evaluation of the un-habitat urban programme in iraq

8/14/2019 Evaluation of the UN-Habitat Urban Programme in Iraq

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SEPTEMBER 2012

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Evaluation of theUN-Habitat Urban Programmein Iraq 2004-2012

Evaluation Report 3/2012


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Evaluation Report 3/2012

SEPTEMBER 2012

Evaluation of the

UN-Habitat Urban Programme

in Iraq 2004-2012


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ii EVALUATION OF THE UN-HABITATURBAN PROGRAMME IN IRAQ 2004-2012

Evaluation Report 3/2012Evaluation of the UN-Habitat Urban Programme in Iraq 2004-2012

This report is available from http://www.unhabitat.org/evaluations

First published in Nairobi in September 2012 by UN-Habitat.Copyright United Nations Human Settlements Programme 2012

Produced by Evaluation Unit

United Nations Human Settlements Programme (UN-Habitat)P. O. Box 30030, 00100 Nairobi GPO KENYATel: 254-020-7623120 (Central Office)

www.unhabitat.org

HS Number: HS/049/13E

ISBN Number(Series): 978-92-1-132028-2

ISBN Number:(Volume) 978-92-1-132582-9

DISCLAIMER

The designations employed and the presentation of the material in this publication do not imply the expression of anyopinion whatsoever on the part of the Secretariat of the United Nations concerning the legal status of any country,

territory, city or area or of its authorities, or concerning the delimitation of its frontiers of boundaries.

Views expressed in this publication do not necessarily reflect those of the United Nations Human Settlements

Programme, the United Nations, or its Member States.

Excerpts may be reproduced without authorization, on condition that the source is indicated.

Front cover illustration:Map of Iraq

Acknowledgements

Authors: Mohammed Siraj Sait and Johnson Nkuuhe

Editor: Olubusiyi Sarr

Design & Layout: Lucy Cherogony

Printed by: UNON, Publishing Services Section, ISO 14001:2004 - certified.


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TABLE OF CONTENTS

LIST OF BOXES, FIGURES AND TABLES ............................................................................... V

ACRONYMS ......................................................................................................................... VI

EXECUTIVE SUMMARY ...................................................................................................... VII

I. Introduction .............................................................................................................................................. vii

II. Approach and Methodology ......................................................................................................................vii

III. Key Findings of the Evaluation ..................................................................................................................viii

IV. Conclusions.............................................................................................................................................. xiii

V. Lessons Learned ........................................................................................................................................ xv

VI. Recommendations .................................................................................................................................... xvi

1. INTRODUCTION ..............................................................................................................1

1.1 United Nations in Iraq.................................................................................................................................1

1.2 UN-Habitat in Iraq ......................................................................................................................................3

1.3 Purpose and Objectives of Evaluation ......................................................................................................... 7

1.4 Report Outline .......................................................................................................................................... 8

2. METHODOLOGY.............................................................................................................9

2.1 Evaluation Scope and Criteria ..................................................................................................................... 9

2.2 Data Collection Methods ..........................................................................................................................11

2.3 Data Analysis ............................................................................................................................................ 13

2.4 Limitations ...............................................................................................................................................13

2.5 Management of the Evaluation ................................................................................................................132.6 Acknowledgements..................................................................................................................................14

3. KEY FINDINGS OF THE EVALUATION ..........................................................................15

3.1 Design and Joint Programming of Projects ................................................................................................15

3.2 Sources and Utilization of Funds ...............................................................................................................17

3.3 Overall Achievements, 2004-2012 ............................................................................................................18

3.4 Challenges ...............................................................................................................................................24

3.5 Opportunities ...........................................................................................................................................25

4. ASSESSMENT OF THE UN-HABITAT URBAN PROGRAMME IN IRAQ .........................26

4.1 Assessment of Institutional Arrangements ................................................................................................264.2 Assessment of Programme Approaches ....................................................................................................30

4.3 Relevance .................................................................................................................................................31

4.4 Efficiency ..................................................................................................................................................33

4.5 Effectiveness ............................................................................................................................................38

4.6 Sustainability ............................................................................................................................................ 41

4.7 Impact.......................................................................................................................................................45

5. CONCLUSIONS, LESSONS LEARNED AND RECOMMENDATIONS ..............................52

5.1 Conclusions.............................................................................................................................................. 52

5.2 Lessons Learned ....................................................................................................................................... 55

5.3 Recommendations .................................................................................................................................... 56


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ANNEXES

ANNEX I: Terms Of Reference ........................................................................................................................58

ANNEX II: List of people interviewed during the Evaluation Exercise ............................................................... 63

ANNEX III: Key documents and references ......................................................................................................67

ANNEX IV: Questionnaire ............................................................................................................................... 69

ANNEX V: Case studies of Erbil Housing Project and Local Area Development Programme .............................. 70


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LIST OF BOXES, FIGURES AND TABLES

BOXES

Box 2.1 Evaluations of UNDG-ITF informing this exercise .......................................................................................... 9

Box 2.2 Evaluations of UN-Habitat rehabilitation projects ....................................................................................... 10

Box 3.1 UN-Habitat Governing Council Resolution on Pro-Poor Housing ................................................................19

Box 3.2 Consultations on IDP Camps and Informal Settlements in Baghdad ...........................................................20

Box 4.1 UNDAF Priority Working Groups ................................................................................................................27

Box 4.2 Building schools in Iraq ..............................................................................................................................31

Box 4.3 Politics and Political WillA Land Commission for Iraq? ........................................................................... 44

Box 4.4 Empowering Women: Faiza Mohammad Ismaeels Story ........................................................................... 48

Box 4.5 Youth Agenda in the State of the Arab Cities 2012 Report ........................................................................ 50

FIGURES

Figure 1.1 Geographical Distribution of UN-Habitat projects in the Arab Region ...................................................... 3

Figure 3.1 Number of UN partners implementing projects with UN-Habitat in Iraq.................................................. 16

Figure 3.2 UN-Habitat in Partnership with other United Nations Agencies ............................................................. 17

Figure 4.1 Organization Chart of UN-Habitats Iraq Programme .............................................................................. 28

Figure 4.2 Funding approvals between 2008 and 2012 for the Iraq Programme ..................................................... 37

TABLES

Table 1.1 List of UN-Habitat Projects in Iraq, 2004-2012 ..........................................................................................4

Table 1.2 Iraq UNDAF Areas and UN-Habitat Involvement .........................................................................................6

Table 3.1 Ongoing UN-Habitat projects by Thematic Pillar, as of April 2012 ........................................................... 16

Table 4.1 List of UN-Habitat Projects with Delivery Timelines .................................................................................. 34

Table 4.2 Staff Changes between 2009 and 2012 .................................................................................................. 37

Table 4.3 Monitoring and Reporting of the Iraq Programme ................................................................................... 38


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ACRONYMS

CCA Common Country Assessment

CEDAW United Nations Convention for Elimination of Discrimination Against Women

COSIT Central Organization for Statistics and Information Technology

CRC Convention on the Rights of the Child (United Nations)

FAO Food and Agriculture Organization of the United Nations

GLTN Global Land Tool Network (UN-Habitat)

HCPD Habitat Country Programme Document

ICI International Compact with Iraq

IDP Internally Displaced Persons

ILO International Labour Organization

IOM International Organization for Migration

IRFFI International Reconstruction Fund Facility for IraqITF Iraq Trust Fund

KRG Kurdistan Regional Government

LADP Local Area Development Plans

MDTF Multi-Donor Trust Fund

MTSIP Medium-Term Strategic and Institutional Plan (UN-Habitat)

ROAAS Regional Office for Africa and Arab States

SIDA Swedish International Development Cooperation Agency

UNAMI United Nations Assistance Mission for Iraq

UNCT United Nations Country Team

UNDAF United Nations Development Assistance programme

UNDG-ITF United Nations Development Group-Iraq Trust Fund

UNDP United Nations Development Programme

UNEG United Nations Evaluation Group

UNESCO United Nations Educational, Scientific and Cultural Organization

UNESCWA United Nations Economic and Social Commission for Western Asia

UNFPA United Nations Population Fund

UNHCR Office of the United Nations High Commissioner for Refugees

UNICEF United Nations Childrens Fund

UNIDO United Nations Industrial Development Organization

UNIFEM UN Women (new name)

UNOPS United Nations Office for Project ServicesUN Women United Nations Entity for Gender Equality and the Empowerment of Women

USD United States Dollar

WFP World Food Programme

WHO World Health Organization


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EXECUTIVE SUMMARY

I. INTRODUCTION

The evaluation of the United Nations Human Settle-

ments (UN-Habitat) Iraq Urban Programme from2004 to date was initiated by UN-Habitat to pro-vide its governing bodies, staff, donors, govern-ment counterparts and development partners witha forward-looking assessment of UN-Habitats op-erational experience, achievements and challengesin the country.

