
index).
29 Updating this data base, or digitizing it is another step in the mapping process. This is a critical link between this activity and ones that
follow.
78
- Indicator 9 (result 2.3): Percentage increase in local revenues in
provinces as a result from revenue generation, collection and
management interventions by IGPA interventions.
- Indicator 10 (result 2.4): Number of provincial in-year budget
reports published in accordance with law/best practice.
- Indicator 8 (result 2.2): Number of mechanisms for external
oversight of public resource use supported by USG assistance.
(Standard Foreign Assistance Indicator DR.2.4-2)
Timeframe
Task 11/18 12/18 01/19 02/19 03/19 04/19 2019
Develop data collection forms/templates
Collect operational expenses data for 2017 and
2018
Collect revenue and fee collection data for 2017 and
2018
Generate cost recovery ratios
Provide TA to develop a PIP
4. Conduct business process re-engineering to improve the water directorate’s
operations
The objective of this activity is to analyze the current policies, procedures and processes governing
the day-to-day operations of the Baghdad water directorate and improve them to increase efficiency,
reduce the burden on citizens whenever applicable, and improve internal control measures.
To achieve this objective, IGPA/Takamul will undertake the following tasks:
Identify appropriate processes to improve at the water directorate: IGPA/Takamul will
meet with staff from different departments at the water directorate and will conduct a literature
review of different by-laws and regulations describing the day-to-day operations of the water
directorate. Under this task, the water directorate and the project will identify up to five priority
processes (or modules as part of a large process) to improve based on well-defined criteria such as:
- importance to the day-to-day operations.
- increase of efficiency in performing tasks.
- social inclusion principles and impact on citizens and their trust in the directorate.
- impact on the directorate’s financial performance or customer service.
Conduct a business process mapping: IGPA/Takamul will provide the necessary resources to
conduct a business process mapping and document current work flows using simple visual methods
to highlight the steps in a work flow. Staff of the water directorate will review these work flows and
provide comments and adjustments prior to validation.
Conduct a business process re-engineering: IGPA/Takamul will conduct a re-engineering of up
to 5 priority processes (or modules) identified to increase efficiency and control measure. Under
this task, issues such as unnecessary paperwork, signatures and bureaucracy will be addressed and,
to the extent possible, reduced. It is to be noted that all changes to processes will remain in line
with approved policies and procedures.
Validate the new processes with staff of the water directorate: IGPA/Takamul will present
and discuss the new processes with staff of the water directorate and include their comments prior
to presenting them to senior management for additional comments, approval and adoption.
Provide training and support to the water directorate for proper implementation:
Whenever necessary, IGPA/Takamul will design an on-the-job training to support the water
directorate in the implementation of the new processes and will provide continuous support to
make sure they are well integrated in the day-to-day work of the directorate. Based on resources
and funding, the project will also explore options for replication or expansion of this activity to
additional processes.
79
Deliverables
Deliverables of this activity are as follows:
- Up to 5 business process mapping documents.
- Re-engineered business process documents.
Performance indicators
Proposed activity performance indicators AMEP indicators
Indicator 4 (result 1.3): Number of improved/reengineered processes or regulatory procedures implemented by
provincial governments as a result of IGPA support.
Indicator 7 (result 2.1): Number of government institutions (central, federal, and provincial governments)
that have implemented SOPs as a result of IGPA support.
Timeframe
Task 11/18 12/18 01/19 02/19 03/19 04/19 2019
Identify up to 5 processes
Business process mapping (as is, work flow
documentation)
Business process re-engineering
Validate the BPR
Conduct training and provide support
5. Assist the water directorate in system efficiency and social inclusion mapping
The objective of this activity is to bring customers, their challenges and characteristics into sharper
focus for the water directorate so they can design and deliver more equitable and responsive
services. This system would evolve into a digital database to gradually update and map registered
customers, and disaggregate them by social category, access to infrastructure type, service issues
related to water quality or quantity and responses, hot spots, etc. Such information will help service
delivery units track and prioritize areas for intervention, repair and rehabilitation, expansion, etc.
while tracking issues that can be addressed through public awareness campaigns and other
approaches.
Given its complexity and the impact this activity can have on the performance of service delivery and
social inclusion, IGPA/Takamul will rely on different staff from different departments in the water
directorate to contribute and to coordinate this work. The project will coordinate with the
directorate’s management and identify those staff member(s) who can serve as change agents and
support other provinces to replicate this work with assistance from IGPA/Takamul.
To achieve this objective, IGPA/Takamul will undertake the following tasks:
Provide technical assistance to the water directorate to update its customer database:
IGPA/Takamul will support the water directorate to design (and, contingent on funding, conduct) a
census to update its customer register, digitize existing account information using GIS maps and
begin capturing disaggregated customer data. Staff from the water directorate will work with the
Provincial Women’s Empowerment Department (PWED) and IGPA’s Equality and Inclusion team to
decide on relevant categories of social inclusion to be tracked. Given the high population density in
its service area and the large number of dwellings, IGPA/Takamul will support staff to design the
survey in phases and identify priority zones to be surveyed first. The selection of priority zones will
be linked to target water treatment plants mentioned under activities 1 and 2 above. Given the
technical, social and customer service nature of such survey, IGPA/Takamul will make sure that the
directorate’s team designing the survey includes staff working in these different areas so that social
aggregation of customers, technical inspection of house connections and the update of the database
are possible and well-integrated. The team will apply the following approach:
- Analyze the data in the current customer register.
- Identify different customer categories according to the directorate’s regulations, and
different tariffs for each category.
80
- Work with PWEDs to identify additional customer categories based social inclusion criteria
to track.
- Digitize the current customer register and generate GIS maps.
- Collect and review statistics and studies on population and dwellings in the service area and
compare these statistics to the customer register.
- Develop a concept to conduct the study based on the above steps. The concept will include
an approach to select one zone serviced by the treatment plant(s) targeted under activities 1
and 2 above and other social inclusion considerations.
- Conduct the survey with field teams including at least a collector familiar with the location of
customers and a technician familiar with house connections, and supervision teams including
staff from the technical and customer department, and PWEDs. Supervision teams will be
responsible for quality control, interpretation and analysis of results, and development of an
updated database and GIS maps.
For proper social inclusion mapping, the project will build on its experience working with civil
society in year to support this activity.
Provide technical assistance to map existing assets: One major issue affecting the quality of
service delivery is the depreciation of transmission and distribution networks leading to high rates of
Non-Revenue Water (NRW). With its limited capacities, the water directorate is performing urgent
repairs and reacting to emerging problems. To improve this situation, IGPA/Takamul will support the
water directorate to document its assets so, on the medium term, it is capable of developing a
capital repair and replacement program including renewal of fully depreciated assets. Given the
complicated nature of this task, especially the documentation of buried water assets and the lack of
information related to age, material and technical specifications, the documentation of these assets
will be conducted in phases, with priority given to zones supplied by the treatment plants included
under activities 1 and 2 above. The team will conduct the documentation of assets according to the
following approach:
- Collect all maps and information related to assets in the areas services by the treatment
plant(s) under activities 1 and 2 above.
- Identify the survey zone with staff of the water directorate.
- Work with PWEDs to identify the different categories of households (connected and not
connected) within the survey area based on social criteria.
- Develop a concept for the documentation of assets within the defined zone.
- Based on the availability of funds from USAID, conduct the documentation of assets based
on existing maps, documents, satellite images and other support tools. One key factor for
proper data collection is to identify current and previous employees of the directorate who
constitute “the institutional memory” of the directorate to locate these assets so the team
can digitize data and generate GIS databases and maps.
Note: Digital maps of water assets, customers and those who are not connected to the water
system by social category in one zone constitutes an important decision support tool for the water
directorate to make decisions related to capital investment and operation and maintenance not only
from a technical and financial perspective but allow adding a social dimension that is crucial to
improving governance and accountability. The water directorate can team up with PWED to design
and implement multiple activities based on the results of these survey.
Given its complexity, this activity will be limited to one zone within the water directorate’s service
area. Depending on the availability of funds from USAID and the exercise of options years, all the
preparatory work will be conducted in year 2 with actual field work conducted starting June 2019.
IGPA/Takamul can expand the activity and replicate contingent on the availability of funds.
Deliverables
Deliverables of this activity are as follows:
- Detailed concept and action-plan to conduct a customer survey and create a digital register
of account holders that disaggregates by relevant categories of users in priority zones.
81
- Detailed concept and action-plan to document existing assets in priority zones.
Performance indicators
Proposed activity performance
indicators
AMEP indicators
Output indicator only: 2 concept
notes for the surveys
If the surveys are complete:
- Indicator 3 (result 1.2): Score on Provincial Evaluation
Departments’ Index (we must make sure these indicators are
included in the index).
- Indicator 6 (result 1.1): Number of IGPA-supported functional
Provincial Women Empowerment Departments.
- Indicator 10 (result 2.4): Number of provincial in-year budget
reports published in accordance with law/best practice.
- Indicator 12 (result 3.2): Number of Civil Society
Organizations (CSO) receiving USG assistance engaged in
advocacy interventions. (Standard Foreign Assistance Indicator
DR.4.2-2)
- Indictor 11 (result 3.1): Number of mechanisms developed or
improved, and implemented, to establish effective citizen
participation, outreach and communication.
Timeframe
Task 11/18 12/18 01/19 02/19 03/19 04/19 2019
Update the customer database
- Analyze current customer registers
- Identify customer categories
- Identify additional categories with PWEDs
- Digitize current customer data (if possible)
- Review other statistics and studies
- Develop and validate the survey concept
- Conduct the survey (if funds are available)
Document existing assets
- Collect maps and documents
- Identify survey zones
- Identify household categories with PWEDs
- Develop a concept for the survey
- Conduct the survey
6. Develop and implement a short-term campaign to increase customers’
awareness and reduce water consumption, monitor water quality at the
household level, pay their water bills and reduce illegal use of potable water
Baghdad provincial water directorate estimates the total number of its active customers, all
categories included (residential, commercial and public institutions) at around 87,500. Only around
15% of these customers pay their water bills on a regular basis. Moreover, the directorate estimates
that around 11,000 households benefit illegally from public water supply services in its service area.
On the other hand, a public opinion survey conducted in 2018 with the project’s support shows that
more than 83% (around 40% female and 43% male) are not satisfied with public services provided in
general by provincial authorities. While these results are not specific to water services, the lack of
trust of citizens in public services has an impact on their perception of the water directorate.
To improve communication between the water directorate and its current and potential customers,
IGPA/Takamul will support the water directorate in conducting a campaign to conduct water quality
monitoring, reduce water consumption, encourage customers to pay their water bills to increase
revenues and reduce illegal connections. The project will facilitate a partnership between the water
directorate and civil society to do so.
To achieve this objective, the project will undertake the following tasks:
82
Conduct mobile water quality sampling and testing, in situ: The water directorate faces
challenges related to customers’ limited awareness of water quality standards and suitability of the
water for drinking. IGPA/Takamul will facilitate a partnership between the water directorate, CSOs
and PWEDs to work together and identify priority service areas where poor water quality is a
perceived issue. Mobile water testing kits will be used to enter communities and engage water
decision makers (mainly women) in assessing and discussing issues related to water quality, suitability
for drinking and other uses.
Integrate ongoing short-term communication campaigns for the water directorate with
technical assistance noted above: Building on assessments conducted in year 1 and ongoing
activities, IGPA/Takamul will further expand communication campaigns targeting current and
potential customers with a focus on the areas mentioned above. The campaign will convey the
following messages:
- cost of water production, treatment, transmission and distribution.
- results of the water quality testing mentioned above to improve trust between the
population and the water directorate.
- estimates on water volumes wasted due to bad plumbing in households.
- information on the cost to connect to the public water supply network and regular fees, etc.
Update the communication action plan and carry on communication activities:
IGPA/Takamul will work with the already-established Technical Working Group (TWG) on
communication to update the communication action plan and discuss the materials necessary for the
campaign and messages to convey to the public. The project will moderate planning sessions as
needed and work with the TWG to design relevant RFPs.
Develop awareness material and communication messages: IGPA/Takamul will assist the
water directorate to design and develop awareness material and messages. Technical, graphic design
and communication experts will work with the water directorate staff to develop these messages
and produce specimen copies for review and comments of the water directorate. Once all messages
and material are approved, the project will release an RFP to solicit CSOs to implement campaigns.
Implement the awareness campaign: IGPA/Takamul will support the implementation of the
campaign by, for example, contracting a CSO to provide communication support, or the
organization of training sessions for collectors to hand over awareness material during their visits to
customers, etc.
Deliverables
Deliverables of this activity are as follows:
- Report summarizing the results of the mobile water quality testing.
- Action plan for the awareness campaign.
- Awareness material and message targeting citizens to reduce water consumption, pay their
water bills and connect to the public water supply network.
Performance indicators
Proposed activity performance indicators AMEP indicators
- Percentage of water samples
compliant with quality standards.
