1

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

117

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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

19

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.

23

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.

26

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.

29

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.

30

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.

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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

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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:

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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.

101

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.

111

- 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)