Since 2004, the United Nations Development Groupunder the Multi-Donor Trust Fund in Iraq has be-come the largest post-war single programmeinsize and scopeworth USD 1.6 billion and imple-mented by 17 United Nations resident and four

non-resident agencies. UN-Habitats country opera-tions in Iraq account for 22 projects implementedas joint programmes with a number of United Na-tions and other partners. Under the United NationsMulti-Donor Trust Fund, the UN-Habitat cumulativeportfolio since 2004 has reached about USD 89.8million or 6.6 per cent of the USD 1.37 billion bud-get for Iraq.

The Iraq Programme has operated within a chal-lenging developmental context, cross-border man-agement constraints and a constantly evolving

security and political scenario. More recently, theProgramme has shrunk, as have other United Na-

tions operations in Iraq. Alongside the closure of theIraq Trust Fund the Multi-Donor Trust Fund, and anew development phase in the country with the Iraq

United Nations Development Assistance Framework(UNDAF) Fund framework, the Iraq Programme fac-es complex challenges.

The objectives of the evaluation were to assess thecontributions of the Iraq Programme, the relevanceof its programmatic focus, the appropriateness ofits institutional arrangements and partnerships in re-sponding to Iraqs developmental needs and priori-ties. In addition, the purpose of the evaluation wasto assess the added value of UN-Habitat within thecontext of joint programmes, and draw lessons to-ward improving UN-Habitats future contributions.

II. APPROACH AND METHODOLOGY

The evaluation was conducted as part ofHabitats efforts at systematic and timely appraisalsof its programmes. It was managed by the agencysEvaluation Unit and conducted between Decem-ber 2011 and September 2012 by independentconsultants Johnson Nkuuhe and Siraj Sait. Theevaluation used a range of methods, including re-view of Iraq Programme documents, face-to-face

interviews, focus group discussions and a field tripto Iraq. Over 100 interviews were conducted with

A child in an Erbil Neighbourhood/Kurdistan Regional Governorate. UN-Habitat


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staff from UN-Habitat and other United Nationsagencies working in Iraq, officials from the Govern-ment of Iraq, the Kurdistan Regional Governmentand other stakeholders. These were carried out atUN-Habitats Headquarters in Nairobi, Kenya, atthe country office in Amman, Jordan, where theUN-Habitat Iraq Programme and several other pro-grammes are situated, as well as in Iraq and the re-gion. Where security or logistical issues preventedthe team from interviewing individuals in person,exchanges were carried out by electronic mail, Inter-net telephony and the standard telephone.

A short field visit to Erbil, Iraq, enabled the evalua-tion team to inspect some projects, meet stakehold-ers and hold focus group discussions. In view of thebroad range of projects covered by the assessment,

the team selected two projectsthe Erbil Hous-ing Projects and Local Area Development Plans ascase studies. These studies were representative ofvarious aspects of the UN-Habitat Iraq Programme,reflecting different foci, partnerships, methods andoutcomes. The Erbil project belonged to the Hous-ing and Land Governance thematic pillar, while thatof the Local Area Development Plans was part ofthe Urban Planning and Economy thematic pillar ofthe Iraq Programme. The case studies consideredthe overall project in the joint programming contextand specific UN-Habitat outputs as a way of examin-

ing the approach used in the Iraq Programme. As-sessment of the evaluation criteriaincluding rel-evance, validity of design, development results andmanagement efficiency of the Programmewaspartly based on the selected case studies.

The evaluation team attempted to gather informa-tion from a range of sources. Information from dif-ferent sources and responses from each stakeholdergroupUN-Habitat staff, United Nations officials,central Government, the Kurdistan Regional Gov-ernment, civil society and professionals, and exter-nalswas validated in respect of accuracy.

The evaluation of the Iraq Programme was limitedby time, resources and access to the country ow-ing to logistical and security considerations. In par-ticular, access to civil society and beneficiaries wasrestricted. However, the limitations were not signifi-cant enough to affect the outcome of the evalua-tion. The evaluation team assessed the developmen-tal and operational effectiveness of the programmefrom a range of sources while recognising the con-straints of cross-border management.

III. KEY FINDINGS OF THE EVALUATION

UN-Habitat has made a significant contributionwithin broad thematic areas, collaborating witha large number of United Nations agencies, Gov-ernment departments and partners. Based on theUN-Habitat 2003 report Rebuilding Iraq: Iraq Recon-struction Plan for Shelter and Urban Development,and subsequent Habitat Country Programme Docu-ments, successes were noted in pro-poor housing,land governance, urban planning and economy, aswell as urban infrastructure and basic services. Ofthe 22 projects UN-Habitat implemented out of theIraq Trust Fund since 2004, 13 were ongoing by May2012 and several of these were almost completed.

UN-Habitats achievements are impressive given

the dynamics of cross-border management and thechallenging context of urbanization in Iraq. How-ever, much more needs to be done at scale andin partnerships to respond to Iraqs developmentalchallenges.

Achievements

The Iraq Programme has made a visible and well-acknowledged contribution to the countrys sustain-able urbanization agenda, both individually as anagency and as part of the United Nations Country

Team and joint programming activities. These in-clude the sectors of housing and land; urban plan-ning; water and sanitation; infrastructure as well asbroader issues of governance and protection.

UN-Habitats work on pro-poor housing has dem-onstrated innovation and adaptability to Iraqi priori-ties. Its pioneering housing market surveywhichthe Government used to attract funding, and out-puts such as the State of the Iraq Cities Report2006/2007: Cities in Transition (2007)are widelycited. There were significant slum upgrading surveysand strategy development tasks carried out in 2005

but there is no evidence of a follow-up.

The main achievement was the National HousingPolicy developed in close partnership with the Gov-ernment and funded by the Iraq Trust Fund. Thepolicy is under implementation through the federalbudget. However, the factors determining success-ful implementation will be the extent to which re-sources and an adequate institutional basis havebeen set up.

The catalytic role that UN-Habitat played in im-

proving access to land and security of tenure has


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also contributed to pro-poor housing policies be-ing implemented in Erbil by the Kurdistan RegionalGovernment. Four hundred families that were il-legally occupying land in Erbil were recently reset-tled, voluntarily. Another example is the BaghdadInformal Settlements Initiative, part of the InternallyDisplaced Persons Durable Shelter Solutions, whichUN-Habitat is implementing. There are several pio-neering areas for the Iraq UN-Habitat team such assustainable housing finance.

UN-Habitat has been unable to make the policybreakthrough in the difficult area of pro-poor landmanagement, comparable to housing. However, theagencys contributions represent a paradigm shift inapproach. The declaration published on the devel-opment of policy and land management by an Iraq

delegation at the end of a study visit to Berlin in2011 indicated Iraqs commitment to initiate a landpolicy process. The declaration will help catalyzinga much needed policy, institutional and regulatoryframework for management and disposal of Stateland (urban and rural) for investment, housing andpublic uses. It promotes public-private partnershipsin managing and administering land as well as thecontinuum of land rights that recognizes a range oftenures. UN-Habitat is contributing to the develop-ment of a draft law on public land management,and the establishment of a Land Commission for

Iraq appears imminent.

UN-Habitat has been at the forefront with the mes-sage that sustainable development needs goodgovernance and proper management in cities andtowns. It has supported the shift towards decentral-ization with conferences, capacity development andpolicy support. However, as a case study of a UN-Habitat joint programme with other United Nationsagencies demonstrates, this is a long process whichwill need legal reform, policy support and strongerpartners, including that of the Iraq Local Govern-ment Association. In addition to pilot settlement

upgrading projects affecting 2,500 households,UN-Habitat has augmented participatory planningand capacity on environmental management in thehousing sector. Urban planning is another dimen-sion which UN-Habitat has been spearheading andthat all stakeholders in Iraq consider critical, but itrequires sustained commitment.

Since 2004, UN-Habitat has contributed to Iraqsrecovery by rehabilitating run-down and damagedcommunity infrastructure that include schools,water supply systems, sewerage networks, youth

centres, public parks and health facilities. Between2009 and 2011, 2,400 boys and girls benefited from

12 new child-friendly primary school buildings thatreplaced existing mud structures. Over time, the fo-cus has shiftedas has the rest of the United Na-tionsfrom large-scale infrastructure developmentto providing technical and policy support. Throughthe Public Sector Modernization Programme, UN-Habitat and the United Nations Childrens Fund havesupported the Governments efforts at modernizingits public sector with focus on water and sanita-tion, and delivered key outputs such as a guide toachieving this objective. However, UN-Habitat is in acrowded field of agencies working in the water andsanitation sector and must decide on what gap itcould fill and in which focus areas.

Strategic focus

The strategic focus of the Iraq Programme was de-rived from UN-Habitats comparative advantage,harmonization within the United Nations Devel-opment Group framework and joint programmes,relevance in the context of Iraqi priorities, nationalownership and prospects for sustainability. TheRebuilding Iraq: Iraq Reconstruction Plan for Shel-ter and Urban Development was developed in thecontext of the agencys general mandate as regardshuman settlements and sustainable urbanization, aswell as the post-conflict context.