- Number of beneficiaries.
- Indicator 11 (result 3.1): Number of mechanisms
developed or improved, and implemented, to
establish effective citizen participation, outreach
and communication.
- Indicator 12 (result 3.2): Number of Civil Society
Organizations (CSO) receiving USG assistance
engaged in advocacy interventions.
Timeframe
Depending on the availability of funding, awareness campaign can be expanded and replicated to
other regions within the water directorate’s service area.
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Task 11/18 12/18 01/19 02/19 03/19 04/19 2019
Conduct mobile water quality testing
Integrate ongoing communication campaigns
Update communication action plan
Develop and produce awareness material
Implement campaigns
84
Annex 6: Assistance Package 2 – Basrah Water
Department
Assistance package for water supply services in Basrah
This document describes the assistance package (AP) to improve water service delivery in the
province of Basrah. Building on ongoing priority actions undertaken with the support of
IGPA/Takamul, the project developed this AP in line with IGPA’s overall scope of work to address
systemic water issues in Basrah and provide broader capacity building to create an enabling and
regulatory environment for sustainability. Activities included in this AP will be undertaken in parallel
to ongoing priority actions. Once this AP is discussed and approved by the provincial authorities, all
activities will converge to fit into one assistance package to improve water service delivery in Basrah.
The following activities have been designed to address multiple aspects of service delivery including
mechanisms by which citizens and government can hold each other accountable for functioning
systems. By focusing on social inclusion, the project intends to promote peaceful collaboration
between the government and citizens and avoid civil unrest and violence like in September 2018. In
this case, it is more likely that the water directorate, its customers, and citizens at large will be
willing to protect resources and infrastructure and support the water sector. Civil society and
PWED have critical roles to play making sure that the water directorate is aware of the diverse
needs of an ever-changing population. IGPA/Takamul sees this as an opportunity to design
interventions in a way that links service delivery to a more detailed understanding of demand, and
the diversity of needs and users across the service area.
The Basrah assistance package has been developed to cover the four internationally recognized areas
of water utility management, i.e. technical, administrative/human resources, financial and customer
service. IGPA/Takamul added a fifth area designed to begin understanding and mapping various
aspects of service demand. Activities have been designed based on the performance in these five
areas with the overall objective to develop a strategic action plan for water supply services including
an integrated performance improvement program that incorporates IGPA/Takamul’s key objectives
and will have a positive impact on water service delivery and customer satisfaction.
1. Support the provincial government to develop a strategic action plan and
identify long-term solutions to address the water crisis in Basrah
IGPA/Takamul received a request from the Basrah Provincial Council chair on October 22 to
organize a workshop and identify appropriate long-term solutions to avoid similar crises in the
future. In fact, with the beginning of the rainy season in November, it is expected that the salinity
level in Shatt Al-Arab will decrease which will partially solve the current water quality issue and
improve supply on the short-term. However, it is crucial to identify long-term strategic activities for
the provincial government to undertake and avoid a similar crisis next summer during dry season.
IGPA/Takamul met with the provincial government in Basrah to present priority short-term
activities to address the water crisis and discuss further longer-term support. The following tasks
describe how the project intends to provide technical assistance for the development of a strategic
plan in the next six months to improve water supply services. The plan will cover both, operation
and maintenance (O&M) and infrastructure and will include a performance improvement program
and a capital investment program. Depending on the availability of funds from USAID and the
exercise of option years, the project will identify additional areas for technical assistance beyond
year 2 in line with the strategic plan.
Meet with the provincial government to define the objective of the strategic plan: The
request IGPA/Takamul received from the PC chair focused on addressing issues related to the water
85
crisis in Basrah through the identification of long-term technical solutions. Given the complexity of
the situation, IGPA/Takamul will organize a meeting with the provincial authorities including, at least,
the governor, the PC chair and the Basrah provincial directorate - the only institution mandated by
law to provide water services - to identify the objective of the plan and the best way to provide
support. The water issue in Basrah is very complex and covers different aspects including water
resources management, water diplomacy due to shared water resources between Iraq, Iran and
Turkey, and water service delivery. While all these aspects are important and jointly contribute to
the improvement of the overall situation, IGPA/Takamul will limit its assistance to its scope of work
and focus its assistance on the improvement of water service delivery only, i.e. on the performance
of the water directorate in different areas (technical, management/HR, financial and customer
service) and the enabling environment impacting water services.
Create working groups/teams for the development of the strategic plan: IGPA/Takamul
will coordinate with the provincial authorities and senior management of the Basrah provincial water
directorate to identify staff members from the provincial government, the water directorate, and
PWEDs to create different working groups and develop specific performance improvement
programs targeting priority areas of water service delivery. Members of the working groups will be
selected based on their functions and qualifications and will be officially designated to work on this
activity with support from the project. IGPA/Takamul will support decision makers in selecting
working group members by preparing SOWs and recommending profiles of members and their
responsibilities.
Identify a qualified water institutional expert to support the working groups: Once the
objective of this activity is agreed upon with the provincial government, IGPA/Takamul will develop a
SOW and hire the services of a senior water institutional expert to support provincial authorities
and working groups to develop the strategic plan. The expert (or subcontractor) will have the role
of facilitator and will provide guidance to all working groups members to develop the plan and set
performance targets.
Provide technical assistance to develop performance improvement programs for water
services: With support from IGPA/Takamul’s long and short-term staff and subcontractors,
different working groups will identify different priority operational areas to improve water service
delivery. These operational areas include technical, administrative/human resources, financial and
customer service aspects. For each of these areas, assigned staff members and working groups will
identify a set of key performance indicators, calculate baseline performance and develop detailed
action plans to improve performance and reach SMART (Specific, Measurables, Achievable, Realistic
and Time-bound) strategic objectives. Performance improvement programs will not only include
activities specific to the Basrah provincial water directorate, but other institutions influencing the
enabling environment for proper water services such as AFAD, ministries at the central level, CSOs,
etc. In addition, IGPA/Takamul will support the provincial government to include a fifth area related
to social inclusion and addressing the needs of underserved population through the creation of a
specific working group for social inclusion including PWEDs, CSOs, women and youth groups, etc.
Social inclusion will be included in all performance improvement programs. Furthermore,
performance improvement programs will include activities to address water demand management by
reducing water consumption, reducing Non-Revenue Water (NRW) i.e. water leaks and illegal use
of water, and promoting a more efficient use of water.
Provide technical assistance to develop a capital investment program: In coordination
with the Ministry of Finance, the Ministry of Planning, and CSOs/, IGPA/Takamul will provide
technical assistance to the planning and engineering department at the Basrah provincial directorate
to identify ongoing and planned infrastructure projects and develop a capital investment program to
renew existing infrastructure and implement new projects to serve additional customers. The capital
investment program will include priority projects taking into consideration the needs of underserved
86
populations and an estimated cost of implementation to improve water service delivery. The capital
investment program will only focus on infrastructure necessary to improve service delivery and will
not address issues related water resources. Longer-term, it will fit into an integrated provincial plan
that would be developed in coordination with the ministry of water resources, outside the SOW of
IGPA/Takamul.
Support the provincial government to present the strategic plan: IGPA/Takamul will
support the provincial government to organize an event and present the strategic plan to different
stakeholders including the GOI, CSOs and donors, and mobilize funds for its implementation. To
further increase awareness and promote activities undertaken by the provincial government,
IGPA/Takamul will facilitate a partnership between the provincial government and local CSOs with
the objective of promoting ongoing activities and making citizens aware of planned activities and
efforts to improve water services.
Deliverables
Deliverables of this activity are as follows:
- Five-year strategic plan for water supply services in Basrah including a performance
improvement program and a capital investment program.
Results and indicators
Proposed activity performance indicators AMEP indicators
- Output indicator: strategic plan including a
performance improvement programs and
performance targets to measure service
delivery improvement.
- Indicator 3 (result 1.2): Score on Provincial
Evaluation Departments’ Index.
- Indicator 4 (result 1.3): Number of
improved/reengineered processes or
regulatory procedures implemented by
provincial governments as a result of IGPA
support (Disaggregated by provinces and
type of process.
- Indicator 6 (result 1.1): Number of IGPA-
supported functional Provincial Women
Empowerment Departments (PWEDS).
- Indicator 8 (result 2.2): Number of
mechanisms for external oversight of public
resource use supported by USG assistance.
(Standard Foreign Assistance Indicator
DR.2.4-2).
- Indicator 10 (result 2.4): Number of
provincial in-year budget reports published
in accordance with law/best practice.
- Indicator 12 (result 3.2): Number of Civil
Society Organizations (CSO) receiving USG
assistance engaged in advocacy
interventions. (Standard Foreign Assistance
Indicator DR.4.2-2).
Timeframe
Depending on the availability of additional funds from USAID and the exercise of option years,
IGPA/Takamul can extend this activity and provide additional support to the province of Basrah to
implement target activities included in the strategic plan.
Task 11/18 12/18 01/19 02/19 03/19 04/19 2019
Define the activity objective
Create working groups
Hire a qualified water institutional expert
Develop performance improvement programs
87
Develop a capital investment program
Present the strategic plan and improve
awareness
Support the implementation of the plan
2. Conduct a cost-recovery analysis for water supply services in Basrah
IGPA/Takamul will provide technical assistance to the Basrah provincial water directorate,
particularly the financial department, to introduce sound financial practices in line with international
accounting standards and generate sound cost-recovery ratios. This will be achieved through proper
documentation of revenues and expenses on accrual basis for proper evidence-based financial
planning, decision-making and reporting. While public institutions in Iraq operate on a cash basis by
law, the introduction of accrual principles to manage revenues and expenses in this case is important
for costing and financial planning purposes.
The main objective of this activity is to generate an accurate cost-recovery ratio and measure the
financial performance of the Basrah provincial water directorate. Specific objectives are as follows:
- Generate a baseline financial performance of the water directorate in view of developing a
performance improvement program that would fit in the strategic plan described under
activity 1 above.
- Introduce international financial/accounting standards to the water directorate.
- Improve financial reporting to AFAD and the ministry of finance that will inform the
allocation of subsidies.
To achieve these objectives, IGPA/Takamul will provide technical assistance according to the
following tasks:
Develop data collection forms and templates: IGPA/Takamul will work with financial staff of
the water directorate to better understand their budget structure/items and will develop simple,
excel-based data collection forms to document all fixed and variable expenses from January 2017 to
date, on accrual basis.
Collect all operational expenses related to water supply services on accrual basis:
IGPA/Takamul will support staff of the water directorate to collect all financial expenses related to
water supply operations from 2017 to date, on an accrual basis. This includes all fixed and variable
costs, regardless if they were covered through subsidies from the federal government, through
direct funds generated by the water directorate’s revenues, or if they have not been paid and remain
a liability (debt).
Collect data related to overall revenues and fee collection against water services:
IGPA/Takamul will support the water directorate in estimating its annual “theoretical” revenues
based on the number of registered customers in different categories (residential, commercial and
public institutions), from January 2017 to date.
Calculate cost recovery ratios for 2017 and 2018: Operational cost recovery is defined
according to the International Water Association (IWA) as the percentage of actual expenses
incurred covered by collections during a certain period of time. The tasks described above will allow
to generate cost recovery ratios on an accrual basis, for 2017 and 2018. This ratio will give the
water directorate an indication of its financial performance in terms of (1) collection efficiency, and
(2) tariff efficiency. Another benefit of this exercise is that the water directorate will have a better
understanding of its overall operation and maintenance cost structure and estimate its expenses to
prepare a budget based on actual, accrual expenses and revenues. This will improve annual financial
reporting to AFAD and allow the water directorate, AFAD and the ministry of finance to better
estimate the financial performance of the sector and take actions accordingly.
88
Provide technical assistance to the water directorate to analyze results and develop a
performance improvement program to be included in the strategic plan: In coordination
with AFAD (and potentially the Ministry of Finance), the water directorate will present results and
develop a performance improvement program in line with the current structure of the sector,
responsibilities of every institution, and acceptability given existing political and cultural sensitivity.
Deliverables
Deliverables of this activity are as follows:
- Accurate documentation of operational expenses for 2017 and 2018 on accrual basis.
- Cost-recovery ratios for 2017 and 2018 that allow the development of a financial
improvement program.
Performance indicators
Proposed activity performance
indicators
AMEP indicators
- Cost recovery ratio - Indicator 3 (result 1.2): Score on Provincial Evaluation Departments’
Index (we must make sure these indicators are included in the
index).
- Indicator 9 (result 2.3): Percentage increase in local revenues in
provinces as a result from revenue generation, collection and
management interventions by IGPA interventions.
- Indicator 10 (result 2.4): Number of provincial in-year budget
reports published in accordance with law/best practice.
- Indicator 8 (result 2.2): Number of mechanisms for external
oversight of public resource use supported by USG assistance.
(Standard Foreign Assistance Indicator DR.2.4-2)
Timeframe
Task 11/18 12/18 01/19 02/19 03/19 04/19 2019
Develop data collection forms/templates
Collect operational expenses data for 2017 and
2018
Collect revenue and fee collection data for 2017 and
2018
Generate cost recovery ratios
Develop a PIP and include in the strategic plan
3. Conduct business process re-engineering to improve the water directorate’s
operations
The objective of this activity is to analyze the current policies, procedures and processes governing
the day-to-day operations of the Basrah water directorate and improve them to increase efficiency,
reduce the burden on citizens whenever applicable, and improve internal control measures.
To achieve this objective, IGPA/Takamul will undertake the following tasks:
Identify appropriate processes to improve at the water directorate: IGPA/Takamul will
meet with staff from different departments at the water directorate and will conduct a literature
review of different by-laws and regulations describing the day-to-day operations of the water
directorate. Under this task, the water directorate and the project will identify up to five priority
processes (or modules as part of a large process) to improve based on well-defined criteria such as:
- importance to the day-to-day operations.
- increase of efficiency in performing tasks.
- social inclusion principles and impact on citizens and their trust in the directorate.
- impact on the directorate’s financial performance or customer service.
89
Conduct a business process mapping: IGPA/Takamul will provide the necessary resources to
conduct a business process mapping and document current work flows using simple visual methods
to highlight the steps in a work flow. Staff of the water directorate will review these work flows and
provide comments and adjustments prior to validation.
Conduct a business process re-engineering: IGPA/Takamul will conduct a re-engineering of up
to 5 priority processes (or modules) identified to increase efficiency and control measures. Under
this task, issues such as unnecessary paperwork, signatures and bureaucracy will be addressed and,
to the extent possible, reduced. It is to be noted that all changes to processes will remain in line
with approved policies and procedures.
Validate the new processes with staff of the water directorate: IGPA/Takamul will present
and discuss the new processes with staff of the water directorate and include their comments prior
to presenting them to senior management for additional comments, approval and adoption.
Provide training and support to the water directorate for proper implementation:
Whenever necessary, IGPA/Takamul will design an on-the-job training to support the water
directorate in the implementation of the new processes and will provide continuous support to
make sure they are well integrated in the day-to-day work of the directorate. Based on resources
and funding, the project will also explore options for replication or expansion of this activity to
additional processes.
Deliverables
Deliverables of this activity are as follows:
- Up to 5 business process mapping documents.
- Re-engineered business process documents.
Performance indicators
Proposed activity performance indicators AMEP indicators
Indicator 4 (result 1.3): Number of improved/reengineered processes or regulatory procedures implemented by
provincial governments as a result of IGPA support.
Indicator 7 (result 2.1): Number of government institutions (central, federal, and provincial governments)
that have implemented SOPs as a result of IGPA support.
Timeframe
Task 11/18 12/18 01/19 02/19 03/19 04/19 2019
Identify up to 5 processes
Business process mapping (as is, work flow
documentation)
Business process re-engineering
Validate the BPR
Conduct training and provide support
4. Assist the water directorate in system efficiency and social inclusion mapping
The objective of this activity is to bring customers, their challenges and characteristics into sharper
focus for the water directorate so they can design and deliver more equitable and responsive
services. This system would evolve into a digital database to gradually update and map registered
customers, and disaggregate them by social category, access to infrastructure type, service issues
related to water quality or quantity and responses, hot spots, etc. Such information will help service
delivery units track and prioritize areas for intervention, repair and rehabilitation, expansion, etc.
while tracking issues that can be addressed through public awareness campaigns and other
approaches. This activity will also inform the development of the water strategic plan under activity
1 above.
90
Given its complexity and the impact this activity can have on the performance of service delivery and
social inclusion, IGPA/Takamul will rely on different staff from different departments in the water
directorate to contribute and to coordinate this work. The project will coordinate with the
directorate’s management and identify those staff member(s) who can serve as change agents and
support other provinces to replicate this work.
To achieve this objective, IGPA/Takamul will undertake the following tasks:
Conduct mobile water quality sampling and testing, in situ: The water directorate faces
challenges related to customers’ limited awareness of water quality standards and suitability of the
water for drinking. IGPA/Takamul will facilitate a partnership between the water directorate, CSOs
and PWEDs to work together and identify priority service areas where poor water quality is a
perceived issue. Mobile water testing kits will be used to enter communities and engage water
decision makers (mainly women) in assessing and discussing issues related to water quality, suitability
for drinking and other uses.
Provide technical assistance to the water directorate to update its customer database:
IGPA/Takamul will support the water directorate to design (and, contingent on funding, conduct) a
census to update its customer register, digitize existing account information using GIS maps and
begin capturing disaggregated customer data. Staff from the water directorate will work with the
Provincial Women’s Empowerment Department (PWED) and IGPA’s Equality and Inclusion team to
decide on relevant categories of social inclusion to be tracked. Given the high population density in
its service area and the large number of dwellings, IGPA/Takamul will support staff to design the
survey in phases and identify priority zones to be surveyed first. The selection of priority zones will
be linked to target water treatment plants the project is supporting under the priority action plan to
address the water crisis. Given the technical, social and customer service nature of such survey,
IGPA/Takamul will make sure that the directorate’s team designing the survey includes staff working
in these different areas so that social aggregation of customers, technical inspection of house
connections and the update of the database are possible and well-integrated. The team will apply the
following approach:
- Analyze the data in the current customer register.
- Identify different customer categories according to the directorate’s regulations, and
different tariffs for each category.
- Work with PWEDs to identify additional customer categories based on social inclusion
criteria to track.
- Digitize the current customer register and generate GIS maps.
- Collect and review statistics and studies on population and dwellings in the service area and
compare these statistics to the customer register.
- Develop a concept to conduct the study based on the above steps. The concept will include
an approach to select one zone serviced by the treatment plant(s) targeted under activities 1
and 2 above and other social inclusion considerations.
- Conduct the survey with field teams including at least a collector familiar with the location of
customers and a technician familiar with house connections, and supervision teams including
staff from the technical and customer departments, and PWEDs. Supervision teams will be
responsible for quality control, interpretation and analysis of results, and development of an
updated database and GIS maps.
For proper social inclusion mapping, the project will build on its experience working with civil
society in year 1 to support this activity.
Provide technical assistance to map existing assets: One major issue affecting the quality of
service delivery is the depreciation of transmission and distribution networks leading to high rates of
Non-Revenue Water (NRW). With its limited capacities, the water directorate is performing urgent
repairs and reacting to emerging problems. To improve this situation, IGPA/Takamul will support the
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water directorate to document its assets so, on the medium term, it is capable of gradually
integrating capital repair and replacement and renewal of fully depreciated assets in its capital
investment program mentioned under activity 1 above. Given the complicated nature of this task,
especially the documentation of buried water assets and the lack of information related to age,
material and technical specifications, the documentation of these assets will be conducted in phases,
with priority given to zones supplied by the treatment plants targeted by the ongoing priority actions
to address the water crisis in Basrah. The team will conduct the documentation of assets according
to the following approach:
- Collect all maps and information related to assets in the areas services.
- Identify the survey zone with staff of the water directorate.
- Work with PWEDs to identify the different categories of households (connected and not
connected) within the survey area based on social criteria.
- Develop a concept for the documentation of assets within the defined zone.
- Based on the availability of funds from USAID, conduct the documentation of assets based
on existing maps, documents, satellite images and other support tools. One key factor for
proper data collection is to identify current and previous employees who constitute “the
institutional memory” of the directorate to locate these assets so the team can digitize data
and generate GIS databases and maps.
Note: Digital maps of water assets, customers and those who are not connected to the water
system by social category in one zone constitute an important decision support tool for the water
directorate to make decisions related to capital investment and operation and maintenance not only
from a technical and financial perspective but allow adding a social dimension that is crucial to
improving governance and accountability. The water directorate can team up with PWED to design
and implement multiple activities based on the results of these surveys.
Given its complexity, this activity will be limited to one zone within the water directorate’s service
area. Depending on the availability of funds from USAID and the exercise of options years, all the
preparatory work will be conducted in year 2 with actual field work conducted starting June 2019.
IGPA/Takamul can expand the activity and replicate contingent on the availability of funds.
Deliverables
Deliverables of this activity are as follows:
- Detailed concept and action-plan to conduct a customer survey and create a digital register
of account holders that disaggregates by relevant categories of users in priority zones.
- Detailed concept and action-plan to document existing assets in priority zones.
Performance indicators
Proposed activity performance
indicators
AMEP indicators
Percentage of water samples
compliant with quality standards.
Output indicator only: 2 concept
notes for the surveys
If the surveys are complete:
- Indicator 3 (result 1.2): Score on Provincial Evaluation
Departments’ Index (we must make sure these indicators are
included in the index).
- Indicator 6 (result 1.1): Number of IGPA-supported functional
Provincial Women Empowerment Departments.
- Indicator 10 (result 2.4): Number of provincial in-year budget
reports published in accordance with law/best practice.
- Indicator 12 (result 3.2): Number of Civil Society
Organizations (CSO) receiving USG assistance engaged in
advocacy interventions. (Standard Foreign Assistance Indicator
DR.4.2-2)
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- Indictor 11 (result 3.1): Number of mechanisms developed or
improved, and implemented, to establish effective citizen
participation, outreach and communication.
Timeframe
Task 11/18 12/18 01/19 02/19 03/19 04/19 2019
Conduct mobile water quality testing
Update the customer database
- Analyze current customer registers
- Identify customer categories
- Identify additional categories with PWEDs
- Digitize current customer data (if possible)
- Review other statistics and studies
- Develop and validate the survey concept
- Conduct the survey (if funds are available)
Document existing assets
- Collect maps and documents
- Identify survey zones
- Identify household categories with PWEDs
- Develop a concept for the survey
- Conduct the survey
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Annex 7: Assistance Package 3 – KRG Water
Supply Services
Assistance package for water supply services in the Kurdistan Regional Government
(KRG)
Background
The USAID-funded IGPA/Takamul project is designed to focus on assisting the KRG in improving
water supply and electricity service provision to all citizens. The project recognizes the current
challenges in the KRG due to the financial crisis, the government’s priority to limit public spending,
and the need to provide basic services on an equitable basis to all citizens. In the water sector, this
demonstrates accountability on the part of the KRG water directorate and gives all communities a
stake in good governance. The project is hence designing this assistance package in ways to build on
ongoing activities undertaken, mainly the public-private partnership between the water directorate
and a private company to improve billing and collection and help ensure that gains will be sustained
over the long term.
In its first year of implementation, IGPA/Takamul initiated its support to the reform of Xizmat to
improve public services to citizens. This work is part of the support provided to the Deputy Prime
Minister (DPM) office, but the project is facing some challenges during implementation due to the
current political situation. In parallel, IGPA/Takamul is working to improve procurement and
contracting policies through the development of standardized bidding documents. To do so,
IGPA/Takamul brought together the KRG ministry of planning and the federal ministry of planning to
undertake procurement reforms based on the International Federation of Consulting Engineers
(FIDIC) standards. The project is also providing capacity building and support to facilitate this
reform.
In the water sector, IGPA/Takamul supported the KRG water directorate to undertake a business
process re-engineering (BPR) in Erbil, Dahuk and Sulaymaniah to improve customer service and
encourage citizens to subscribe to the public water system. The water directorate capitalized the
support received by the project and used the new processes to implement a fully automated billing
and collection system through a performance-based contract funded by the directorate with a
private international company – Khatib & Alami. This work was coupled with additional activities
with CSOs to develop appropriate communication activities and increase awareness on the need to
reduce water consumption.
In its second year of implementation, the project will build on year 1 activities and lessons learned
and will provide additional technical support to improve water service delivery by supporting the
KRG water directorate - the only institution mandated by law to provide water services - to
improve its performance and by creating an institutional enabling environment. To do so, the project
will address multiple aspects of service delivery including mechanisms by which citizens and the
government can hold each other accountable for functioning systems. By focusing on social inclusion,
it is more likely that the water directorate, its customers, and citizens at large will be willing to
protect water resources and support the water sector. Civil society and the regional gender units
have critical roles to play making sure that the water directorate is aware of the diverse needs of its
population. The project will also benefit from the experience of the KRG water directorate as a
pioneer in public-private partnerships and will support staff who were involved in the design and
implementation of this partnership to act as “change agents” and share their experiences with other
directorates and provinces. IGPA/Takamul sees the current situation in the KRG as an opportunity
and designed these interventions in a way that links service delivery to more detailed understanding
of service demand, and the diversity of service needs and users across the service area.
The KRG assistance package includes activities described below that cover the four internationally
recognized areas of water utility management, i.e. technical, administrative/human resources, financial
and customer service. IGPA/Takamul added a fifth area designed to begin understanding and mapping
94
various aspects of service demand. Activities included in this assistance package have been identified
based on the performance in these five areas and have the overall objective to implement an
integrated performance improvement program that incorporates IGPA’s key objectives and will have
a positive impact on water service delivery and customer satisfaction.