The Iraq Programme has been well aligned with thefocus areas of the agencys Medium-Term Strategicand Institutional Plan and was also a priority coun-try under the Enhanced Normative and OperationalFramework. The approach has evolved from recov-ery and transition towards long-term development.

Development of the Iraq Programme can also betraced through its own priorities as well as theUnited Nations-wide programme development inIraq, such as the 2003 Joint Needs Assessment,the International Compact for Iraq 2007, the JointUnited Nations Iraq Assistance Strategy 2005-2007

and 2008-2010, and the United Nations Develop-ment Assistance Framework. Equally, it has been in-tegrated into successive development strategies forIraq, including the current National DevelopmentProgramme 2010-2014, and regional schemes suchas the Kurdistan Regional Government Develop-ment Plan. UN-Habitats expertise was recognized inthe current United Nations Development AssistanceFramework, where UN-Habitats potential contribu-tion was listed in four of five programmatic prior-ity areas, underscoring the agencys relevance in itscontribution to joint programmes.


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Institutional arrangements

The UN-Habitat Iraq Urban Programme based inAmman, Jordan, is led by the chief technical adviser,who is also the head of mission. The current teamof 17, comprising four international and 13 nationalstaff is organized under the three thematic pillarsand operations as well as national coordinators inBaghdad and Erbil and representative in Hilla. It issupported by technical and management teamsand consultants in Baghdad and Erbil, and by proj-ect staff in Basrah, Hillah, Missan, Salahdin, Sulai-maniyah, Thikar and Wassit. Given the small sizeof the Programme and uncertain funding context,UN-Habitat relies on its project field teams which,besides project implementation, have to undertakevery time-consuming inter-agency work, constant

project pipeline development and fundraising.

The contributions of the Iraq Programme are all themore impressive given the relatively small but highlymotivated and competent team. The Programmehas good team coordination and is very well man-aged by the current chief technical adviser with ap-propriate resources. All Iraq United Nations CountryTeam members and United Nations partners in jointprogrammes spoke highly of the professional andmanagement efficiency of the Iraq team, as did thecentral Government and Kurdistan Regional Gov-

ernment officials. The Iraq Programme is guided bya high-level National Habitat Committee, compris-ing of high-ranking officials and civil society, whichplays an advisory role and also contributes to thedevelopment of the Habitat Country ProgrammeDocument.

The Iraq Programme coordinator at UN-HabitatsHeadquarters in Nairobi is the senior human settle-ments officer in the Regional Office for Africa andthe Arab States. The coordinator has the experi-ence, competence and strategic vision to supervise,nurture and provide effective support to the Pro-

gramme. Though the Iraq team in Amman enjoysconsiderable autonomy from the agencys Head-quarters, it is satisfied with the level of support itreceives, for example, with the visits from the Execu-tive Director and the Director of Regional Office forAfrica and the Arab States.

UN-Habitats main funders under the Multi-DonorTrust Fund-Iraq Trust Fund have been the Euro-pean Commission, Japan and Spain. The Govern-ment of Iraq and Kurdistan Regional Government

are also key contributors. Several partners and co-organizers, such as Economic and Social Commis-sion for Western Asia and the International FinanceCorporation have also contributed. Other countriessuch as Korea, Sweden and the United Kingdomhave contributed indirectly to Iraq projects of whichUN-Habitat has been a part. More recently theUnited States of America has funded a UN-Habitatproject. However, funding for the Iraq programmes,including UN-Habitat, is decreasing and UN-Habitatis reviewing its programmatic and resource strate-gies in Iraq.

Joint programmes

Joint programmes were a key feature of the IraqUnited Nations Development Group framework. Of

the 22 projects UN-Habitat participated in imple-menting in Iraq, the agency singly carried out nine.Among the 12 joint programmes, it has collaboratedmostly with the United Nations Development Pro-gramme (seven projects); the United Nations Chil-drens Fund (six projects); the United Nations Educa-tional, Scientific and Cultural Organization; and theWorld Health Organization. It also teamed up withthe International Labour Organization; the UnitedNations Office for Project Services; UN Women, theUnited Nations Industrial Development Organiza-tion; and the United Nations High Commissioner for

Refugees. It also joined forces with the InternationalOrganization for Migration and the United NationsFood and Agriculture Organizationa majority ofthe United Nations agencies working in Iraq. It hadone partner in five projects and up to six partnersin some other projects. UN-Habitats niche is wellrecognized within the Country Team as seen in itspartnerships in Iraq. UN-Habitat successes and limi-tations are, therefore, generally its own and thoseachieved through partnerships.

The United Nations Development Group is an in-strument for United Nations reform, created by

the Secretary-General of the United Nations in1997, to improve the effectiveness of United Na-tions development at the country level as part ofits approach to deliver diverse services as one body.These initiatives are aimed at increasing the impactof the United Nations on countries bid to achievethe Millennium Development Goals, including pov-erty reduction. The 2011 Lessons Learned Evalua-tion of the United Nations Development Group-IraqTrust Fund considered the high level of coordinationamong United Nations agencies to be one of the


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most acknowledged achievements of the Group,as noted by most interviewees from United Nationsagencies, donors and the Government.

Iraq was the first country in which United Nationsagencies adopted the cluster approach, a jointplanning, funding, coordinated implementationand reporting arrangement for large-scale opera-tions. The approach was followed by and improvedthrough Sector Outcome Teams in 2008, and thecurrent structure for coordination, which are theUnited Nations Development Assistance FrameworkPriority Working Groups and their subgroups.

UN-Habitat is a member of several groups, chair ofthe Housing Sub-priority Working Group and co-chair of the Water and Sanitation Sub-priority Work-

ing Group. Overall the system has worked well.

Joint programmes have generally resulted in a co-ordinated and coherent response to Iraqs recovery,reconstruction and development priorities withoutcompetition for funds. It has led to the coordinationand management for better results. For example,the Local Area Development Plans would have beenimpossible without the synergies of United Nations,agencies, most notably the International LabourOrganization, the United Nations Development Pro-gramme, UN-Habitat and Iraqi stakeholders at the

governorate, provincial and federal government lev-els. Joint programmes have been mutual learningspaces. The programmers have placed considerabledemands, time and logistical resources on coordina-tion and communications of participating agencies.

Joint programmes cut two ways for a relatively smallagency such as UN-Habitat. Its partnerships have in-creased its profile, opportunities and potential forimpact. It enjoys mutual respect with other UnitedNations partners and joint positions and activitiesare more effective in lobbying government on keyreform issues. Yet, in the United Nations Develop-

ment Group size and clout do matter and UN-Hab-itat often risks losing out to bigger players owingto factors ranging from inadequate field presenceto the lack of starter or bridge funds. The agencymust reflect on how best to leverage its relative ad-vantages.

Partnerships

In Iraq, UN-Habitat works closely with several part-ners, notably the Government of Iraq and that of

the Kurdistan Region. It has generally very good re-lations with United Nations partners, and has de-veloped some ongoing and potential for furthercollaboration with the World Bank. It also has areasonable base of professionals, experts and aca-demics guiding its activities, as also seen from themembership of its National Habitat Committee.

The Development Group framework has facilitateddonors involvement with broader policy issues. UN-Habitat also has a strong record of working withthe private sector, including contractors, and is nowstrengthening its liaison with the banking sector.UN-Habitat provides organizational support to theIraq Local Government Association but this level ofdirect support to national partners is exceptional.

In Erbil, the setting up of Housing Facilitation Unitsof professional/technical experts and Local Facilita-tion Units has been effective. The Units were set upas intermediaries between community or house-holds and local authorities or lending institutions.The Units were an alternative to independent non-governmental organizations and justified as beingeasily trained and institutionalized within municipalstructures, or within a regional ministry.

Civil society is relatively weak in Iraq. UN-Habi-tat works with non-governmental organizations

through other agencies such as the Office of theUnited Nations High Commissioner for Refugees ornetworks such as the Norwegian Refugee Councilon UN-Habitats Technical Working Group on Inter-nally Displaced Persons. However, UN-Habitat stillneeds greater proactive engagement with civil so-ciety.

Challenges

Strategic focus

Priority areas for the UN-Habitat Iraq Programmedeveloped through its 2003 strategy document forIraq, followed by the Habitat Country ProgrammeDocument for 2008 to 2011, have remained almostthe same for the 2012 to 2014 period. The con-tinuing thematic pillars of focushousing and land,urban governance and planning, water and sanita-tion, and infrastructureno doubt are derived fromthe agencys expertise and mandate, demand fromUnited Nation partners and the Government. How-ever, as Iraq enters a new development phase with


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the Government as the dominant partner, and withreduced resources available for UN-Habitat projects,the agency must consider how best to reposition inthe new Iraq.