Overall strategic approach
IGPA’s overall approach consists of proposing high impact activities during year 2 to improve water
supply services and prepare the ground for longer-term activities that would, gradually, ensure more
systemic and sustainable change. Proposed activities are defined in line with USAID’s development
hypothesis with the objective to improve water supply services, public financial management and
transparency, and monitoring/oversight to increase citizen’s trust in their government. To do so,
IGPA applies a Problem-Driven Iterative Adaptation (PDIA) approach while designing and
implementing activities as stated in the project’s overall SOW:
- activities are tailored to the specific and urgent needs to improve water services;
- implementation is flexible and targets specific areas selected with well-defined criteria
related to population density, gender and social inclusion;
- activities are designed taking into consideration lessons learned in year 1 and tools
developed with the project’s support; and
- engagement of and coordination with local actors (provincial and local authorities, Civil
Society Organizations (CSOs), Social Accountability Groups (SAGs), other international
agencies, etc.) is key to define local solutions.
The activities proposed in this document are based on several meetings with staff from different
departments of the KRG water directorate on October 23 - 25 to identify major challenges
impacting the performance of water services.
7. Develop standard procedures for the operation and maintenance (O&M) of
water treatment plants, and build staff capacity to implement these procedures
Based on a meeting with the chief technician in charge of the Al Qandil water treatment plant
(capacity of 3,000 m3/hour), the water directorate does not implement any standard procedures for
preventive routine maintenance. Al Qandil water treatment plant was built in 2012. The water
directorate had a service agreement with a Turkish company to operate the SCADA system and
train staff on its use. The agreement came to an end in 2016. Since then, the system has not been
used to its fullest extent. Other components of the plant benefit from corrective maintenance and
repair works whenever there is an emergency to ensure continuity of service. The situation is similar
in other parts of the KRG water directorate’s service area. The chief technician explained that
practices are not different in the Ifraz treatment plant (capacity of 10,000 m3/hour) for example
where he used to previously work. He finally explained that the lack of preventive maintenance is
mainly due to the ongoing financial crisis and the government’s policy to cut public spending.
The above example shows that even in cases where the necessary infrastructure is available and
working properly, the lack of financing and proper financial planning impacts the sustainability of
services. Accordingly, IGPA/Takamul is proposing activities to address these issues from different
technical, financial and governance perspectives as explained below.
The objective of this activity is to ensure a sustainable water supply service and reduce maintenance
and repair costs of water treatment plants. Specific objectives are as follows:
- Introduce technically sound operation and maintenance procedures of water treatment
plants.
- Train operators to implement these procedures.
To achieve the above-mentioned objectives, IGPA/Takamul will undertake the following tasks:
Meet with the KRG water directorate and identify priority water treatment plants: The
project team will meet with the water directorate’s technical team to present the activity and
identify water treatment plants to target according to well defined criteria based on impact
95
measured by population served (disaggregated to ensure social inclusion30), availability of water
sources, etc. The meeting will also establish the profile of staff to participate in this activity and
collect the following information (to the extent information is available):
- technical documents such as as-built drawings, operation manuals, etc.
- financial data related to the maintenance cost of treatment plants.
- technical data such as pumps run-time.
- Other information.
Conduct a technical assessment of water treatment plants: IGPA/Takamul, with the support
of its technical short and long-term staff, will visit target water treatment plants and conduct a
detailed technical assessment including mechanical, electro-mechanical, electrical, civil components
and SCADA systems whenever applicable. The team will examine current operation and
preventive/routine maintenance practices, as well as maintenance records and information if available
such as pump run-time, water flows in case meters are available, etc.
Conduct a training needs assessment (TNA) for water treatment plants operators:
IGPA/Takamul will organize meetings with all plant operators to better understand their roles and
assess their capacities and training needs to better perform their tasks. The training needs
assessment will be conducted through group and/or individual discussions, in addition to simple tests
and observations during their daily tasks.
Conduct a needs assessment to properly operate the Supervisory Control and Data
Acquisition (SCADA) system at Al Qandil treatment plant: Particularly, IGPA/Takamul will
conduct a training needs assessment to operate the existing SCADA system in the Al Qandil
treatment plant and discuss different options with the KRG water directorate’s management:
operate the SCADA system directly with staff of the directorate versus outsourcing the operation
to a private operator. In the second case, the project would support the water directorate in
preparing a service agreement with a qualified provider. In both cases, operational expenses should
be covered directly by the water directorate.
Present recommendations to improve current O&M practices: Based on the assessment,
IGPA/Takamul’s technical team will prepare a report highlighting existing technical issues in water
treatment plants, current O&M practices, and recommendations to improve the performance of
these plants and O&M procedures. The report and recommendations will be presented to the water
directorate’s management team for comments and approval.
Design SOPs for O&M of water treatment plants and build operators’ capacities: Based
on the observations and discussions with plants operators, IGPA/Takamul will develop standard
operating procedures for the operation and routine/preventive maintenance of water treatment
plants. These procedures will be designed in the form of simple reference documents and guidelines
to be used during an on-the-job training to build operators capacities and improve O&M. The
training will be delivered to staff designated by the water directorate, and will take place on-site, in a
water treatment plant, to remain practical and address issues operators face in their day-to-day
work.
Provide support to the technical and financial teams to properly budget and plan for
routine maintenance (see activity 3 on cost-recovery below): Staff of the water directorate
explained that the current financial crisis in the KRG hinders the implementation of proper
preventive maintenance. To overcome this problem, IGPA/Takamul will help in increasing awareness
of staff in the financial department and senior management on the importance of preventive
maintenance and the impact it has on the long-term, in addition to cost savings it could generate and
increase of cost recovery due to the reduction in high costs.
Provide follow-up support to water treatment plant operators in their daily work: To
ensure the sustainability of this activity beyond the training, IGPA/Takamul technical team will
30
This becomes one of the base layers of the ‘mapping’ exercise. To be used to justify investment choices, as a baseline against which to
measure accountability to different audiences, etc.
96
conduct regular visits to the plants over a period of 3 months at a frequency to be determined with
the water directorate management and treatment plant operators. The objective of these visits is to
provide additional assistance and make sure the newly-introduced O&M procedures are applied.
Regular visits to the treatment plants will also serve to monitor the overall maintenance expenses
and pump run-time to assess the impact of the activity on operations. In parallel, and to the extent
possible given the directorate’s internal policies and procedures, IGPA/Takamul will share the SOPs
with the human resources department and provide support to integrate them in the induction
program (if applicable) of newly recruited technical staff. Finally, IGPA/Takamul’s technical team will
also seek this opportunity to identify (if applicable) one or more of the staff from the water
directorate who fully understand and systematically apply these procedures to continue to lead
efforts in ensuring O&M procedures are adhered to. These staff members will receive support from
the project as “change agents” to sustain IGPA’s work.
Deliverables
Deliverables of this activity are as follows:
- Technical assessment report highlighting current repair needs of water treatment plants and
current O&M procedures.
- Simple guidelines and standard operating procedures of water treatment plants.
- Training sessions for plants operators.
Results and indicators
Proposed activity performance indicators AMEP indicators
- Increase/Change of total run time of each
plant
- Reduction of total annual maintenance
and repair costs of each target treatment
plant
- Indicator 3 (result 1.2): Score on Provincial
Evaluation Departments’ Index (we must make
sure these indicators are included in the
index)
- Indicator 14 under cross-cutting: number of
participants trained by IGPA
- Indicator 4 (result 1.3): Number of
improved/reengineered processes or
regulatory procedures implemented by
provincial governments as a result of IGPA
support (Disaggregated by provinces and type
of process.
Timeframe
Depending on the availability of additional funds from USAID and the exercise of IGPA/Takamul’s
option years, this activity can be expanded to cover additional treatment plants within the KRG
water directorate.
Task 11/18 12/18 01/19 02/19 03/19 04/19 2019
Identify target water treatment plants
Conduct a tech assessment of the water
treatment plants
Conduct TNA
Conduct an assessment of SCADA systems
Present recommendations to improve current
O&M
Design SOPs for O&M and train operators
Provide support to technical and financial
teams
Provide follow-up support
8. Provide technical assistance to the KRG water directorate to develop a
rehabilitation plan for water treatment plants
The objective of this activity is to provide technical assistance to the water directorate to improve
the operational performance of water treatment plants through the development and
97
implementation of a capital repair and replacement program. While IGPA/Takamul has no funds for
repair works or for the procurement of equipment and/or spare parts, this activity aims at providing
the necessary assistance to the water directorate to conduct studies, develop a plan and mobilize
funds to execute these works.
To reach the above stated objective, IGPA/Takamul will undertake the following tasks that are
informed by the technical assessment mentioned under activity 1 above.
Assist the water directorate to develop a scope of work and conduct a procurement for
engineering/design professional services: The technical assessment conducted under activity 1
above will identify specific needs for repair and replacement works to improve the operational
performance of treatment plants. Accordingly, IGPA/Takamul will provide technical assistance to the
water directorate to develop a detailed scope of work, conduct a procurement and identify a
qualified engineering company to undertake the design/engineering studies required to refurbish the
plants. The support for the development of this scope of work and during the procurement process
will build on IGPA/Takamul’s assistance in the area of standard bidding procedures to date.
Assist the water directorate to manage the engineering company and review
engineering design and studies: In coordination with the Ministry of Finance and the Ministry of
Planning, the water directorate will select a qualified engineering company to conduct the studies
and design according to its own procedures and with its own (internal or external funding). During
this phase, IGPA/Takamul will provide continuous support to review studies, designs and other
deliverables and assist the directorate in managing its engineering company and performing quality
control.
Assist the water directorate to mobilize funds and execute works: As mentioned above,
USAID does not provide funds through IGPA/Takamul for the execution of infrastructure repair and
replacement works. However, IGPA/Takamul will provide assistance to the water directorate to
mobilize funds and finance these works.
Deliverables
Deliverables of this activity are as follows:
- SOW and tender documents for engineering/design services for the repair of water
treatment plants.
- Detailed studies and design (with technical specifications, Bill of Quantities (BOQs) and cost
estimates) for the rehabilitation and maintenance of water treatment plants.
Performance indicators
Proposed activity performance indicators AMEP indicators
- SOW for capital repair and replacement
OR detailed engineering studies for capital
repair and replacement in case USAID
exercises an option year.
- Indicator 5 (result 1.3): Number of
contracts awarded (by GOI) as a result of
IGPA support.
Timeframe
Task 11/18 12/18 01/19 02/19 03/19 04/19 2019
Develop a SOW and procurement for
engineering/design
Assist in managing the engineering company
and reviewing deliverables
Assist in fund mobilization
9. Conduct a cost recovery analysis of water supply services in the KRG
IGPA/Takamul’s team noted the following points based on discussions with staff of the financial
department:
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- The water directorate has no financial autonomy - operational expenses are subsidized by
the KRG. The ministry of finance transfers, monthly, the overall amount required to cover
all staff salaries and associated benefits.
- The water directorate does not pay its electricity bills. The annual budget for electricity is
just an estimate and the water directorate does not keep track of electricity expenses.
- The collection of fees against water services in the KRG is not 100%. For example, it is
estimated that 40% of water customers pay against water services in Erbil (the team could
not collect data for other areas). The water directorate transfers 80% of its overall revenues
to the KRG and keeps 20% (ratios recently changed from previously 60% to the government
and 40% to the directorate) for operation and maintenance expenses. These revenues are
not stable and vary depending on the collection efficiency in the service area. Therefore,
spending depends on the availability of funds generated by collections, and not based on
operational needs and sound financial projections.
- The overall fees collected are recorded per year without a clear distinction between
collections for the year versus collection of receivables from previous years.
These points indicate that financial management at the water directorate is not in line with
international accounting standards. The current financial management practices hinder the
generation of a sound cost-recovery ratio that reflects real costs and constitutes the basis for
proper financial planning, budgeting especially in the current situation of financial crisis and
uncertainty. On the long-term, the current practices do not allow the introduction of a proper tariff
system to achieve full cost recovery.
IGPA/Takamul will provide technical assistance to the water directorate, particularly the financial
department, to properly document its revenues and expenses on an accrual basis and generate a
cost recovery ratio for proper evidence-based financial planning, decision-making and reporting.
While public institutions in the KRG operate on a cash basis by law, the introduction of accrual
principles to manage revenues and expenses in this case is important for costing and financial
planning purposes.
The main objective of this activity is to generate an accurate cost-recovery ratio and measure the
performance of the KRG water directorate. Specific objectives are as follows:
- Generate a baseline financial performance of the water directorate in view of developing a
performance improvement program on the longer term.
- Introduce international financial/accounting standards to the water directorate.
- Improve financial reporting to the ministry of finance that will inform the allocation of
subsidies.
To achieve these objectives, IGPA/Takamul will provide technical assistance according to the
following tasks:
Develop data collection forms and templates: IGPA/Takamul will work with staff of the
financial department of the water directorate to better understand their budget structure/items and
will develop simple, excel-based data collection forms to document all fixed and variables expenses
from January 2017 to date, on accrual basis.
Collect all operational expenses related to water supply services on accrual basis:
IGPA/Takamul will support staff of the water directorate to collect all financial expenses related to
water supply operations from 2017 to date, on accrual basis. This includes all fixed and variable
costs, regardless if they were covered through subsidies from the government, through direct funds
generated by the water directorate’s revenues, or if they have not been paid and remain a liability
(debt).
Collect data related to overall revenues and fee collection against water services: The
water directorate is currently developing a new, fully automated billing and collection system and
conducting a customer census to improve its revenues, according to a performance-based contract
with a private company. However, fees against water services are low and do not reflect the real
cost associated with providing water services. IGPA/Takamul will support the water directorate in
99
estimating its annual “theoretical” revenues based on the number of registered customers in
different categories (residential, commercial and public institutions), from January 2017 to date.
Calculate cost recovery ratios for 2017 and 2018: Operational cost recovery is defined
according to the International Water Association (IWA) as the percentage of actual expenses
incurred covered by collections during a certain period of time. The tasks described above will allow
to generate cost recovery ratios on an accrual basis, for 2017 and 2018. This ratio will give the
water directorate an indication of its financial performance in terms of (1) collection efficiency, and
(2) tariff efficiency. Another benefit of this exercise is that the water directorate will have a better
understanding of its overall operation and maintenance cost structure and estimate its expenses to
prepare a budget based on actual, accrual expenses and revenues. This will help the KRG to
optimize the available financial resources and provide the water directorate with the right tools to
justify budget requests to sustain its operations and infrastructure by including, for example, a budget
for preventive maintenance as mentioned under activity 1 above. This task will also improve annual
financial reporting to the ministry of finance and allow the water directorate and the ministry of
finance to better estimate the financial performance of the sector and take actions accordingly.
Provide technical assistance to the water directorate to analyze results and define next
steps: In coordination the ministry of finance and the ministry of planning, the water directorate will
present results and develop a performance improvement program in line with the current structure
of the sector, responsibilities of every institution, and acceptability given existing political sensitivity.
Longer term, this analysis will constitute the basis to review the existing tariff system and develop a
consumption-based tariff system that would contribute to improving cost recovery while ensuring
better equity amongst customers. Unlike other parts of Iraq, the introduction of a consumption-
based tariff system is possible in the KRG due to the customer census the water directorate is
currently conducting in partnership with a private company and the installation of customer meters
for every household in the service area.
Deliverables
Deliverables of this activity are as follows:
- Accurate documentation of operational expenses for 2017 and 2018 on accrual basis.
- Cost-recovery ratios for 2017 and 2018 that allow the development of a financial
improvement program.
Performance indicators
Proposed activity performance
indicators
AMEP indicators
- Cost recovery ratio - Indicator 3 (result 1.2): Score on Provincial Evaluation Departments’
Index (we must make sure these indicators are included in the
index).
- Indicator 9 (result 2.3): Percentage increase in local revenues in
provinces as a result from revenue generation, collection and
management interventions by IGPA interventions.
- Indicator 10 (result 2.4): Number of provincial in-year budget
reports published in accordance with law/best practice.
- Indicator 8 (result 2.2): Number of mechanisms for external
oversight of public resource use supported by USG assistance.
(Standard Foreign Assistance Indicator DR.2.4-2)
Timeframe
Task 11/18 12/18 01/19 02/19 03/19 04/19 2019
Develop data collection forms/templates
Collect operational expenses data for 2017 and
2018
Collect revenue and fee collection data for 2017 and
2018
Generate cost recovery ratios
100
Provide TA to develop a PIP
10. Conduct a business process re-engineering (BPR) to improve the water
directorate’s operations
Building on ongoing work to improve workflows and procedures within the water directorate and
increase transparency and accountability, IGPA/Takamul will conduct further BPR activities. The
project has previously supported the water directorate in reducing the steps and paperwork
required to apply for a new water connection. The water directorate approved these new
procedures and integrated them in its daily work in Erbil (the team could not verify if these
procedures were integrated in other regions as well). More importantly, the water directorate
contracted a private service provider, Khatib & Alami, to design and implement an automated billing
and collection system. The system is currently being designed based on the new workflows and
procedures developed with support from IGPA/Takamul.
During the quick assessment conducted in October 2018, IGPA/Takamul met with the head of the
water distribution department in Erbil and learned that most transactions related to operation and
maintenance of distribution networks are not compliant with basic financial practices. The
distribution network in Erbil is depreciated and pipe bursts occur frequently impacting the quality of
service and supply hours to customers. In addition, due to complicated rules and regulations at the
water directorate, coupled with the ongoing financial crisis and the lack of funds, the distribution
department does not have a stock of fittings, pipes and other spare parts to respond to emergencies
and quickly undertake repair works. To repair distribution networks, especially in the case of an
emergency, the head of the distribution department relies on informal agreements with suppliers of
pipes, spare parts and material on the local market. Payments occur only when the directorate of
water provides the necessary funds to the distribution department, sometime one or two years
later. For example, the water directorate owed around 16 million IQD currently to local suppliers,
all generated by informal transactions. This practice is risky and undermines transparency and
accountability principles governing the work of any well-functioning institution.
The project will carry on the business process re-engineering with the objective to analyze the
current policies, procedures and processes governing the day-to-day operations of the KRG water
directorate and improve them to increase efficiency, control, transparency and accountability.
IGPA/Takamul cannot provide direct budget support to address the current financial crisis and
increase the budget available for operations and maintenance. This remains the responsibility of local
authorities. However, the improvement of control, transparency and accountability will allow the
directorate to process spending requests fasters in the case of emergency repairs and manage its
funds in a more efficient way. This activity will not solve the limited funding issue though.
To achieve this objective, IGPA/Takamul will undertake the following tasks:
Identify appropriate processes to improve at the water directorate: IGPA/Takamul will
meet with staff from different departments at the water directorate and will conduct a literature
review of different by-laws and regulations describing the day-to-day operations of the water
directorate. Under this task, the water directorate and the project will identify up to five priority
processes (or modules as part of a large process) to improve based on well-defined criteria such as:
- importance to the day-to-day operations.
- increase of control, transparency, accountability and efficiency in performing tasks.
- social inclusion principles and impact on citizens and their trust in the directorate.
- impact on the directorate’s financial performance or customer service.
Conduct a business process mapping: IGPA/Takamul will provide the necessary resources to
conduct a business process mapping and document current work flows using simple visual methods
to highlight the steps in a work flow. Staff of the water directorate will review these work flows and
provide comments and adjustments prior to validation.
Conduct a business process re-engineering: IGPA/Takamul will conduct a re-engineering of up
to 5 priority processes (or modules) identified to increase efficiency, control and accountability.
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Under this task, issues such as unnecessary paperwork, signatures, risk of fraud, lack of transparency
and bureaucracy will be addressed and, to the extent possible, reduced. It is to be noted that all
changes to processes will remain in line with approved policies and procedures.
Validate the new processes with staff of the water directorate: IGPA/Takamul will present
and discuss the new processes with staff of the water directorate and include their comments prior
to presenting them to senior management for additional comments, approval and adoption.
Provide training and support to the water directorate for proper implementation:
Whenever necessary, IGPA/Takamul will design an on-the-job training to support the water
directorate in the implementation of the new processes and will provide continuous follow-up to
make sure they are well integrated in the day-to-day work of the directorate. Based on resources
and funding, the project will also explore options for replication or expansion of this activity to
additional processes.
Deliverables
Deliverables of this activity are as follows:
- Up to 5 business process mapping documents.
- Re-engineered business process documents.
Performance indicators
Proposed activity performance indicators AMEP indicators
Indicator 4 (result 1.3): Number of improved/reengineered processes or regulatory procedures implemented by
provincial governments as a result of IGPA support.
Indicator 7 (result 2.1): Number of government institutions (central, federal, and provincial governments)
that have implemented SOPs as a result of IGPA support.
Timeframe
Task 11/18 12/18 01/19 02/19 03/19 04/19 2019
Identify up to 5 processes
Business process mapping (as is, work flow
documentation)
Business process re-engineering
Validate the BPR
Conduct training and provide support
11. Assist the water directorate in analyzing the impact of its partnership with the
private sector to conduct a customer census and a social inclusion mapping
The KRG water directorate recently conducted a large procurement and awarded four
performance-based contracts to private companies to conduct an exhaustive customer census
across its entire service area, update its customer database and identify illegal connections. In parallel
to the survey, the directorate requested that all customers purchase and install a customer meter
and coordinated with local suppliers to create demand and promote meters that meet the
directorate’s technical requirements. To encourage customers, the water directorate created
financial incentives for those who comply within first year by offering monthly deductions on the
water bill over a period of 12 months to make up for the cost of the meter. Furthermore, the
directorate hired a private company to design and implement a fully automated billing and collection
system to replace the manual system. The new billing and collection system will be designed using
simplified, more efficient billing and collection procedures introduced with support from
IGPA/Takamul. The overall objective of this activity is to increase the number of customers and
revenues, and to improve efficiency, transparency and control.
The water directorate is using its own resources to implement this activity: a team of procurement
specialists and engineers worked on the design of the activity and procurement of services; financing
is provided internally without external support. The water directorate’s senior managers roughly
estimate the total number of current subscribers in their service area at around 800,000 and expect
a potential increase to more than 1 million customers as a result of this census. In Erbil only, the
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current number of subscribers is around 163,000 - this number is expected to increase to around
250,000 as a result of the census and penalties the water directorate is enforcing in case illegal
subscribers do not comply.
Building on this ongoing initiative at the KRG water directorate, IGPA/Takamul will provide technical
assistance to the KRG water directorate with the objective to measure the impact of this census on
the overall performance of the directorate and to conduct a social inclusion mapping of customers.
To achieve this objective, IGPA/Takamul will implement the following tasks:
Review the scope of work of the customer census: In coordination with staff of the water
directorate, mainly the head of the procurement department at the KRG water directorate,
IGPA/Takamul will analyze the SOW of the customer census, the methodology to encourage
customers to buy and install meters, and the functionalities of the billing and collection system under
development. This exchange and analysis will allow the project to identify areas for additional
support and increase learning from an activity undertaken for the first time in Iraq to assess the
potential of replication in other areas or provinces.
Support the water directorate in analyzing the results of the customer census: The
update of the customer database has an impact on many aspects of the water utility including
financial, technical and customer service. IGPA/Takamul will provide assistance to the water
directorate to conduct a detailed analysis of the results of this census and identify the number of
additional customers identified, the reduction in illegal connections, the reduction in the number of
inactive registered customers, etc. This analysis will allow the water directorate to update its cost-
recovery ratio (see activity 3 above) and estimate the impact of the census on its overall revenues
and financial performance. Finally, this analysis will inform a future discussion on the water tariff
reform based on accurate data.
Support the water directorate in social mapping of its customers: IGPA/Takamul will
support the water directorate to conduct a social analysis of its customers based on recent data and
develop appropriate customer categories with different needs. While the KRG is cognizant of the
social dimension of water services and the need to provide services to all citizens to meet basic
needs, staff from the water directorate will work with the gender unit and IGPA’s Equality and
Inclusion team to decide on relevant categories of social inclusion to be tracked. A proper analysis
and tracking of customers and customer categories will ensure social equity and prepare the ground
for the introduction of a fair tariff system in the future.
Deliverables
Deliverable of this activity is a report including main findings and lessons learned from this activity
and proposed customer categories based on social considerations.
Performance indicators
Proposed activity performance
indicators
AMEP indicators
- Output indicator:
report including main
findings, lessons
learned, and major
customer categories.
- Indicator 3 (result 1.2): Score on Provincial Evaluation Departments’
Index (we must make sure these indicators are included in the
index).
Timeframe
Depending on the availability of funds from USAID, the support under this activity can be extended
beyond year 2 especially that the census is ongoing and requires time to be complete in the entire
service area.
Task 11/18 12/18 01/19 02/19 03/19 04/19 2019
Review SOW of the census
Support in analyzing results
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Support in social mapping
12. Support “Change Agents” to transfer knowledge and replicate successful, high
impact activities
One of IGPA/Takamul’s objectives is to identify and support Iraqi officials prioritizing reform, the
improvement of service delivery, public financial management and acting as “change agents”. During
the quick assessment conducted in October 2018, the team met with the head of the procurement
department at the KRG water directorate, Mr. Khalil Aziz, to learn more about the public private
partnership between the water directorate and Khatib & Alami, progress achieved so far, the SOW
of the customer census, and the design of a new billing and collection system. The main findings after
the meeting were as follows:
- Mr. Aziz led a team of engineers and water experts to design the activity without any
external support.
- According to the water directorate’s experts, the SOW is technically sound and includes
many elements that will contribute to high impact improvement of water service delivery in
the KRG.
- The procurement process to select a service provider is in line with standard bidding
procedures and reflects a high level of professionalism and transparency.