The achievements of the Iraq Programme underits main pillars range from good to impressive; itspro-poor approaches are well directed towardsdisadvantaged urban poor, including internally dis-placed persons and returnees. However, the IraqProgramme needs to deal more directly with thecross-cutting issues. It has done well in promotingenvironmentally friendly housing and responsiblewater and sanitation projects but it could do more.Despite its emphasis on pro-poor, inclusiveness,good governance and protection issues, the IraqProgramme has not adopted a sufficiently devel-

oped rights-based approach. Though projects underthe Iraq Programme to encourage participation of(and often target) women, children and the youthas beneficiaries, it needs to develop clearer genderand youth frameworks and align with relevant UN-Habitat strategic documents.

Institutional arrangements

UN-Habitat Iraqs institutional arrangements arebeing dictated by drastically reduced funds. Staffnumbers have fallen from 26 in 2008 to 17 today,

and are likely to be cut further. United Nations De-velopment Assistance Framework documents esti-mate that the implementation of the United NationsCountry Programme will require USD 1.9 billion, ofwhich the United Nations has pledged USD 250 mil-lion. UN-Habitat requires USD 77.2 million for its fullprogramme of which it has so far secured USD 9.3million in funding. An additional USD 67.9 million isneeded. With the Multi-Donor Trust Fund-Iraqi TrustFund closing, UN-Habitat will have to review its re-source mobilization strategy to carry its substantialportfolio in Iraq, or at least its most important parts.

However, fundraising in Iraq has become difficult asmost donors consider the oil-rich country wealthy.Conversely, most donor countries are currently in fi-nancial crisis. As such, the agency must accept thatthe programme will be much smaller and that thefocus must be on making it most effective. To raisefunds within Iraq, UN-Habitat will have to redirectits efforts to strategic areas where it has strong po-litical support, funding, partners and prospects ofhigh impact. Iraqi Government funding, however, islimited to technical interventions and does not coverstaff and operational costs.

Another key challenge for the Iraq Programmeis the pressure to return to Baghdad, the nationscapital, as most United Nations agencies have or arein the process of doing. The view of the Govern-ment, United Nations partners and other stakehold-ers is almost unanimous that activities would bemore effective if managed from within the coun-try. However, there are also political compulsionsfor the move, as well as higher costs and possiblestaff losses to consider. The cost of a professionalstaff member in Baghdad is close to USD 400,000per year due to the high accommodation and se-curity expenses. So far, UN-Habitat has agreed thatstaff for new projects will be resident in Baghdad.UN-Habitat Headquarters, together with the newRegional Office for Africa and Arab States, in Cairo,Egypt, must urgently provide viable transition plans

for the move to Iraq, though there are choices in theshape and extent of the relocation.

Joint programmes

The closing of the Multi-Donor Trust Fund-Iraq TrustFund marks the end of a prolific period of UnitedNations joint programming in the country. However,it is widely appreciated that the joint programmeshave been a good practice and that UN-Habitat hassignificantly added value to the effort through itsspecialist expertise as well as cross-sectoral contri-

butions. The Government will direct all future Iraqoperations. This will require UN-Habitat to concen-trate in areas of demand. For example, closure ofthe staggering capacity development gaps requiresinnovative methods and approaches. UN-Habitatmust step up the dissemination of its tools and out-puts to ensure replication and scaling up.

Partnerships

The United Nations Country Team documents rec-ognize that the planned phase-out of the Iraq TrustFund and the situational transition in the country

warrants a more strategic, coherent and cohesiveresponse to Iraqs development priorities and chal-lenges. This must be based on renewed partner-ship and engagement with the Government, theUnited Nations System and civil society. While UN-Habitat already is working with civil society largelythrough local governments, it needs a more pro-active approach.

Opportunities

As the role of UN-Habitat in Iraq, and other UnitedNations agencies generally, is reassessed in view of


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the countrys new phase of development and thevarious funding dynamics, UN-Habitat is well posi-tioned to continue supporting the Government andthat of the Kurdistan Region through pioneeringpolicy or strategic inputs. Moreover, United Nationspartners, and officials of the Kurdish Region and thecentral Government view the technical and strate-gic contributions of UN-Habitat as a vital part of itsbroader canvas, and beyond project delivery. Thestrong political will exhibited so far by the Govern-ment will be necessary to support the process of re-form and change that underpins the reform agendaand implementation of the United Nations Devel-opment Assistance Framework and Iraqi nationalpriorities. Two ongoing UN-Habitat projects in Erbilsupported by Kurdistan Regional Government andthe Baghdad Settlements Project backed by the Bu-

reau of Population Refugees and Migration, as wellas the United States Department of State, indicatethe opportunities to contribute to that process.

UN-Habitat is well positioned to support the Gov-ernment in scaling up from its project experience;for example, from projects in Erbil and the LocalArea Development Plans project. As part of thehousing improvement scheme, UN-Habitat is pro-viding technical help through an established hous-ing facilitation unit in the neighbourhood, as wellas facilitated loans for home upgrades. The project

on internally displaced persons with the Bureau ofPopulation, Refugees and Migration of the UnitedStates Department of State, which is under way,could also be applied to poor and vulnerable fami-lies in upgraded settlements and in resettlementprojects countrywide.

UN-Habitat and Country Team has lobbied the IraqiGovernment hard for reforms and legal changes.The Provincial Powers Law (or Law 21) of 2008 wasa major milestone for the introduction of decentral-ized government in Iraq, but supporting the capac-ity of the Iraq Local Government Association (the

key player) will be critical. Similarly, despite improve-ments, there are technical and legal bottlenecks pre-venting commercial banks from investing in housingfinance. UN-Habitats mission remains to providetechnical support for overcoming the significant po-litical, financial and capacity challenges.

IV. CONCLUSIONS

Relevance

UN-Habitats Iraq Urban Programme on shelter andurban development focuses on housing policy and

land management; urban planning and governance;water and sanitation; and infrastructure. It captureswell UN-Habitats comparative advantages in rela-tion to Iraqs sustainable urbanization and develop-mental challenges.

The Programme is fully aligned with the Govern-ments National Development Plan 2011-2014, theKurdistan Regional Governments 5+ Multi-sectoralPlan, and other key documents for Iraq.

The Iraq Programme has been developed as part ofa collective response of all United Nations agencies,programmes and funds to Iraqi priorities. UN-Habi-tats programmatic areas are recognized in the Unit-ed Nations Development Assistance Framework,where UN-Habitats potential contribution is listed

under four of the five priority areas.

Efficiency

The institutional arrangements for the Iraq Pro-grammes country office have been adequate andstructured to achieve the planned results.

Given the security situation requiring cross-bordermanagement from Amman, difficulties in hiringcompetent staff and the frequent lack of effectivecoordination have meant high programming costs

inherent in many post-conflict contexts. Indepen-dent audits show that UN-Habitat has utilized itsMulti-Donor Trust Funds efficiently and strategically.

In terms of timely project delivery, United Nationsagencies, including UN-Habitat, have performedpoorly. All projects, barring one, were given no-cost extensions ranging from one to five extensions.The Amman office attributed some of the delays toHeadquarters and the bureaucracy of the UnitedNations Office at Nairobi. Other delays were due tooperational reasons and the need for inter-agencycoordination and liaison with Government. Among

the implications were continuing UN-Habitat staffcommitment to outstanding projects for which noadditional funding was available. However, staffat the United Nations Assistance Mission for Iraq/Multi-Donor Trust Fund office was at pains to pointout that UN-Habitat performance was in line withoverall averages and did not reflect the manage-ment efficiency or affect the quality of outcomes.

The considerable autonomy given to the Iraq officehas worked well, despite increased workload pres-sures on the chief technical adviser given the techni-

cal, organizational, political, and fund raising roles.The senior settlements officer at the Regional Office


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xiv EVALUATION OF THE UN-HABITATURBAN PROGRAMME IN IRAQ 2004-2012

for African and Arab States supervises and provideseffective support for planned results. However, asthe Iraq Programme enters a new phase, there arefurther opportunities for consolidation of its linkswith head office.

Effectiveness

There was consensus among respondents that theIraq Programme was well managed and supportedfor the achievement of results. UN-Habitat person-nel in the Amman, Baghdad and Erbil offices weremotivated, competent and well-trained; combiningtechnical expertise, field experience and politicalliaison as relevant.

The UN-Habitat Iraq team has operated effectivelywithin the United Nations Country Team. This as-sessment agrees with the finding of the 2011 Unit-ed Nations Development Groups Lessons LearnedEvaluation that the high-level of coordinationamong United Nations agencies is one of its bestacknowledged achievements of the world bodysIraq operations.

The Iraq Programme has had several successes,but this is ongoing work. A significant success forUN-Habitat is its role in the development of the

comprehensive National Housing Policy, which isfunded through the federal budget and is beingimplemented.

UN-Habitats pro-poor land management initiativesare conceptually sound and well directed, as seenthrough the Government-endorsed Declaration onthe Development of Policy and Land Managementin Iraq.

UN-Habitats focus on inclusive urban planning,management and governance alongside the UnitedNations Development Programme, have introduced

new decentralization and participative approaches,for example, through projects on Iraq Public SectorModernization and Local Area Development Plans.

UN-Habitat has a solid record on urban infrastruc-tural development but its critical role is through jointefforts with the United Nations Childrens Fund atmodernizing and reforming the Iraqi public sector,such as through providing the water and sanita-

tion road map and deliberations with the MinisterialAdvisory Committee.

Review of internal progress reports and visits to theMulti-Donor Trust fund office as well as the UnitedNations Assistance Mission for Iraq demonstrateregular, and satisfactory monitoring as well as re-porting on UN-Habitat projects. However, in jointprogrammes the agency had to deal with additionallayers including the Trust Fund Office, donors andmembers of thematic groups. It also had to makeseveral periodical reports to Headquarters, includingthose on the implementation status of the Medium-Term Strategic and Institutional Plan and to the Re-gional Office for Africa and Arab States. Most staffat the UN-Habitat Iraq office considered the report-ing systems time consuming and often duplicative.

Impact

Through partnerships with United Nations agenciesand government counterparts, UN-Habitat has con-tributed significantly to the sustainable urbanizationagenda, improved understanding of bottlenecksand developed tools and responses. The role ofUN-Habitat is widely acknowledged and visible inIraq development planning; although the impact ofits projects are difficult to ascertain given the coun-

trys security context, limited access to beneficiariesand limits of this evaluation.

UN-Habitat has achieved most of its project outputsand many of its programme objectives. The agencystechnical and strategic contributions are a vital partof its role, beyond project delivery. Through imple-mentation of successful projects as seen from thecase studies of Erbil and Local Area DevelopmentPlans, UN-Habitat has contributed to better moni-toring, capacity development, new partnerships(including civil society and private sector), and legaland institutional reforms.

UN-Habitat projects are pro-poor and generallydemonstrate tangible benefits to a number of dis-advantaged groups such as slum dwellers, internallydisplaced persons, women, youth and children. Itsinclusive settlements-based approach is positive.

However, despite some good project outputsfor womens rights and youth training, there isno overall gender or youth strategy. As a result,UN-Habitats potential contribution to the fifth pri-


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xvEVALUATION OF THE UN-HABITATURBAN PROGRAMME IN IRAQ 2004-2012

ority area under the United Nations DevelopmentAssistance Group relating to the empowerment ofwomen, youth and children is unrecognized in theGroups documents. Environmental sustainability isan emphasis that needs to be further highlightedand the human rights-based approach needs to bestrengthened.

Sustainability

A range of high-quality UN-Habitat outputs fromlegislation and master plans, to training manualsand tools are widely used in parts of Iraq. However,the sustainability of the developmental results fromUN-Habitat depends on the Governments capacityto provide an enabling policy environment, includ-

ing incentives for meeting the demands of urbandevelopment. A number of elements in favour ofsustainability are noted, as are several threats.

Generally, there has been high-level official engage-ment with UN-Habitat projects. However, officialstold this evaluation team that there were concernsregarding the limited capacity, uncertain securitysituation and polarized political environment. More-over, UN-Habitat needs to do more to ensure na-tional ownership beyond policymakers by buildingdiverse partnerships, despite the challenges of a di-

vided or unstable government.

Through its various projects, UN-Habitat has con-tributed to Iraqi capacity development to formulate,implement and review vital policies, strategies, lawsand programmes. However, training has not reachedall stakeholder groups and has not been at scale, asthe mode of delivery has been conventional.

While UN-Habitat has a broad mandate, it mustcontinue to focus on strategic areas and opportuni-ties where it has strong political will, funding, part-ners and prospects of high impact.

A major concern is the drastically altered fund-ing situation with the closure of Multi-Donor TrustFund-Iraq Trust Fund. UN-Habitat must accept thatthe programme is unlikely to attract prior levels offunding, and it must review its resource mobilizationstrategy. This will have to be coordinated betweenthe Iraq Programme, UN-Habitat Headquarters andthe Regional Office focusing on key elements of itsmandate in Iraq. With limited projects unable to

fund related staff time, Headquarters and the Re-gional Office must support critical areas.

Another key challenge for UN-Habitat is the pres-sure to move the Iraq Programme Country Officeback to Baghdad in line with most United Nationsagencies. Though there are higher costs as well assecurity risks to staff, UN-Habitat must urgently putin place viable transition plans for the move.

V. LESSONS LEARNED

Based on the review of the Iraq Programme activi-ties, the following lessons were learned:

1. Using the UN-Habitat Country Programme

Document effectively: While the Iraq Pro-gramme developed its UN-Habitat CountryProgramme Document in a fluid and complexcontext, the process could have been more sys-tematic and strategic.

2. Managing multiple transitions: The Iraq Pro-gramme would need to be strategized on waysto manage the multiple transitions and its man-date adapted to the evolving scenarios in Iraq.

3. Sharing experiences of the Multi-Donor

Trust Fund: With the experience of the IraqProgramme, UN-Habitat senior managementneeds to reflect on how best to anticipate andprepare for opportunities with other Multi-Donor funds.

4. Beyond financial resources: UN-Habitatneeds to invest in its Iraq office and help pro-mote cost-effective, high impact, niche initia-tives which are visible, scalable and whichcorrelate to Iraqs priorities with strong partner-ships.

5. Timely project delivery: United Nations agen-cies, including UN-Habitat, have performedpoorly in meeting project deadlines. All proj-ects, barring one, were given up to five no-costextensions. UN-Habitat must consider how toavoid these delays by better and more realisticproject design.


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xvi EVALUATION OF THE UN-HABITATURBAN PROGRAMME IN IRAQ 2004-2012

VI. RECOMMENDATIONS

1. Sharpen strategic focus: The Iraq Pro-gramme should revise its UN-Habitat CountryProgramme Document to reflect its currentstrategic focus in line with the new realitiesin consultation, dissemination, resources andmonitoring.

2. Develop a resource mobilization strategy:The Iraq Programme, UN-Habitat Headquar-ters and the Regional Office for Arab Statesshould develop a resource mobilization strat-egy document building on its track record, soas to widen the donor base to include non-conventional funding sources, the privatesector, regional sources, as funding/cost shar-

ing from the Government of Iraq and the Kurd-ish Regional Government.

3. Design programmes with impact as-sessments: UN-Habitat should put inplace a project/programme developmentprocess, which incorporates targets andresults-based management into the proj-ect design and enables effective monitor-ing and participative evaluation of impact.

4. Attend to gender, age and human rights:UN-Habitat Iraq should review the extent towhich its projects have tackled cross-cutting is-sues, with recommendations on how this couldbe improved towards effectiveness and meet-ing its mandate.

5. Improve national ownership: UN-HabitatIraq Programme and the UN-Habitat Headquar-ters should regularly discuss and respond to thechanges in political context and key parameterson documents such as the memorandum of

understanding with the central Governmentand Kurdish Regional Government, and theDeclaration on the Development of Policy andLand Management in Iraq and the Iraq HousingPolicy.

6. Promote and engage with civil society:The Iraq Programme should be proactive anddevelop stronger relations with existing andpotential civil society partners and with thoseof other United Nations collabourators on thejoint programmes.

7. Strengthen communications: The Iraq Pro-gramme should allocate responsibilitiesorappoint a part-time staff memberas commu-nications officer, as part of a communications

strategy.

8. Innovate with capacity development meth-ods: The Iraq Programme should review itscapacity-building methodologies, training re-sources, participation dynamics and impact todraw up a holistic capacity-building approach.

9. Plan for relocation to Iraq: UN-Habitatshould urgently review its institutional arrange-ments with the new Regional Office for ArabStates and the Iraq Programme on strategic op-

tions (security, costs, programmatic and staff-ing issues) with firm timelines for a transitionand relocation of the Programmes country of-fice to Baghdad.

10 Consolidate liaison between the Iraq Pro-gramme, Regional Office and Headquar-ters: UN-Habitat should set up a mechanismfor strategic dialogue between country pro-grammes like Iraq, regional offices and the the-matic branches at Headquarters, which is moreregular, structured and target-based.


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1EVALUATION OF THE UN-HABITATURBAN PROGRAMME IN IRAQ 2004-2012

1. INTRODUCTION

The United Nations Human Settlements Programme(UN-Habitat) initiated this evaluation of its Iraq Ur-ban Programme1, covering the period 2004 to date.Its aim is to provide its governing bodies, staff, do-nors, government counterparts and other develop-ment partners a forward-looking understanding ofthe agencys operational experience, achievementsand challenges in the country. It assessed the con-text, opportunities and constraints, programmaticpriorities and partnerships, strategic vision and op-

tions as well as the outcomes and sustainability ofthe development and operational efficiency and ef-fectiveness of UN-Habitats Iraq Programme. The in-tent of this evaluation was to support accountability,provide information for performance managementand future decision-making as well as contribute tolearning in the organization.