- The current agreement between the water directorate and Khatib & Alami is based on
performance, while taking into consideration the social dimension of water services. In fact,
Khatib & Alami’s performance target is to achieve at least a collection efficiency of 75%,
reflecting the KRG’s policy to take into consideration the situation of different customer
categories.
While it is still early to evaluate the impact of the census and the performance-based contract
resulting from this public-private partnership, it is clear that the KRG water directorate designed an
activity to address the core performance issues of a water utility and tackle them to gradually
improve its performance and ensure a sustainable service despite the limited resources and
autonomy. Given his central role in designing this activity, IGPA/Takamul will provide support to Mr.
Khalil Aziz as a change agent to document lessons learned and explore the possibility of replicating
this activity in a different province through partnerships between the KRG water directorate and
other provinces’ water directorates.
IGPA/Takamul will undertake the following tasks:
Meet with the KRG water directorate’s management to present the concept of change
agent and develop an action plan: IGPA/Takamul will meet with the KRG water directorate’s
management to present the concept of change agents and discuss the possibility of creating a
partnership between the KRG water directorate and another province’s water directorate. The
objective of such partnership would be to share results from KRG and support another province to
replicate this work through knowledge transfer. Mr. Aziz will play a central role in this transfer of
knowledge, but this does not exclude other staff members to contribute and support their peers in
other provinces. IGPA/Takamul and the water directorate will accordingly develop an action plan to
select and support at least one province, including additional capacity building required to the change
agent and the beneficiaries.
Facilitate meetings and exchange between provinces and the KRG water directorate:
IGPA/Takamul will facilitate meetings with the KRG water directorate and visits of officials from
other water directorates to learn about the ongoing activity, work progress, and expected results.
These meetings will allow peers to exchange experiences and learn about specific challenges and
solutions (and failures). Given that the assistance packages developed for other provinces to improve
water services include a customer census and a social inclusion mapping of customers,
IGPA/Takamul will encourage provinces to benefit from the experience in the KRG and associate
change agents to capacity building, support, monitoring and evaluation.
Deliverables
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The deliverable under this activity is a report including main findings and documentation of
exchanges between peers.
Performance indicators
Proposed activity performance
indicators
AMEP indicators
- Output indicator:
report including main
findings and a concept
for a PPP or a
customer census in at
least one province.
- Indicator 14 (results 1 to 4): Number of participants trained by
IGPA.
Timeframe
Depending on the availability of funds from USAID, the support under this activity can be extended
beyond year 2 to multiple provinces.
Task 11/18 12/18 01/19 02/19 03/19 04/19 2019
Develop an action plan
Facilitate exchanges between peers and support
from change agents
13. Assist the water directorate in system efficiency mapping
The objective of this activity is to bring customers, their challenges and characteristics into sharper
focus for the water directorate so they can design and deliver more equitable and responsive
services. This system would evolve into a digital database to gradually update and map access to
infrastructure, service issues related to water quality or quantity and responses, hot spots, etc. Such
information will help service delivery units track and prioritize areas for intervention, repair and
rehabilitation, expansion, etc. while tracking issues that can be addressed through public awareness
campaigns and other approaches.
Given its complexity and the impact this activity can have on the performance of service delivery and
social inclusion, IGPA/Takamul will rely on different staff from different departments in the water
directorate to contribute and to coordinate this work.
To achieve this objective, IGPA/Takamul will undertake the following tasks:
Provide technical assistance to map existing assets: One major issue affecting the quality of
service delivery is the depreciation of transmission and distribution networks leading to high rates of
Non-Revenue Water (NRW). This problem worsens due to illegal connections to the public supply
network. With its limited capacities, the water directorate is only performing urgent repairs and
reacting to emerging problems. Accordingly, IGPA/Takamul will support the water directorate to
document its assets so, on the medium term, it is capable of developing a capital repair and
replacement program including renewal of fully depreciated assets. Given the complicated nature of
this task, especially the documentation of buried water assets and the lack of information related to
age, material and technical specifications, the documentation of these assets will be conducted in
phases, with priority given to zones supplied by the treatment plants included under activities 1 and
2 above. The team will conduct the documentation of assets in coordination with the distribution
network department and maintenance crews according to the following approach:
- Collect all maps and information related to assets in the areas serviced by the treatment
plant(s) under activities 1 and 2 above.
- Identify the survey zone with staff of the water directorate.
- Develop a concept for the documentation of assets within the defined zone. Furthermore,
given that the water directorate is installing household meters across the service area, and
treatment plants and reservoirs constructed recently (such as Qandil treatment plant) have
production and distribution meters, the concept will include flow monitoring in the target
pilot area to estimate NRW.
105
- Based on the availability of funds from USAID, conduct the documentation of assets based
on existing maps, documents, satellite images and other support tools. One key factor for
proper data collection is to identify current and previous employees of the directorate who
constitute “the institutional memory” of the directorate to locate these assets so the team
can digitize data and generate GIS databases and maps.
- Depending on the availability of funds from USAID, or from other donors, IGPA/Takamul
will coordinate with the water directorate to create a district metering area (DMA) in a
pilot zone and monitor the water balance. This will allow the water directorate to identify
leaks or illegal connections and gradually reduce NRW.
Finally, the project will raise the issue of private wells. According to the KRG water directorate staff,
there are currently around 1,200 wells supplying households in Erbil who are not connected to the
public network. It is not clear if these wells are regulated and subject to monitoring or control by
the water directorate.
Note: Digital maps of water assets, customers and those who are not connected to the water
system by social category in one zone constitutes an important decision support tool for the water
directorate to make decisions related to capital investment and operation and maintenance not only
from a technical and financial perspective but allow adding a social dimension that is crucial to
improving governance and accountability. The water directorate can team up with the gender unit to
design and implement multiple activities based on the results of these surveys.
Given its complexity, this activity will be limited to one zone within the water directorate’s service
area. Depending on the availability of funds from USAID and the exercise of options years, all the
preparatory work will be conducted in year 2 with actual field work conducted starting June 2019.
IGPA/Takamul can also expand the activity and replicate contingent on the availability of funds.
Deliverables
Deliverables of this activity are as follows:
- Detailed concept and action-plan to document existing assets in priority zones.
- Detailed concept and action plan to monitor water balance and estimate NRW.
Performance indicators
Proposed activity performance
indicators
AMEP indicators
Output indicator only: 2 concept
notes and action-plans
If the surveys are complete:
- Indicator 3 (result 1.2): Score on Provincial Evaluation
Departments’ Index (we must make sure these indicators are
included in the index).
- Indicator 6 (result 1.1): Number of IGPA-supported functional
gender units.
- Indicator 10 (result 2.4): Number of provincial in-year budget
reports published in accordance with law/best practice.
- Indictor 11 (result 3.1): Number of mechanisms developed or
improved, and implemented, to establish effective citizen
participation, outreach and communication.
Timeframe
Task 11/18 12/18 01/19 02/19 03/19 04/19 2019
Document existing assets
- Collect maps and documents
- Identify survey zones
- Develop a concept for the survey
- Conduct the survey
- Develop a concept to monitor NRW
- Monitor water balance
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14. Develop and implement a short-term campaign to increase customers’
awareness and reduce water consumption, monitor water quality at the
household level, pay their water bills and reduce illegal use of potable water
To improve communication between the water directorate and its current and potential customers,
IGPA/Takamul will support the water directorate to conduct a campaign and monitor water quality,
reduce water consumption, encourage customers to pay their water bills to increase revenues and
reduce illegal connections. The project will facilitate a partnership between the water directorate
and civil society to do so.
To achieve this objective, the project will undertake the following tasks:
Conduct mobile water quality sampling and testing, in situ: The water directorate faces
challenges related to customers’ limited awareness of water quality standards and suitability of the
water for drinking. IGPA/Takamul will facilitate a partnership between the water directorate, CSOs
and the gender unit to work together and identify priority service areas where poor water quality is
a perceived issue. Mobile water testing kits will be used to enter communities and engage water
decision makers (mainly women) in assessing and discussing issues related to water quality, suitability
for drinking and other uses.
Integrate ongoing short-term communication campaigns with technical assistance
noted above: Building on the assessments conducted in year 1 and ongoing activities with CSOs,
IGPA/Takamul will further expand communication campaigns targeting current and potential
customers with a focus on the areas mentioned under the activities in this assistance package. The
campaign will convey the following messages:
- cost of water production, treatment, transmission and distribution.
- results of the water quality testing to improve trust between the population and the water
directorate.
- estimates on water volumes wasted due to bad plumbing in households.
- information on the cost to connect to the public water supply network and regular fees, etc.
Update the communication action plan and carry on communication activities:
IGPA/Takamul will work with the already-established Technical Working Group (TWG) on
communication to update the communication action plan and discuss the materials necessary for the
campaign and messages to convey to the public. The project will moderate planning sessions as
needed and work with the TWG to design relevant RFPs.
Develop awareness material and communication messages: IGPA/Takamul will assist the
water directorate to design and develop awareness material and messages. Technical, graphic design
and communication experts will work with the water directorate staff to develop these messages
and produce specimen copies for review and comments. Once all messages and material are
approved, the project will release an RFP to solicit CSOs to implement campaigns.
Implement the awareness campaign: IGPA/Takamul will support the implementation of the
campaign by, for example, contracting a CSO to provide communication support, or the
organization of training sessions for staff who liaise with customers to hand over awareness material
during their visits to customers, etc.
Deliverables
Deliverables of this activity are as follows:
- Report summarizing the results of the mobile water quality testing.
- Action plan for the awareness campaign.
- Awareness material and message targeting citizens to reduce water consumption, pay their
water bills and connect to the public water supply network.
Performance indicators
Proposed activity performance indicators AMEP indicators
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- Percentage of water samples
compliant with quality standards.
- Number of beneficiaries.
- Indicator 11 (result 3.1): Number of mechanisms
developed or improved, and implemented, to
establish effective citizen participation, outreach
and communication.
- Indicator 12 (result 3.2): Number of Civil Society
Organizations (CSO) receiving USG assistance
engaged in advocacy interventions.
Timeframe
Depending on the availability of funding, awareness campaign can be expanded and replicated to
other regions within the water directorate’s service area.
Task 11/18 12/18 01/19 02/19 03/19 04/19 2019
Conduct mobile water quality testing
Integrate ongoing communication campaigns
Update communication action plan
Develop and produce awareness material
Implement campaigns
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Annex 8: Assistance Package 4 – Support to
Religious Minorities in Ninewa Plain (Concept
Note)
Draft: Assistance to the Religious Minorities in the Ninewa Plains
The USAID-IGPA’s draft Ninewa
Plains Assistance Package (NPAP)
describes the current situation of
the religious minorities in the
Ninewa Plains. It includes the
IGPA’s overall strategy, and
planned activities designed at the
short and medium-terms to help
the religious minorities address
major issues related to the
preservation of their historical
presence and cultural heritage in
the Ninewa Plains.
The NPAP aims at reintegrating
persecuted ethnic and religious
minority communities into a
peaceful Iraq through helping the
local governments on district and
sub-district levels reinstate basic
and critical services to incentivize
volunteer IDP return, sustain the
religious minorities stay, mitigate
the on-going mobility and
migration, and lessen the impact
of the current and on-going
systematic demographic change of
the area.
The NPAP will be implemented in
close partnership with the local
government at the Ninewa Plains’
district and sub-district levels
where the majority of these
minorities are concentrated, in
addition to the local faith and
community leaders (See Annex 1 The Map of the Ethno-Religious Minorities in Iraq).
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CURRENT SITUATION OF THE RELIGIOUS MINORITIES IN THE NINEWA
PLAINS
The administrative borders of the Ninewa Plains consist of three districts: Hamdaniya (also known as
Beghedida or Qaraqush), TelKef, and Shikhan (See Annex 2 Table of the Ninewa Plains Districts and Sub-
districts, and the Religious and Archeological Sites). Main towns are: Telleskuf, Bqofa, Batnaya, Bahzani,
Bashiqua, Bartela, Karamless, Qaraqush, Beghedida (also known as Hamdaniya city center). The
majority of the towns and districts of the Ninewa Plains are part of the “Disputed Areas.”31 (See
Annex 3 Map of The Disputed Areas in Iraq). Districts of Sinjar, Tal Afar, Tilkaif, al-Shikhan have
disputed boundaries with Dahuk-KRG, whereas al-Hamdaniya has disputed boundaries with Erbil in
the KRG.
The Plains are currently caught in the middle of the ethno-sectarian and territorial-political conflicts
among three governments; the Kurdistan Regional Government (KRG), the Government of Iraq
(GoI), and Ninewa’s Provincial Government (PG). The three governments are aggressively advancing
ethnic, sectarian, and administrative policies to control the disputed territories, which host
concentrations of the Christians, Shabek, Yazidis, and Turkoman populations. In addition to the
territorial and political conflict, the area was hit hard by terrorism with Da’esh running over the
Plains in August 2014, committing atrocities against the minorities, and forcing them to leave their
towns and cities. In post-Da’esh phase, challenges around the lack of basic and critical services,
systematic demographic change activities by the political and military regional and domestic militias,
and the lack of sustainable security have caused a slow/or no return of the majority of the minorities
to their place of origin (See Annex 4 The Security Apparatus and Militias Operating in the Ninewa Plains).