1.1 UNITED NATIONS IN IRAQ

Country context

Iraq has a unique history as a powerful engine ofregional economic growth and trade, and a globalbeacon of culture and learning (Common CountryAssessment 2009). In more recent decades, it hasendured two successive Gulf wars, economic sanc-tions, a military intervention and internal conflicts.Political instability, the centralized nature of gov-ernance mechanisms, an imbalanced allocation ofresources and a lack of investment in infrastructure,environment and social services have had a dev-astating impact on the countrys ability to developits economy and support the needs of the popula-

tion (United Nations Development Lessons LearnedEvaluation 2011). Since the peak of the post-2003violence, Iraq has made visible security, political anddevelopmental progress. Confidence in the Stateand a basic level of social trust are returning al-beit slowly in many areas. The formation of the firstIraqi government in 2006 and the new constitu-tion supporting inclusion and decentralization havebeen accompanied by policy dialogues and pioneer-ing development measures, thereby catalyzing thecountrys recovery and progress.

1 The terms UN-Habitat Iraq Programme and UN-Habitat Iraq

Urban Programme are used interchangeably in UN-Habitatdocuments and in this evaluation.

Iraq is a resource-rich middle-income country withthe potential to sustain a development agenda.Sustainable urbanization is one among the coun-trys formidable challenges. Over 70 per cent of itsestimated 32 million people are now urban; its cit-ies and towns are unable to provide basic services,housing and employment (The State of Arab CitiesReport 2012: Challenges of Urban Transition). Al-most one-quarter of Iraqs population lives belowthe poverty datum line, while several vulnerable

urban poor groups such as children, women, mi-norities and the displaced are at further risk. Unlesseffectively tackled, most Millennium DevelopmentGoals will remain distant dreams and Iraqi cities maybreed more social problems and frustrations, partic-ularly among the youth. As Iraq progresses towardsgreater democratization and human rights, decen-tralization and pluralism, increased confidence andenhanced opportunities pave the way for hope andchange.

United Nations mandateUnited Nations has a long history of developmentactivities in Iraq, with the Oil-for-Food Programmephase (1997-2003) marking the broadening of itsmandate. The current post-war role of the UnitedNations in.sed on clear security, political and eco-nomic reform benchmarks. Various efforts havebeen made to integrate the political mandate ofthe United Nations mission with the humanitarianand development objectives of the United NationsCountry Team. The United Nations has sought topursue and sustain integrated and sustainable so-

lutions necessary to promote stability, security, na-tional reconciliation and the protection of humanrights in Iraq.

The United Nations development programming forIraq has evolved since the initial 2003 United Na-tions/World Bank Joint Needs Based Assessmentidentified 14 priority sectors and cross-cuttingthemes for the United Nations International Recon-struction Fund Facility for Iraq. The subsequent JointUnited Nations Iraq Assistance Strategy 2005-2007,following Security Council Resolution 1546, began

the process of greater Iraqi ownership, given the re-turn of sovereignty to Iraqis (28 June 2004) and in-


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2 EVALUATION OF THE UN-HABITATURBAN PROGRAMME IN IRAQ 2004-2012

corporated the Iraqi-owned National DevelopmentStrategy 2005-2007 as well as lessons learned. TheAssistance Strategy was followed by another cover-ing 2008-2010, formulated in partnership with theGovernment. The aim was to further harmonize andimplement the Millennium Goals, the InternationalCompact with Iraq and the National DevelopmentStrategy 2007-2010, focusing on priority areas andoutcomes. The 2009 Common Country Assess-ment provided the United Nations analysis of thenational development context applying gender, hu-man rights and conflict analysis toward identifyingpotential priority development areas for Iraq.

The current structure is the United Nations Develop-ment Assistance Framework (2011-2014), which in-corporates the National Development Programme

2010-2014, regional schemes such as the KurdistanRegional Government Development Plan, updatedUnited Nations Country Team documents as well asuniversal standards such as the Millennium Goals. Asthe United Nations and the Government embark onclearer prioritization and an increasingly comprehen-sive and integrated strategic approach, there has beengreater emphasis on Government ownership and costsharing arrangements. Individual United Nations agen-cies, including UN-Habitat, are reassessing their rolesand comparative advantage in the new phase of Iraqsdevelopment within each sector-based mandate, ex-

perience, capacity and availability of funds for UnitedNations operations.

United Nations Development Group IraqTrust Fund

The Iraq Trust Fund, which started in 2004, hasbecome the largest post-war funded developmentprogramme. Its Multi-Donor Trust Fund was worthUSD 1.6 billion (excluding the USD 531 million un-der the World Bank Iraq Trust Fund). Contributionswere made by European Union members, Australia,Canada, India, Japan, Qatar and Turkey. A total 17

United Nations agencies, forming part of the worldbodys Country Team, collaborated to implementthese projects supported by the United Nations In-ternational Reconstruction Fund Facility for Iraq2.The scope of the 274 projects was ambitious, andincluded thematic areas such as governance andhuman rights, inclusive economic growth, environ-ment, education, water and sanitation, housing,and food security. The United Nations Iraq develop-ment programme was coordinated and operated

2 The UNCT comprises seventeen resident agencies: FAO, ILO,IOM, OCHA, OHCHR, UNDP, UNDSS, UNESCO, UNFPA, UN-Habitat, UNHCR, UNICEF, UNIDO, UN Women (formerly UNIFEM),UNOPS, WFP and WHO; and three non-resident agencies:ESCWA, UNCTAD and UNEP.

under the supervision of the Deputy Special Repre-sentative of the Secretary-General, who is the Resi-dent and Humanitarian Coordinator.

The Iraq Trust Fund was established as one of twosuch facilities of the International Reconstruc-tion Fund Facility for Iraq, the first Multi-part-ner Trust Fund to be administered jointly by theUnited Nations and the World Bank. It was set upto provide donors with a single channel for fund-ing, thereby reducing donors transaction costs. TheUnited Nations Development Group mechanism alsopioneered the adoption of common planning, fund-ing, coordinated implementation and reporting ar-rangements through a thematic cluster framework.However, the Development Groups Iraq Trust Fundwill close by December 2013. Meantime, a new Iraq

United Nations Development Assistance FrameworkTrust Fund has been established, envisaging en-hanced Government funds. The Multi-Donor TrustFund Iraq Trust funding arrangements through theDevelopment Group, spelt out through the Develop-ment Assistance Framework with the Government,and coordinated by the United Nations AssistanceMission for Iraq, are all part of a highly developedjoint coordination mechanism for the country. Theyare important factors in the Delivering as Oneand the One United Nations reform strategies insupporting Iraqs continuing national development.

This evaluation explored the United Nations plan-ning processes, priorities and arrangements to theextent they were relevant for the assessment ofUN-Habitat operations. It was recognized that thestrategic programme lens of UN-Habitat includes theDelivering as One dynamics. The efficiency andeffectiveness of the Multi-Donor Trust Fund struc-ture and processes itself has been positively evalu-ated elsewhere (Lessons Learned Evaluation 2011).This evaluation of United Nations joint programmedimensions were thus limited to UN-Habitat jointlyexecuted projects with other United Nations agen-

cies. Its scope was the coordination, added valueand achieved development results by UN-Habitat inan overall context. As the Multi-Donor Trust Fund-Iraq Trust Fund is closing, the success of UnitedNations partnerships, in terms of operational anddevelopmental effectiveness, was assessed. Theanalysis also focused on the extent to which thefund had integrated the principles of harmoniza-tion, alignment, national ownership, accountabilityand management for results within Multi-DonorTrust Fund structures and operational procedures.The level of institutionalization of such approach-

es within the United Nations in Iraq is vital for thebetter implementation of future Development As-


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sistance Framework and as a learning process forother UN-Habitat country programmes.

1.2 UN-HABITAT IN IRAQ

UN-Habitats involvement in Iraq

UN-Habitat is the lead United Nations agency forcities and human settlements. The basic frameworkfor UN-Habitats work is laid down in the 1996 Habi-tat Agenda, which reflects the agencys core respon-sibility of promoting socially and environmentallysustainable towns and cities to provide adequateshelter for all, as mandated by the United NationsGeneral Assembly. Therefore, in Iraq the agency fo-cuses on sustainable urbanization and components

toward attaining the Millennium Development Goaltarget of improving the lives of 100 million slum-dwellers by year 2020. UN-Habitats intervention isequally driven by national priorities such as the Na-tional Development Plan, the Kurdish Regional Gov-ernment Development Plan, as well as the UnitedNations Development Assistance Framework, anduniversal development and human rights standards.