Such situation and lack of critical service delivery raised concerns about losing these communities to
forced migration and immigration, which in turn threatens to deprive Iraq from the glue to its social
fabric and religious pluralism manifested in the historical presence of the religious minorities.32
31“The transition zone between Arab and Kurdish Iraq has been the front line of Kurdish uprisings from 1960 to 1975, a
target of the Iraqi army’s genocidal Anfal campaign against the Kurds in 1987 and 1988, the site of the 1991 uprising
following the first Gulf War, and the northern front of the 2003 U.S.-led invasion. In between these bouts of armed
conflict, and particularly after the collapse of the Kurdish nationalist movement in 1975, the Ba’athist-led government also
engaged in deliberate and systematic policies to ensure its control over what are now called the disputed territories by the
expulsion of hundreds of thousands of Kurds and other minorities, destruction of hundreds of Kurdish villages,
appropriation of Kurdish- and Turkoman-owned land, distribution of agricultural tenant contracts for this land to mainly
Shiite Arab farmers from Iraq’s south, forced “nationality correction” of non-Arab ethnic minorities to identify as Arabs,
prevention of non-Arabs from holding positions in Iraq’s Northern Oil Company and other state-owned enterprises, and
ethnic gerrymandering of administrative boundaries in northern Iraq. Since 2003, some Arab political leaders have accused
ascendant Kurdish forces of employing harsh tactics in these same areas, such as displacing Arab farmers without due
process, arbitrary detention of political opponents, and even pressuring minority communities to identify as Kurds.”
Iraq’s Disputed Territories. USIP Report 2011: https://www.files.ethz.ch/isn/128591/PW69.pdf
32 For a detailed analysis about the systematic demographic changes in the Ninewa Plains, and role of various domestic and regional military and political proxies, please refer to IGPA’s Legal and Political Analysis of the Ninewa Plains submitted on November 4, 2018.
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OVERALL STRATEGIC APPROACH
The USAID-IGPA’s NPAP intervention will build on and integrate with the USAID current efforts in
the area.33 The IGPA’s overall strategy consists of proposing short-term high impact to improve the
district and sub-district performance in terms of service delivery and coordination with the
provincial, regional, and federal governments. The strategy has also long-term sustainable impact
activities to maintain the presence of the religious minorities and integrate them to an effective
governance mechanism that re-integrate them to the rest of Iraq and secure a peaceful coexistence
among these various ethno-religious communities and their neighboring populations. In particular,
the short-term activities will prepare the ground for longer-term activities that would, gradually,
ensure the security and stability of the Ninewa Plains, preserving the historical and cultural presence
of the religious minorities in the area.
NPAP is defined in line with IGPA’s development hypothesis with the objective to improve delivery
of services, public financial management and transparency, and public monitoring/oversight to
increase citizen’s trust in their local government. To do so, IGPA applies a Problem-Driven Iterative
Adaptation (PDIA)34 approach while designing and implementing activities specifically tailored to
address the needs of the Ninewa Plains. Hence, IGPA’s NPAP will generate, test and refine context-
specific solutions in response to locally nominated and prioritized problems, and take into
consideration the special characteristics of the area and nuanced political and security dynamics that
affect the religious minorities.
In essence, IGPA developed a foundational hypothesis for the NPAP that is:
TO preserve the presence of the religious minorities in the Ninewa
Plains, IGPA
SHOULD build the capability of district and sub-district
governments to implement projects, communicate demands with
the provincial and federal governments, and build the trust with
their communities. This will
LEAD TO true and empowered political representation on
provincial and federal levels, and applicable community-based
solutions for the future of the religious minorities in the Ninewa
Plains.
The proposed NPAP will be based on:
- Inputs from the local governments -– on district and sub-district levels.
- Inputs from Political Economy Analysis (PEA) and Conflicts Sensitivity Analysis (CSA) of the
Ethno-Religious Minorities in the Ninewa Plains.
- The specific needs to improve delivery of critical services, incentivize volunteer return of the
IDP, and preserve the stay of these minorities in their areas of origin.
33 Fact Sheet: U.S. Assistance Package to Ethnic and Religious Minorities in Iraq: https://www.state.gov/r/pa/prs/ps/2018/10/286663.htm 34 Problem Driven Iterative Adaptation (PDIA) approach is based on four pillars:
1. Local solutions for local problems: Transitioning from promoting predetermined solutions to allowing
the local nomination, articulation and prioritization of concrete problems to be solved.
2. Pushing problem-driven positive deviance: Creating (and protecting) environments within and across
organizations that encourage experimentation and positive deviance.
3. Try, learn, iterate, adapt: Promoting active experiential (and experimental) learning with evidence-
driven feedback built into regular management that allows for real-time adaptation.
4. Scale through diffusion: Engaging champions across sectors and organizations who ensure reforms are
viable, legitimate and relevant.
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- Engagement of and coordination with local actors and figures; political representatives, faith
leaders, CSOs.
- Flexible implementation and well-defined criteria related to impact on IDP return and better
performance of the local governments.
- The lessons learned from IGPA’s Year 1 implementation and the tools developed with the
project’s support in other areas and communities such as the Context Monitoring (CM), and
Complexity Aware Monitoring (CAM).35
- Engagement of and coordination with other USAID programs and international agencies
working in the area.
Coupled with PDIA, IGPA’s NPAP will also adopt the Do-No-Harm (DNH) principle, which will be
distilled from the PEA, and articulated in CSA analyses. The NPAP will implement its theory of
change in the district of Hamdaniya as a pilot project to be replicated in the rest of the Ninewa
Plains once the first phase of the short-term activities is implemented.36 Piloting NPAP in Hamdaniya
first will provide the program the opportunity to test the impact of its intervention, making sure that
the IGPA’s activities in such politically, socially, and security sensitive areas will (DO-No-Harm) to
these post-conflict communities.
Hamdaniya is a major district in the Ninewa Plain, and it encompasses one of the major sub-districts
in the area-Bartela, which in turn has the jurisdiction of 14 villages. While the district and sub-district
host a Christian majority, almost all the villages are Shabek Shia. Therefore, effective solutions for
the Hamdaniya local government will by default benefit a major and diverse population and will be a
strong incentive to generate NPAP buy-in from the rest of the Ninewa Plains’ areas. (See Figure 1 for
NPAP Strategy Adopting the PDAI Approach)
35 Updated USAID note on Complexity Aware Monitoring July 2018: https://usaidlearninglab.org/sites/default/files/resource/files/cleared_dn_complexity-aware_monitoring.pdf 36 IGPA/Takamul’s programs and intervention have already started in the Ninewa province, and the program’s four objectives are currently implemented with activities designed for the whole province including the Ninewa Plains. The NPAP, however, will target specific district, Hamdaniya, with concentrated assistance package to pilot IGPA’s special programing for the religious minorities.
Figure 1 NPAP PDIA Approach
Source: Building capability by delivering results: Putting Problem-Driven Iterative Adaptation (PDIA) principles into practice
112
NINEWA PLAINS ASSISTANCE PACKAGE (NPAP)
Building on the situation in the Ninewa Plains and IGPA’s strategy and theory of change described
above, IGPA will develop the Ninewa Plains Assistance Package (NPAP). The assistance will be in line
with IGPA’s overall scope of work to address systemic religious minorities issues in the Ninewa
Plains. The concentrated intervention will provide broader capacity building to the local government,
CSOs, and other community level social and faith-based institutions to create an enabling and
regulatory environment for sustainable IDP return and incentivized stay of religious minorities in the
area.
The activities that will be included in the assistance package will be undertaken post the completion
of two foundational activities in the area- the Political Economy Analysis (PEA) and the Conflict
Sensitivity Analysis (CSA) of the Ethno-Religious Minorities in the Ninewa Plains. Based on these two
analyses a detailed NPAP that incorporates IGPA’s four objectives will be developed and agreed
upon with the district and sub-district governments to improve the status quo of the religious
minorities.
The NPAP will be designed to address multiple aspects of service delivery and religious minorities
empowerment and reintegration to their neighboring communities including mechanisms by which
district and sub-district level governments operating can provide better services, with operative
management of budget and expenditures, and empowered to better advance the religious minorities’
demands and interests vis-à-vis the KRG, Ninewa PG, and GoI. The NPAP will also empower these
communities hold their government accountable for functioning systems, public finance management,
and service delivery. By focusing on social inclusion, through IGPA’s social accountability groups
(SAG), Youth Accountability Groups (YAG) and Provincial Women Empowerment Department
(PWED), the religious minority communities will be encouraged to actively participate in the
community-level oversight and accountability activities, incorporating and incentivizing women and
youth participation. IGPA sees this as an opportunity to design interventions in a way that links
service delivery to the broader goals of the contribution to social cohesion, preservation of Iraq’s
social fabric, religious pluralism, taking the religious minorities as a practical operational case.
The NPAP will be also designed to be integrated with USAID’s on-going efforts and programs
operating targeting the religious minorities in the Ninewa Plains. While the illustrative NPAP’s
activities described below focus on building the capability of the local government and CSO
regarding issues of governance, public finance management and community-based oversight and
accountability, empowering community-based change agents, USAID’s other efforts especially the
community-based dialogues, and community- resilience grants are well aligned with the overall
objective and outcome of IGPA’s NPAP.
For example, building the capability of the district governments in the Ninewa Plain though IGPA’s
NPAP will enable these governments to implement reconstruction projects implemented by the
USAID’s program Iraqi Community Resilience program. In addition, while the NPAP capacitates the
community based CSOs and other social institutions representing various religious communities in
the Ninewa Plains, these entities will enrich USAID’s community-based dialogues too.37 The IGPA’s
NPAP will be designed with an overall objective to implement an integrated performance
improvement program that incorporates IGPA’s key objectives and USAID’s current efforts to have
a positive impact on the religious minorities and their areas.
37 These are preliminary ideas developed based on the outcome of USAID’s partner meeting conducted in Erbil
on November 7, 2018.
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BUILDING THE CAPABILITY OF THE DISTRICT AND SUB-DISTRICT OFFICE:
This section describes the illustrative activities to be taken in the Ninewa Plains as defined in
coordination with the local authorities and figures to achieve service improvements and optimize the
use of the budget made available by the PG, GoI, International Community, and the USAID
programs.38
As mentioned, the Ninewa Plains are currently caught in the middle of the ethno-sectarian and
territorial-political conflicts among three governments; the KRG, GoI, and Ninewa’s PG. In addition
to these challenges generated by the high-level political conflicts, local level governing problems are
related to the capacity and office capabilities at the district and sub-district level, which keep these
local governments at the mercy of the PG’s discretionary decision or help or not on a daily basis.
Based on IGPA’s preliminary interviews and meetings, the office of the local governments manifested
in the district councils of Hamdaniya, TelKef, and Shikhan lack proper units to enable them carry out
the day to day tasks and responsibilities. In most cases, these daily activities involve challenging
operations to manage construction and rehabilitation projects, dealings with the international
donors, while leading the effort to continue and sustain critical services to incentivize the IDP return
and sustain the stay of the communities in place. (See Annex 5 For the Recommendations and Solutions
Proposed by the Local Authorities)39
To address these issues, the following are NPAP’s intervention road-map and illustrative activities
identified to help the religious minorities, piloting the district of Hamdaniya:
1. Conduct foundational PEA the Ethno-Religious Minorities in the Ninewa Plains: The area-population
focused PEA will provide a micro level analysis of the local level factors – main actors, their
connections and networks, and local, regional, and national socio-political and economic
factors – that hinder or promote the district and sub-district governments’ service delivery
performance in the Ninewa Plains. In particular, the Ethno-Religious PEA of the Ninewa
Plains will provide a local level overview, synthesizing factors that drive outcomes on the
Ninewa Plains (e.g. governance and security) with the quantitative data that will be collected
by the IGPA/Takamul team to identify factors that are likely to impact the ethno-religious
minorities of the Ninewa Plains. Such analysis is useful to have before we provide the NPAP.