Iraq was one of UN-Habitats biggest country pro-grammes, working within broad thematic areas, col-laborating with a large number of United Nations

agencies, Government departments and partners,and accessing funding from a wide cohort of do-nors (if the number of donors to the Iraq Trust Fund

are considered). The geographical distribution ofUN-Habitat projects in the Arab/Middle East andNorth Africa region for the 2011-12 bienniumshows that Iraq accounts for the country with themost UN-Habitat projects, followed by Palestine(Figure1.1).

Since 2004, UN-Habitat has been a lead or signifi-cant partner in 22 United Nations projects worthUSD 89.8 million. The entire Multi-Donor Trust Fundportfolio of 274 projects in Iraq is worth USD 1.37billion.

In Iraq, UN-Habitat works directly with nine UnitedNations agencies, the World Bank, some Govern-ment departments, local authorities and diversestakeholders. The projects in Table 1.1, the subject

of this review, indicate the diversity of the portfoliocovering a range of expertise, partnerships and out-puts. As the UN-Habitat Iraq Reconstruction Plan forShelter and Urban Development 2003 initially iden-tified, the four key areas of intervention are housingpolicy, urban planning and management, local gov-ernance and the revitalization of Government insti-tutions for housing and urban development. Theseareas have generally continued to be the main ar-eas of UN-Habitat operations despite some shifts inemphasis and adaption to evolving United Nationsand national priorities. Yet, as Table 1.1 indicates,

UN-Habitat projects fall within a broader ambit ofsectors which include education, economic reformand diversification, human development and gover-

Source: UN-Habitat (2012) UN-Habitat in Partnership with Arab States (Nairobi)

FIGURE 1.1:Geographical distribution of UN-Habitat projects in the Arab Region


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ProjectNumber

Project Title Amount inUSD

Donors Sector Partners

(lead UN

agency inbold)

Start date End date(Italics

indicatestillongoing)

NO10 Strengthening Capacity of HousingSector

5 965 638 ITF Donor Pool Housing &Shelter

n/a 06.07.2004 31.07.2010

NO12 Education Facilities Rehabilitation 17 580 663 ITF-Government ofJapan

Education n/a 06.08.2004 30.09.2008

NO14 Strengthening Urban Sectorthrough Building Capacitiesin Municipal Planning andManagement

2 550 216 ITF Donor Pool Housing &Shelter

n/a 22.12.2004 31.12.2006

NO15 Rehabi li ta tion of School Bu ildingsin Lower South Iraq

5 270 152 ITF Donor Pool Education n/a 22.12.2004 22.11.2005

NO16 Rehabilitation of CommunityFacilities and Infrastructure 16 025 007 ITF-Government ofJapan Housing &Shelter UN-Habitat 09.09.2005 30.09.2009

NO17 Community-based IntegratedWATSAN Rehabilitation andManagement Project

1 983 516 ITF-non-earmarked Water &Sanitation

n/a 09.09.2005 31.12.2006

NO21 School Rehabi li tat ion and Capac ityBuilding for School Maintenance

6 631 818 ITF-EC Education UNICEF &UN-Habitat

24.07.2006 30.06.2008

NO22 Strengthening Capacity of HousingSector Phase II

2 385 917 ITF-Government ofSpain

Housing &Shelter

UN-Habitat 21.12.2006 31.12.2010

NO24 Area Based DevelopmentProgramme Local AreaDevelopment Plans

3 986 250 ITF-EC EconomicReform &Diversification

UNDP, ILO, UNOPS,UN-Habitat,UNIFEM, WHO, andUNESCO

19.04.2007 31.07.2010

NO26 School Rehabil itat ion and Capaci tyDevelopment for Enhanced Accessand Retention in Primary Education

4 012 682 ITF-EC Education UNICEF &UN-Habitat

24.07.2007 30.09.2009

NO27 Solid Waste Management Projectfor Iraqi Ministry of Municipalitiesand Public Works and theGovernorate of Basra

2 396 426 ITF-EC Water &Sanitation

UN-Habitat &UNICEF

04.07.2007 31.12.2010

NO29 Improving quality and relevance ofTechnical and Vocational Educationand Training in Iraq

2 000 932 ITF-EC Education UNESCO, ILO & UN-Habitat

31.07.2008 31.03.2011

NO32 Local Government Associationand Urban Development CapacityBuilding

1 985 256 ITF-non-earmarked(EC & Governmentof Spain)

EconomicReform &Diversification

UN-Habitat 26.03.2008 30.09.2011

NO33 Improving Access for InternallyDisplaced Persons and Returneesto Acceptable Shelter Solutions

5 150 304 ITF-EC Housing &Shelter

UN-Habitat 26.03.2008 31.07.2011

NO34 Developing the Capacity of theIraqi Education Sector/Enhancingthe Learning Environment inVulnerable Areas in Iraq formeeting Education-For-All goals

3 860 259 ITF-EC Education UN-Habitat, UNICEF,UNESCO, WHO &UNIFEM

15.10.2008 30.06.2012

NO35 Improving the Housing DeliverySystem in Erbil

1 645 547 ITF-Korea & interestmoney

Housing &Shelter

UN-Habitat & UNDP 09.12.2008 31.12.2012

NO36 Private Sector DevelopmentProgramme for Iraq

2 000 000 ITF-Governmentsof Spain, Sweden,and EC

EconomicReform &Diversification

UNDP, ILO, UNOPS,UNIDO, FAO, UN-Habitat, and UNIFEM

18.12.2008 31.12.2012

NO41 Water and Sanitation MasterPlanning and Capacity BuildingProgramme

1 496 434 ITF-EC Water &Sanitation

UNDP, UNICEF,UN-Habitat, WHO

01.12.2009 30.04.2012

TABLE 1.1: List of UN-Habitat projects in Iraq, 2004-2012


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nance which are vital cogs in the overall and broaderUnited Nations joint programmes.

The size of UN-Habitats portfolio since 2004 is notsurprising as UN-Habitat executed the third largestactivity among United Nations agencies under thehumanitarian component of its Iraq Oil-for-Food Pro-gramme. Though the pre-war phase is not coveredby this evaluation, achievements during this periodunderscore the existing strengths which it brought

to the United Nations Country Team in 2004. Un-der the Oil-for-Food Programme, UN-Habitat imple-mented three separate initiatives. In northern Iraqthe agency executed the Settlements RehabilitationProgramme worth USD 600 million, providing shel-ter and basic services to about 120,000 internallydisplaced persons and vulnerable groups. In southand central Iraq UN-Habitat conducted the HousingSector Observation Programme, including monitor-ing the importation of building materials and imple-mented in Baghdad of the Neighbourhood Reha-bilitation Project, a set of small-scale infrastructureschemes applying principles of community manage-

ment and partnership.

The Settlements Rehabilitation Programme reachedabout 1.4 million people in the northern governor-ates of Dahuk, Erbil and Sulaimaniyah, equivalent toabout one-third of the regions population. It wasimplemented through local authorities and over800 local contractors, with the added advantage ofbuilding local capacity and generating employmentto at least 80,000 people. UN-Habitat had a longlist of achievements during the Rehabilitation Pro-gramme, which included about 905 km of sewage

and water systems, 2,940 km of roads, 34 bridges,and over 21,000 houses, 700 schools and 225 agri-

cultural and community facilities between 1997 and2003. The Rehabilitation Programme also created150,000 jobs in the private sector by engaging andcapacitating local contractors. UN-Habitat thus hadthe contacts and credibility of working intensivelywith the three northern governorates, familiaritywith housing in south and central Iraq and specificprojects in Baghdad.

UN-Habitats mandate in post-conflict

situationsUN-Habitat developed the key 2003 Iraq Recon-struction Plan in the context of the agencys generalmandate as regards human settlements and sustain-able urbanization, as well as the post-conflict con-text. The 2003 document refers to the UN-HabitatGeneral Council Resolution adopted at its 19thSession (Resolution 19/7 on 9 May 2003), whichrequested the agency to devote specific attentionto human settlements needs in the reconstructionof countries affected by armed conflicts and oth-er man-made or natural disasters. Since then, the

Iraq Programme has been updated by further em-phasis and elaboration of UN-Habitats key role inpost-conflict contexts, particularly 20/17 in 2005.For example, the key document Humanitarian Af-fairs and the role of UN-Habitat (2008) provide theStrategic Policy on Human Settlements in Crisis andSustainable Relief and Reconstruction Framework.This Framework emerged from a four-year policydevelopment effort undertaken in consultation withpartners and through the 20th and 21st GoverningCouncil sessions that the UN-Habitats Committeeof Permanent Representatives endorsed in Novem-

ber 2007.

ProjectNumber

Project TitleAmount in

USDDonors Sector

Partners

(lead UNagency in

bold)

Start date End date(Italics

indicatestill

ongoing)

NO44 Support to Decentralization andLocal Governance for ServiceDelivery - Preparatory Phase

1 194 070 ITF-non-earmarked Governance UNDP, UN-Habitat,UNICEF, UNESCO,UNFPA, UN-Women,and UNESCWA

28.04.2010 31.03.2012

NO45 Iraq Public Sector ModernizationProgramme

2 000 000 ITF-EC Governance UNDP, UNICEF,UNESCO, WHO,UN-Habitat

28.04.2010 31.03.2012

NO48 Bridging for Local AreaDevelopment Programme Phase II

384 882 ITF-EC, interest,non-earmarked

EconomicReform/HumanDevelopmentSub-SOT

UNDP, ILO, UNOPS,UN-Habitat

08.07.2010 08.03.2012

NO50 Strengthening the Capacity of theHousing Sector in Iraq: Bridge forPhase III

465 000 ITF-EC Housing &Shelter

UN-Habitat & UNDP 31.08.2010 30.06.2012


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This strategy is also linked to UN-Habitats prioritiesin the Medium-Term Strategic and Institutional Plan.Urban resiliency and vulnerability reduction are cov-ered in the Plans Focus Area 2, whereas post-crisisrecovery and reconstruction fall under its Focus Area3. Since the adoption of the strategy, UN-Habitathas developed a range of tools and guidelines onpost-conflict interventions in its field, which are welldisseminated throughout the agency and among itspartners, and assist in assessing the effectiveness ofthe agencys post-conflict work. UN-Habitat has aproven track record in post-conflict reconstruction:for example in Afghanistan, Angola, East Timor,Haiti, Kosovo, Mozambique, Rwanda, Somalia,Sri Lanka and Sudan. In addition to the offices atUN-Habitat Headquarters specifically coordinatingactivities in post-conflict countries, the agency has

a coordinator in Geneva and works through its re-gional offices.

The increasing visibility and expertise of UN-Habitatin post-conflict contexts does not imply a changein its core mandate of sustainable urbanization.Rather, it involves an adaption of its approachesin challenging and diverse environments such asIraq. The 2008 UN-Habitat strategy document alsoclarifies that the agency has not transformed intoa post-conflict humanitarian relief body, as oth-ers perform that role. Since joining the United Na-

tions Inter-Agency Standing Committee in 2008,UN-Habitat works with other United Nations agen-cies and partners collaboratively within their respec-tive mandates. UN-Habitats innovative approaches

on issues like housing, land, governance and plan-ning are critical development issues for overall ef-forts to reduce vulnerabilities and enhance pro-tection, improve livelihoods and living conditionsand provide holistic infrastructure and services. Asin Iraq, UN-Habitat often serves as focal point forhousing, land, water and settlements-related issuesand as an important contributor to governance,protection and overall development clusters. Table1.2 shows UN-Habitats involvement in priority ar-eas of the United Nations Development AssistanceFramework in Iraq. UN-Habitats added value liesin its expertise on human settlements and sustain-able urbanization and in its mainstreaming capacitywithin the broader planning and response systems.This evaluation of UN-Habitats Iraq Programme ex-plores this distinct role in the agencys collaborative

mode in a post-conflict situation.

UN-Habitat Iraq operations

The plan for Rebuilding Iraq: Iraq ReconstructionPlan for Shelter and Urban Development (2003)launched the agencys new programme from 2004,and was followed by the Habitat Country Pro-gramme documents for 2009-2011 and for 2012-2014. The plan laid out the vision and priority the-matic areas and made detailed proposals. The fourkey areas defined were:

Housing policy

Urban planning and management

TABLE 1.2:Iraq UNDAF areas and UN-Habitat involvement

PriorityNumber

United Nations Development Assistance Framework Area UN-Habitat involvement

1 Improved governance, including protection of human rights UN-Habitat listed as partner

2 Inclusive, more equitable and sustainable economic growth UN-Habitat listed as partner

3Environmental management and compliance with ratifiedinternational environmental treaties and obligations

UN-Habitat listed as partner

4 Increased access to quality essential services UN-Habitat listed as partner

5Investment in human capital and empowerment of women,youth and children

UN-Habitat not listed as partner

Source: Government of Iraq and United Nations Country Team Iraq (2010) Partnering for Development 2011-2014: An overview of the UnitedNations Development Assistance Framework Iraq (UNDAF).


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Local governance

Revitalization of central government institu-tions for housing and urban development

These have continued to be the primary areas ofUN-Habitat operations despite some shifts in em-phasis and adaption to evolving United Nations andnational priorities. The programme is currently orga-nized under the three pillars of Housing and LandGovernance, Urban Planning and Economy, as well

as Urban Infrastructure and Basic Services. All cur-rent projects are listed under one of these pillars.

The Iraq Country Office of UN-Habitat is in Amman,Jordan, currently with a team of 17 staff, four ofwhom are international and the rest national. Theteam is led by the chief technical adviser who is thehead of mission. It includes thematic pillar headsand national coordinators in Baghdad and Erbil anda representative in Hilla. The Amman office liaiseswith UN-Habitat Headquarters in Nairobi, Kenya,through the Iraq country coordinator, located in the

Regional Office for Africa and the Arab States. Theprogrammatic outlook and funding of the Iraq office

should be seen as part of the UN-Habitats Region-al Strategy for Engagement (2012). The locationand structure of the UN-Habitat Iraq Programme ispredicated on funding as well as strategic choicesfor the Baghdad office, the new Regional Office forthe Arab States in Cairo, the subregional office forGulf States in Kuwait and the new Regional Officefor Africa and Arab States at UN-Habitat Headquar-ters.3 The evaluation of the UN-Habitat CountryProgramme also considered the joint programmedynamics and the operational constraints, which

include the security situation and post-conflict con-text.

1.3 PURPOSE AND OBJECTIVES OFEVALUATION

The independent evaluation of UN-Habitats IraqProgramme (2004 to date) is intended to provide

3 The evaluation was carried out during the organizationalrestructuring of UN-Habitat. The Regional Office for Africa andthe Arab States (ROAAS) were later divided into the RegionalOffice for Africa (ROA) and the Regional Office for the ArabStates (ROAS)

Participants sharing ideas in a planning workshop organized by UN-Habitat, 2009. UN-Habitat


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UN-Habitat, its governing bodies and donors withan independent and forward-looking evaluation ofthe agencys operational experience, achievementsand challenges. Lessons learned are expected toplay an instrumental role in shaping the agencysnew focus in planning and programming projects inIraq and contribute to better accountability.

Primary constituencies for this report areUN-Habitat, its governing bodies, donors and otherstakeholders. It will also be of interest to those work-ing in Iraq including Government, civil society andprivate sector stakeholders as well as donor agen-cies. The sharing of results will inform key stake-holders about what was achieved by and learnedfrom the Programme.

The specific objectives of the evaluation, identifiedin the Terms of Reference, are as follows:

a. To assess the relevance of UN-Habitat in re-sponding to Iraq shelter and urban develop-ment needs and priorities.

b. To assess the efficiency and effectiveness of theProgramme, in terms of delivery of outputs,achievement of outcomes, impact and sustain-ability.

c. To identify approaches that worked and whichdid notdrawing key findings, lessons andgood practices from UN-Habitat programmingexperience.

d. To bring forward programming opportunitiesthat indicate the strongest potential for long-term partnership between UN-Habitat and oth-er organizations working in Iraq.

e. To make recommendations on what needs tobe done to achieve planned objectives in Iraq,or whether such planned objectives are still rel-evant or need to be changed.

1.4 REPORT OUTLINE

This evaluation report is divided into five chapters.Chapter 1 titled Introduction describes the context,the background to United Nations and UN-Habitatoperations in Iraq, the challenges, the purpose and

objectives of the evaluation. Chapter 2 outlines theevaluation methodology. Chapter 3 sets out the keyfindings of the evaluation through a review of thedesign and joint programming of projects, sourcesand utilization of funds, overall achievements be-tween 2004 and 2012, as well as challenges andopportunities facing the Programme. Chapter 4provides an assessment of the Programme througha review of institutional arrangements, assessmentof Programme approaches through its relevance,efficiency, effectiveness, sustainability and impact.Chapter 5 presents the conclusions, lessons learned

and key recommendations for action.


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2.1 EVALUATION SCOPE AND CRITERIA

The evaluation team was guided by the approachand methodology in the terms of reference and theInception Report (January 2012). The latter was fi-nalized through consultations with the EvaluationUnit, the Regional Office for Africa and Arab Statesthrough the coordinator for the Iraq Programme atheadquarters, and the Iraq Programme Office. Partsof the detailed approach and methodology are re-

produced in the terms of reference in Annex I. Thischapter outlines the evaluation scope and criteria,data collection and analysis methods, limitationsand management of the evaluation.

The scope of the evaluation was the UN-Habitat IraqProgramme from 2004 (after the Oil-for-Food Pro-gramme ended) to the present. The focus is moreon the programmatic level rather than the individualprojects, as some have already been assessed eitherthrough internal or join

evaluation of the un-habitat urban programme in iraq

Documents