The Ethno-Religious PEA of the Ninewa Plains will offer the NPAP a clearer understanding
of the current and nuanced political economy dynamics around each of the three districts
that constitute the Ninewa Plains to ensure that IGPA’s NPAP contributions are strategically
and meaningfully directed to deliver the greatest support and impact as these issues move
forward. 2. Conduct foundational CSA of the Ethno-Religious Minorities in the Ninewa Plains: The context and
types of conflicts in the Ninewa Plains have complicated and inter-related causes and affect
diverse communities of ethno-religious minorities. NPAP’s CSA aims to provide a nuanced
overview of the underlying causes of conflict in the Ninewa Plains and articulate an
implementation strategy that effectively includes the principle of DNH and conflict sensitivity
approach in NPAP’s interventions. NPAP’s CSA will integrate a contextual conflict analysis
into its implementation strategy, whereby it will develop a framework to track and respond
to conflict sensitive indicators throughout the various phases of assistance package designing,
planning, and implementation. It is important to bear in mind that IGPA is not a conflict
38 Based on interviews with the district and dub-district officials of the Ninewa Plains between November 8-10,
2018, the local governments in the Ninewa Plains districts and sub-districts maintain that their areas have not
received the allocated funds at the National Budget of 2018, and that much of their activities are funded by
international donor programs and support assistances. The main reasons are that the Ninewa province itself
complains about delayed transfer of allocations and discrimination in financial distribution despite the fact that
the province suffer from massive destruction post the liberation battles. 39 Full Report: IGPA’s Legal and Political Analysis of the Ninewa Plains submitted on November 4, 2018.
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management program. Given the fragile context of post-Da’esh Ninewa Plains, where a)
conflicts are numerous and exist at different levels, with various actors, stages, and intensity,
and b) conflicts are often subject to rapid change and can spiral into different directions
targeting different communities; NPAP will adopt a nimble strategy to understand the
context in which it is operating, particularly with respect to inter-group relations; the
interactions between its interventions and the context/group relations; and act upon these
understandings to maximize positive impacts. 3. Establish a Service-Technical Unit at Hamdaniya Commissionaire Office: As put it by Isam
Behnam, the Commissionaire of Hamdaniya, “when I have a tender or project proposal about a
critical service, I don’t have the required technical unit to refer and study the project. Instead, things
are delayed until I travel to the Mosul and the meet the provincial government and use the technical
unit at the Governor office. This will open the doors for more intervention by the provincial
government and delay our work. If I have this unit, I can study the project, modify, and/or take a
decision in Hamdaniya.”40 Accordingly, establishing this unit will have direct and immediate
high impact on the performance of the Hamdaniya district government. The same problem
and solution were identified by the head of the Bartela sub-district council.41
4. Establish a Financial and Tendering Unit at Hamdaniya Commissionaire Office: While the
technical-service engineering unit will enable the commissionaire office to take decisions
about project quality at the district level, the financial unit will facilitate the financial
management of the district, such as developing the district budget for submission to the
provincial government. The unit will also help reviewing bidding documents and allocate
tenders on the district level, instead of the challenges and delays to get the approvals and
tender decision on the provincial levels.
5. Establish a Legal Unit at Hamdaniya Commissionaire Office: One of the main problems evolving
in Hamdaniya nowadays is the issue of land distribution and the legality of such actions by
the federal and provincial governments. The issue of the land distribution is also linked to
the systematic on-going process of the demographic change in the area and it is considered
as one of the drivers for the forced migration of the religious minorities in the area.42 The
commissionaire office is dealing with applications, orders, and official letters from the
provincial or federal government instructing the head of the district with conflicting
procedures and processes, creating administrative confusion and conflictual actions. The
district needs an official legal unit to communicate with the provincial and federal
government about their instructions and orders to explain legality and convey the district
legal stance on certain decisions. This unit will be instrumental in advancing official legal
communications with the provincial government. Currently, taking a legal decision or
changing an order is done at the discretion of the provincial government and might change
based on various political and personal calculations, whereas if the district will have its legal
office, such decisions and actions will be official and more sustainable.43
6. Support the Hamdaniya District Government’s Strategic Action plan: To identify long-term
solutions to address the challenges of service delivery in the district and sub-district. 7. Engage the District office with the local CSO: Provide technical assistance to CSOs and create
SAGs and YAGs to monitor and improve service delivery and the community’s inputs and
engagement with the district government.
40 Meeting with Hamdaniya Commissionaire Erbil-November 9, 2018. 41 The third amendment of Law no. 21/2008 canceled the sub-district councils, but the law kept the Mayor
office (or the Directorate of the sub-district).
42 For a detailed analysis about the systematic demographic changes, and role of various domestic and regional military and political proxies, please refer to IGPA’s Legal and Political Analysis of the Ninewa Plains submitted on November 4, 2018. 43 Meeting with the head of Bartela Council Erbil-November 10, 2018.
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8. Implementing CAM: In addition to IGPA’s M&E activities, the NPAP will adopt the CAM
strategy44 to unpack non-linear causal paths between NPAP intervention and outcomes
operating in the Ninewa Plains’ complex systems and contexts. As explained, the
operational context of the religious minorities in the Ninewa Plains is complex with layers of
complicated variables and complex dynamics. In such a complex context, there is rarely a
one-size-fits-all intervention that yields the same outcome and impact in all institutions,
localities, or districts or sub-districts. For example, a training for the district of Hamdaniya,
will not yield the same impact and outcome as it is delivered for district of Shikhan which
close connections culturally and administratively to Dahuk, one of the KRG’s provinces. The
NPAP will adopt CAM’s main approaches; Sentinel Indicator, and Outcome Evidencing,
Stakeholder Feedback, Process Monitoring, and Outcome Harvesting (SFPMOH). The
stakeholder feedback seeks diverse perspectives of partners, beneficiaries, or those excluded
from a project, about the program activity. The process monitoring tracks predicted and
emergent processes transforming outputs to results, captures broad range results, and
makes diverse perspectives explicit. Outcome harvesting works backward to describe and
verify contributions.
CHALLENGES AND RISKS
IGPA identified the following challenges and risks that may affect the implementation of the above-
mentioned activities and overall work progress. Further details are included in the weekly political
reports, and the Legal and Political Analysis of the Ninewa Plains submitted to USAID on November
4, 2018.
Complicated Political Situation: IGPA team conducted several. Multiple opinions and political
affiliations of different decision makers. The current political transition post-the national elections of
May 2018 makes this situation even more complicated with a current conflict about the Christian
and ethno-religious minorities representation at the new government cabinet. IGPA will conduct
PEA and CSA analysis to address these complexities, and will work to overcome this challenge with
an inclusive approach and consensus building.
Lack of Accurate Data: The lack of accurate data and information is a major problem affecting
activities at many levels. Limited information is available on the number of IDP returnee, mobility,
and forced displacement due to fluctuating security situation in the Ninewa Plains. This will affect
NPAP planning given that most technical assistance activities proposed require action from district
and sub-district authorities taking the lead in implementation. IGPA will conduct PEA and CSA
analysis to account for these gaps.
Fluctuating Security Situation: The situation changed in the favor of the GoI after the Kurdish
Referendum on September 25, 2017. In reaction to the referendum, the GoI advanced a military
realignment operation through which it was able to establish its presence in the Ninewa Plains
pushing the KRG’s forces beyond the 2014 lines. The GoI’s military operation was enhanced by the
PMFs/Hashed’s militias given that the Iraqi army was still pre-occupied with securing the area from
Da’esh’s sleeper cells, which gave the PMFs/Hashed the opportunity to advance and infiltrate the
Ninewa Plains using various measures, especially in terms of establishing a systematic demographic
change process. The PMFs/Hashed activities advancing an effective demographic change process is
aligned with GoI’s interests in avowing its authority across Iraq, especially in the periphery areas.
Therefore, while the GoI was willing to take some measures against the PMFs/Hashed in Salahddin
for example, the government of Baghdad has not taken any strong stance against the militia’s
activities in the Ninewa Plains. In addition to the militias, Da’esh sleeper cells and the spill-over of
44 For detailed explanation of the IGPA’s CAM strategy and approach, please refer to IGPA’s annual report-Annex Chapter on Complex Aware Monitoring (CAM).
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the renewed Da’esh activities in Syria still create deep security concerns among the people of
Ninewa province, in particular the Ninewa Plains.
Signature of MOU with Partner Institutions: This aspect requires further clarification from
USAID. MOUs with partner institutions are a contractual requirement under the IGPA contract.
Proceeding otherwise requires guidance from USAID.
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ANNEX 8.1 THE ETHNO-RELIGIOUS MINORITIES IN IRAQ
Source: USIP Report the Iraqi Disputed Areas 2011
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ANNEX 8.2 THE NINEWA PLAINS DISTRICTS AND SUB-DISTRICTS, AND THE
RELIGIOUS AND ARCHEOLOGICAL SITES
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ANNEX 8.3 THE DISPUTED AREAS IN IRAQ
Source: USIP Report the Iraqi Disputed Areas 2011
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ANNEX 8.4 THE SECURITY FORCES AND MILITIAS OPERATING IN THE
NINEWA PLAINS
Source: The Politics of Security in Ninewa
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ANNEX 8.5 THE RECOMMENDATIONS AND SOLUTIONS PROPOSED BY THE
NINEWA PLAINS LOCAL AUTHORITIES
The following are the recommendations suggested by the interviewees about supporting the
religious-based minorities in the Ninewa Plains:
1. Establishing a province in the Ninewa Palins is a demand by almost all the religious minorities
in the area.
2. In order to prevent demographic changes process, implementation of the COMSec decree
no 291/2017 must be stopped in the Ninewa Plains. The current practice resembles
Saddam’s practice of distributing lands for the families of the Sunni Arabs martyrs of the
Iraqi-Iranian war who were from Qayara but given lands in the Ninewa Plains as part of the
Arabization policy. Repeating the same policies will cause deep grievances and
disappointment among the religious minorities and push them to leave their place of origin.
3. The issue of the international protection and the importance of establishing basis for such
forces in the Ninewa Plains kept recurring in the Christian demands. They argue that both
the KRG-Peshmerga forces, and the PMFs/Hashed are fully equipped, while the Christian
have no such military capability to defend themselves leaving them at the mercy of the
PMFs/Hashed militias.
4. Establish local police from the people of the Ninewa Plains. These forces should be part of
the Iraqi police system, not the PMFs/Hashed militias. In the same vein, abolish the Christian,
Shabek, and Yazidi pro KDP and PMFs/Hashed forces, or prohibit the creation of new forces
under such non-state actors’ umbrella.
5. Issue an international resolution either by the EU, or UN for the GoI and KRG to respect
the minorities’ rights and prevent the GoI and KRG in meddling with their local issues.
Request the GoI to allocate proper and adequate appropriations in the Iraqi National Budget
Law to the Ninewa Plains. According to the Commissionaire of Hamdaniya, more than 80
percent of the reconstruction funds in his district were support from the international
NGOs rather than from the federal government. He wondered what happened to the
Ninewa Plains allocations contained in the National Budget of 2018 since the districts of the
Plains have not received any of these appropriations.
6. Relocating the PMFs/Hashed to the outside city does not solve the problem of the militias’
presence in the Ninewa Plains since the militias have established strong militia proxies,
especially the Shia Shabek operating inside the cities.
7. The GoI should not use the issue of the disputed areas as an excuse to delay the formation
of a province at the Ninewa Plains. Kirkuk is a province and function as such despite being
also considered as a contentious area and at the heart of the disputed areas issue. The
province of the Ninewa Plains can be declared, while advancing a political process to solve
the issue of the disputed areas. Having a province will empower the religious minorities to
decide confidently the future of their areas.
8. The Christians think the sooner the Ninewa Plains province is established, there is a better
chance of stopping the demographic changes being made.
9. It is important to establish new administrative units in the areas of the Shia Shabek. The
major concentrations of the Shia Shabek are in 16 villages that are heavily populated, e.g.,
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Bezwaya and Karamless. It is important to transfer these villages to districts and sub-
districts, so the Shia Shabek could have their own cities and administrative positions. Such
development will mitigate the taking of lands in the Christian and Yazidis’ districts and sub-
districts.
10. There is an urgent need to legislate a law at the COR to establish a legal procedure and a
roadmap for establishing new provinces. The creation of provinces does not only preserve
the rights of the religious minorities but also seen as a practical solution for large provinces.
Ninewa has 16 administrative units with 3.5 million population making it extremely difficult
to govern and deliver services effectively in such a large area.
11. Since the formation of the Iraqi state, there was no Yazidi, Shabek or a Christian governor. It
is within those minorities rights to be properly represented within the Iraqi governing
system.
12. The Christians are deterred from coming back to their place of origin or intimidated to
leave the area hence, towns and districts which had once Christian majority are turning into
small minorities in the Ninewa Plains. The lack of proper services, job opportunities, and the
current security situation dominated by several militias disincentivize the Christians and
Yazidis from coming back.
13. The international community should support amendments to the provincial elections law to
adopt the same article adopted at the third amendment of the national elections law. The
demand is to have special voter registrations for the Christians, special ballot papers, and
center. The Iraqi High Electoral Commission (IHEC) should prepare for such a possibility at
the provincial elections. The religious minorities need the international communities to
support their effort in preserving their rights to true and proper representations and to
prevent the exploitation of the quota system.
14. The decisions and provisions of the Brussel Conference convened in March 2017 are critical
in these efforts. The proposal provides an important road map for the solution of the issues
in the Ninewa Plains. (See Annex Brussel Conference Decisions)